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International Business Software Managers Association

Software LicenSe management

Study GuIde

OVeRVIeW

At last, an introduction to the basics of software asset management (SAM) and

software license management (SLM) for a wide-ranging audience! Based on our

popular PCSLM course, this comprehensive guide is written in uncomplicated English and

allows you to cover the course material at your own pace.

Organizations of all sizes and industries around the world have a need to manage software licenses proficiently. In fact, today the wide variety of individuals involved in IT service management—and even many non-IT staff—would benefit from a solid foundation in effective software license management practices.

WhAt yOu’ll tAke AWAy

Learn practical tips and best practices.

Apply concepts to your work by completing the self-assessment exercises. Review illustrations, graphics and key terms in each chapter to

understand how concepts relate and summarize main points. Prepare to take the Practitioner Certificate in Software License Management (PCSLM) exam as well as administer an SLM program at your company.

Through this guide you’ll learn practical tips and best practices for software license management that can be applied to your organization right away. We show many examples of SLM in practice to illustrate how, when successfully executed, SLM is a good business investment. The case studies also show how professionals who implement SLM best practices have thoroughly incorporated a “culture of compliance” in their workplace.

The guide’s self-assessment exercises enable you to apply each chapter’s concepts to your work environment. Illustrations and graphics show how concepts relate and summarize main points.

There is also a handy list of key terms in the front of each chapter. You’ll find that the practice exercises enable you to figure out the best way to handle everyday SLM situations. We also provide the answers!

the Study guide

iS organized into

Seven chapterS:

1

Auditing and

Compliance Basics

2

Licensing Overview

3

Assessing Your SAM

Proficiency

4

Tools and Technology

5

Making the Business

Case

6

External Audits

7

Self-Audits

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WhO ShOuld uSe thIS GuIde

IT service and software management pros at any size organization involved in the following areas:

• Software or hardware inventory (whether automated or manual) • Purchasing

• Technical support • Contract management • Legal

• Compliance or internal audit

Plus, non-IT staff including business unit managers, project managers and administrative and support staff involved in acquiring, approving or distributing software, should also understand the essential elements of software license management and would benefit from this guide.

CeRtIfICAte exAM

Practitioner Certificate in Software license Management exam (PCSlM)

When you complete the study guide and exercises, you’ll be prepared to take the PCSLM exam as well as administer an SLM program at your company. The multiple-choice exam can be completed it

in about one hour. Your exam will be scored and, if you pass, you’ll receive a certificate of completion.

COStS And hOW tO ORdeR

The study guide is available in PDF format for $195. The exam fee is $150. Quantity discounts are offered. OrDer The guIDe and exaM OnLIne at

IBSMA.com/publications.html or call IBSMa at 1.734.930.1925.

International Business Software Managers Association

Software LicenSe management

Study GuIde

for more information

visit

iBSma.com

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Contents in detail

Software

LiCenSe

management

InternatIonal BusIness software Managers assocIatIon

study guIde

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v

Contents

introduction . . . . 1

about this guide . . . . 1

who should use this guide . . . . 2

How to use this guide . . . . 2

the main topics . . . . 2

How each chapter is organized . . . . 3

other resources and help . . . . 3

1 auditing and Compliance Basics . . . . 5

the basics . . . . 5

Key terms . . . . 6

overview and objectives . . . . 6

the starting point: software license management terms . . . . 7

software compliance audits . . . . 8

Motivations for compliance audits . . . .12

testing your knowledge of compliance audits . . . .14

the self-audit . . . .15

getting audit-ready . . . .16

case study: optimized license management . . . .19

study questions, review and exercises . . . .21

2 Software License agreements: terms, types and negotiation tips . . . . 25

the basics . . . .25

Key terms . . . .26

overview and objectives . . . .26

Proof of license . . . .27

classifying licenses . . . .28

Quick self-check of licenses . . . .33

nine negotiation considerations . . . .34

case study: remixable license pools . . . .44

study questions, review and exercises . . . .45

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Software LiCenSe management study guIde

vi

3 assessing Your Sam Proficiency . . . . 51

the basics . . . .51

overview and objectives . . . .52

Key terms . . . .52

embarking on a saM self-assessment . . . .53

the foundation: six saM process areas . . . .54

Investigating your saM processes . . . .56

Quiz: applying Iso/Iec 19770-1 . . . .57

starting a self-assessment . . . .59

case study: conducting a self-assessment . . . .62

study questions, review and exercises . . . .64

4 tools and technology . . . . 71

the basics . . . .71

Key terms . . . .72

overview and objectives . . . .72

criteria and constraints for tool selection . . . .73

exercise: Identify your criteria for tool selection . . . .75

Point, combined and suite solutions . . . .76

factors in selecting tools . . . .78

Mapping functions to standard process areas . . . .81

four performance priorities . . . .83

Integration . . . .84

case study: Planning for a technology overhaul . . . .85

study questions, review and exercises . . . .86

5 making the Business Case: roi . . . . 91

the basics . . . .91

overview and objectives . . . .92

Key terms . . . .92

Business case basics . . . .92

developing the roI-centric business case . . . .95

respond to objections . . . .104

Bringing it all together: sample business case . . . .105

case study 1: reporting return on investment . . . .107

case study 2: calculating roI & starting an slM program . . . .108

study questions, review and exercises . . . .110

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Contents

vii

6 managing external audits . . . . 121

the basics . . . .121

overview and objectives . . . .122

Key terms . . . .122

the auditors . . . .122

overview of the audit process . . . .124

compliance review . . . .125

How to handle an audit . . . .125

exercise: determine your audit readiness . . . .128

commanding compliance . . . .129

Be honest, not defensive . . . .129

case study: cashing in on compliance . . . .132

study questions, review and exercises . . . .136

7 Self-audits . . . . 143

the basics . . . .143

standards and frameworks . . . .143

overview and objectives . . . .144

Key terms . . . .144

exercise: which would you use? . . . .149

establishing the control environment . . . .150

communicate and educate . . . .150

self-audit execution . . . .151

case study: optimized software license management . . . .156

study questions, review and exercises . . . .159

index . . . . 171

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Software LiCenSe management study guIde

viii

introduction . . . . 1

about this guide . . . . 1

who should use this guide . . . . 2

How to use this guide . . . . 2

the main topics . . . . 2

How each chapter is organized . . . . 3

other resources and help . . . . 3

1 auditing and Compliance Basics . . . . 5

the basics . . . . 5

Key terms . . . . 6

overview and objectives . . . . 6

the starting point: software license management terms . . . . 7

Software asset management (SAM) . . . .7

License compliance . . . .7

License type . . . .8

software compliance audits . . . . 8

Digging deeper into external audits . . . .9

Details on auditors . . . 10

Publishers . . . . 10

Third parties . . . . 11

Motivations for compliance audits . . . .12

The cost of piracy . . . 12

Reports of noncompliance . . . 12

Random checks and other motives . . . 12

testing your knowledge of compliance audits . . . .14

the self-audit . . . .15 Stakeholders . . . 15 getting audit-ready . . . .16 Risk control . . . 16 Cost control . . . 17 Competitive advantage . . . 18

case study: optimized license management . . . .19

case study review questions . . . .21

Vocabulary quiz . . . .22

Contents

in Detail

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Contents in detail

ix

exercise: are you audit-ready? . . . .23

answers and guidance . . . .24

2 Software License agreements: terms, types and negotiation tips . . . . 25

the basics . . . .25

Key terms . . . .26

overview and objectives . . . .26

Proof of license . . . .27

classifying licenses . . . .28

Licenses by product type . . . 28

Evaluation . . . . 28

Sales channel . . . . 29

Upgrades and downgrades . . . . 29

Licenses by duration . . . 30

Licenses by metric . . . 30

Quick self-check of licenses . . . .33

nine negotiation considerations . . . .34

1. What software are you buying? What services does it include? . . . 34

2. What product use rights come with the software? . . . 35

3. When will you pay? . . . 36

4. How much does the software cost now? . . . 37

5. How much might the software cost later? . . . 38

6. How is a contract dispute or variance handled? . . . 39

7. What happens if the relationship ends or changes significantly? . . . 40

8. What common terms, or boilerplate, define the legal agreement? . . . 41

9. What constitutes acceptance of customized software? Who will support/control the customizations? . . . 41

case study: remixable license pools . . . .44

case study review questions . . . .45

Vocabulary quiz . . . .46

exercise: Bolster your contracts . . . .47

exercise: self-assessment . . . .48

answers and guidance . . . .49

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3 assessing Your Sam Proficiency . . . . 51

the basics . . . .51

overview and objectives . . . .52

Key terms . . . .52

embarking on a saM self-assessment . . . .53

the foundation: six saM process areas . . . .54

Organizational management processes . . . 55

Core SAM processes . . . 55

Primary process interfaces . . . 55

Investigating your saM processes . . . .56

Quiz: applying Iso/Iec 19770-1 . . . .57

starting a self-assessment . . . .59

Stakeholders and organizational concerns . . . 59

Setting the scope . . . 60

case study: conducting a self-assessment . . . .62

case study review questions . . . .64

Vocabulary quiz . . . .65

exercise: saM self-assessment . . . .66

answers and guidance . . . .70

4 tools and technology . . . . 71

the basics . . . .71

Key terms . . . .72

overview and objectives . . . .72

criteria and constraints for tool selection . . . .73

Budget . . . 73

Business needs . . . 74

Process maturity . . . 74

exercise: Identify your criteria for tool selection . . . .75

Point, combined and suite solutions . . . .76

factors in selecting tools . . . .78

Mapping functions to standard process areas . . . .81

four performance priorities . . . .83

Urgency . . . 83

Ease of use . . . 83

Security . . . 83

Core specialty emphasis . . . 84

Integration . . . .84

case study: Planning for a technology overhaul . . . .85

case study review questions . . . .86

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Contents in detail

xi

Vocabulary quiz . . . .87

exercise: selecting the right tool for you . . . .88

answers and guidance . . . .90

5 making the Business Case: roi . . . . 91

the basics . . . .91

overview and objectives . . . .92

Key terms . . . .92

Business case basics . . . .92

What is a business case? . . . 92

A five-point approach to business case development . . . 93

Management commitment is paramount . . . . 93

Don’t forget other key stakeholders . . . . 94

Speak in business language . . . . 94

The best defense is a good offense . . . . 94

Success is contagious . . . . 94

developing the roI-centric business case . . . .95

Establish context . . . 95

Align with business objectives . . . 96

Calculate ROI . . . 96

Defining exposure . . . . 96

ROI in six simple steps . . . . 97

1. Tabulate software license figures . . . 97

2. Calculate per-product exposure . . . 98

3. Calculate net exposure . . . 98

4. Calculate benefit . . . 100

5. Calculate investment . . . 101

6. Report return on investment . . . 102

Outline implementation alternatives . . . 102

respond to objections . . . .104

Bringing it all together: sample business case . . . .105

case study 1: reporting return on investment . . . .107

case study 2: calculating roI & starting an slM program . . . .108

Vocabulary quiz . . . .111

exercise: calculate your roi . . . .112

answers and guidance . . . .115

6 managing external audits . . . . 121

the basics . . . .121

overview and objectives . . . .122

Key terms . . . .122

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Software LiCenSe management study guIde xii the auditors . . . .122 Publishers . . . 122 Publisher motivations . . . .123 Compliance agencies . . . 124

overview of the audit process . . . .124

Notification . . . 124

compliance review . . . .125

Settlement . . . 125

How to handle an audit . . . .125

Demanding compliance . . . 126

Consider your contracts . . . .126

Work with publishers and tool providers . . . .126

Keep your own records . . . .127

exercise: determine your audit readiness . . . .128

commanding compliance . . . .129

Be honest, not defensive . . . .129

Talk with legal . . . 130

Circulate nondisclosure agreements . . . 130

Know the roles and clarify the methods . . . 130

Always negotiate the settlement . . . 131

case study: cashing in on compliance . . . .132

Vocabulary quiz . . . .137

exercise: Preparing for an external audit . . . .138

answers and guidance . . . .142

7 Self-audits . . . . 143

the basics . . . .143

standards and frameworks . . . .143

Adding value via conformance, compliance and certification . . . . 143

overview and objectives . . . .144

Key terms . . . .144

Frameworks: COBIT and ITIL . . . 145

Standards bodies . . . 146

ISO/IEC 19770-1 . . . .148

exercise: which would you use? . . . .149

establishing the control environment . . . .150

Assess risk. . . 150

Change your attitude . . . 150

communicate and educate . . . .150

self-audit execution . . . .151

Plan . . . 152

Assemble . . . 152

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xiii

Locate data . . . 152

Collect data . . . .153

Report . . . 153

Costs, risks, optimizations and open loops . . . .153

Action recommendations . . . .155

case study: optimized software license management . . . .156

Vocabulary quiz . . . .160

exercise: executing a self-audit . . . .161

answers and guidance . . . .170

index . . . . 171

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1

introduction

about this guide

Software license management (SLM) is the active manage-ment and administration of software allocation, deploymanage-ment, licensing and contractual obligations. License management encompasses managing the risks associated with software license compliance as well as the costs of acquiring software. Software license management is an invaluable IT discipline, although just a few years ago programs dedicated to the field existed only in pockets of the corporate world, at the largest and most mature organizations. These trailblazing IT depart-ments realized the advantages of maintaining airtight control over software licenses, to the tune of more favorable contracts with software publishers, enhanced public image, increased infrastructure security and hundreds of thousands—some-times even millions—of dollars in return on investment. This study guide is designed to help you learn about software license management as a subcategory of the larger practice of software asset management. When you complete the study guide, you will be prepared to take IBSMA’s Practitioners Certificate in Software License Management (PCSLM) exam as well as administer an SLM program at your organization. You will learn the concepts and applications of software license management via various methods, from narratives about SLM to case studies to illustrations. All of these are designed to help you put the concepts and skills into practice as well as answer questions on the exam.

We show many examples of SLM in real-world situations and offer practical tips and best practices that can be applied right away. Each chapter includes a short case study to illustrate how SLM, when successfully applied and implemented, is a good business investment. The case studies also show how the professionals who implement SLM best practices have thoroughly incorporated a “culture of compliance” in their environment.

in thiS ChaPter

About this guide

Who should use this guide

How to use the guide

The main topics

How each chapter is organized

Other resources and help

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Software LiCenSe management study guIde

2

The self-assessment exercises are a key component of this guide and enable you to apply each chapter’s con-cepts to your work environment.

This guide includes several tools to help apply what you learn. Illustrations and graphics show relationships of concepts and summarize main points. There is also a handy list of key terms in the front of each chapter. You’ll find that the reviews and exercises in each chap-ter enable you to practice figuring out the best way to handle the SLM situations that you’re likely to come across in your work. We also provide the answers!

who should use this guide

Organizations of all sizes, industries and nationalities have a need to manage software licenses. For small organiza-tions with fewer than 500 desktop computers and a few servers, typically one person is responsible for software license management, and it may be just one aspect of his or her job. For larger organizations with upwards of 5,000 PCs and many servers, several people may be dedicated to license management or the job could be divided by product or computing platform.

In fact today, the wide variety of individuals involved in IT service management—from software or hardware inventory (whether automated or manual), to purchasing, technical support, contract management and legal ser-vices—could all benefit from a solid foundation in effec-tive software management practice. Non-IT staff includ-ing business unit managers, project managers, adminis-trative and support staff involved in acquiring, approving or distributing software should also understand the essential elements of software license management. This guide is designed to be the introduction to license management for a broad audience and provide a founda-tion even for individuals with little technical background. We assume, however, that our reader has basic familiarity with business concepts and experience in a commercial, government or educational work environment.

How to use this guide

The average reader will need roughly 10 hours to com-plete the study guide and all the quizzes and exercises. You may choose to read straight through or break your

study time into sections. The chapters are logical seg-ments of work.

At the end, you will be prepared to take the PCSLM exam and we recommend you take the exam as soon as possible. The exam is offered online, has 30 multiple-choice questions and you can complete it in one sitting. It takes about one hour. Once your exam is scored and you pass, you will receive a certificate of completion from the International Business Software Managers Association.

When you purchased this book you were offered an opportunity to pre-pay the exam fee. If you did, contact IBSMA when you’re ready to take the exam. If you did not pre-pay you can register online for the exam at any time at IBSMA.com and pay the exam fee.

the main topics

In the first half of this book, we’ll cover the why, what and how of software license management: How to com-bat rising risks and costs from over- and under-licensing through stating and meeting basic compliance objec-tives; and how to negotiate strong software license agreements and undertake self-assessments.

In the second half, we apply this knowledge. We look first at tools for automating software asset management (SAM), then we detail how to craft a business case to bring management onboard with a license manage-ment program. We then delve into the action items that move external audits along and make self-audits effective.

The study guide is organized into seven chapters: 1. Auditing and Compliance Basics

2. Licensing Overview

3. Assessing Your SAM Proficiency 4. Tools and Technology

5. Making the Business Case 6. External Audits

7. Self-Audit

The detailed contents section at the beginning of the book, outlines the topics, exercise and case studies included in each chapter (see Contents in Detail, page viii).

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introduction

3

How each chapter is organized

Each chapter uses the same structure to present the concepts and examples of successful implementation.

to get started, the In This Chapter and the first section introduce you to the main topics. The Overview and

Objectives section states specifically what you will be able to do by the end of the chapter. The Key Terms list

summarizes all the new terms you will encounter.

each topic area includes illustrations and tables to summarize graphically the concepts and their relation-ships. Key terms are introduced near the items they define. Icons for key terms, details and new ideas appear throughout the book.

Key terms icon—indicates a new key term

Details icon—indicates details, key examples or a closer look at a concept

new ideas icon—indicates new ideas, additional material and applying what you’ve learned

reinforcing the learning . Exercises designed to help you recall the main points of a topic, as well as

syn-thesize what you learn, entail answering questions about samples cases and include vocabulary quizzes.

Case study . A short story is included in each chapter based on real-world examples. These show how orga-nizations use software license management to improve operations and the bottom line. Each case study is followed by review questions and short quizzes.

review questions, exercise—a review summarizes the main points of the chapter

Quiz icon—indicates a short quiz or exam on the chapter’s contents

application to your organization . A final exercise helps you assess if you are ready to apply the ideas to your organization. This exercise consists of several parts that may include giving a current rating of your organization’s software license management capabilities compared to the ideal, and then listing action items that you’ll need to complete.

And finally the answers to the quiz in each chapter are the last section of each chapter.

answers and guidance to case study and quizzes.

other resources and help

The study guide includes a detailed contents list at the front as well as an index of topics at the back. More than 500 software license and IT asset management terms are summarized in an online glossary which can be accessed at IBSMA.com/glossary.html.

Additional publications on software licensing, tools and SAM processes are available from IBSMA. For more information visit IBSMA.com.

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171

index

a

abandonware, 13

academic case study, 156–58, 170

acceptance of software, 36–37, 39, 41–42, 43t access restriction

in audits, 127 in SAM tools, 79, 83

accountability for noncompliance, 151 accounting firms in external audits, 10, 123 acquisitions and mergers

as audit trigger, 13, 15, 124 competitive advantage in, 18

provisions in software license agreements, 38, 40 activation key, 8, 27, 32

active metering, 32

additional hard costs, 98–99

administrative costs in calculating ROI, 99, 119 American National Standards Institute (ANSI), 146–47t annual licenses, 30t

ANSI (American National Standards Institute), 146–47t Answers and Guidance

audit and compliance basics, 24 audits, external, 138, 142 audits, self-, 170

business case and ROI, 115–19

licenses (software license agreements), 49 negotiations, 49

SAM tools, 90

self-assessment of SAM, 70 Apple Remote Desktop, 127

application dependency mapping tools, 155 asset types in self-assessment of SAM processes, 60

audit and compliance basics, 5–28. See also audits, external; audits,

self-as component of SAM, 7i defined, 8

Exercise, 23

Overview and Objectives, 6 Quizzes, 14, 22, 24, 26, 28 Review, 21

and risk control, 16

audit control as SAM tool component, 79t, 82t i indicates illustration

t indicates table

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Software LiCenSe management study guIde

172

auditors, external, 9–12, 122–24. See also audits, external

questions from, 138–39, 142 types, 10–12

audits, external, 121–42 actions and objectives, 129t auditors, 9–12, 122–24 Case Study, 132–35, 142

by compliance agencies, 19–11, 124 compliance review in, 124–25 as component of SAM, 7i defensive tactics, 125–31 defined, 8 Exercises, 23, 128, 138–42 increase in, 5, 10 language, 39, 126–27, 145 managing, 121–31 motivations for, 12–13, 123–24 notification, 124–25, 127 Overview and Objectives, 122 phases of, 124–25

preludes to, 9, 121 preventing, 94, 125–27

provisions in software license agreements, 39–40, 124–27

questions from auditors, 138–39, 142 questions to ask, 131 Quizzes, 14, 22, 24, 28, 137, 142 reactions to, 129 Review, 136 roles in, 129–31 scope of, 11

and self-assessment of SAM processes, 56 settlements, 12t, 124–25, 129t, 131 statistics on, 95, 122 strategies for, 125–31 surveys on, 10, 95, 122, 124 terms of, 124–27, 130–31, 133 by third-party agencies, 9–11, 124 timeframe, 124–25, 130–31 triggers, 9–10, 12–13, 40, 123–24, 127 audits, internal. See audits,

self-audits, self-, 143–70

action recommendations, 140–41, 155 assembling, 151–53

and audits, external, 94, 125 benefits of, 15–18, 131

Case Studies, 19–21, 24, 156–58, 170 and compliance reviews, 125

compliance with ISO/IEC 19770-1, 148 as component of SAM, 7i

defined, 8

documenting, 127 executing, 151–55 Exercises, 140–41, 161–70 external parties in, 15–16 frequency of, 15, 151 need for, 143

Overview and Objectives, 144 planning, 151–52

provisions in software license agreements, 39 questions for, 152

Quizzes, 14, 28, 160, 170 reporting, 151, 153–54 Review, 159

risk control and, 15–16, 154–55 roles in, 15, 152

sample report, 154 scope of, 151–52

stakeholders in, 15–16, 152 standards and frameworks, 143–48 triggers for, 9, 15 auto-discovery in audits, external, 40 in audits, self-, 151–52, 154 in calculating ROI, 97 defined, 73

as SAM tool component, 76–77, 79t, 82t, 151 automated contract management, 5

automatic renewals, avoiding, 40

awards for copyright infringement, 16. See also settlements

B

backing up documentation, 28, 152–53 bankruptcy, publisher, 40

bargaining power. See negotiating software license agreements

benchmarking, 64, 71, 127 benefits of

self-audits, 15–18, 131

software asset management (SAM), 5, 16–18, 95–96, 100–101

software license management (SLM), 1, 5, 95–96, 100–101, 150 best practices and conformance, 148 defined, 52 frameworks, 144–45

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index

173

SAM process areas, 54–55 boilerplate, 41, 43t

bridges, database, 84

British Standards (BS), 146–47

BSA (Business Software Alliance), 11, 124 budget contract renewal as audit trigger, 15t budget for SAM tools, 73–75

business case for software license management, 91–120 Case Study, 107–9, 115–16 considerations in, 93–94, 105–6 defending, 94 defined, 92 developing, 95–106 Exercise, 112–14, 116–19

for optimization of self-audits, 155 Overview and Objectives, 92 presenting, 105–6

Quiz, 111, 116

return on investment (ROI), calculating, 96–102 Review, 110

sample, 105–6

and SAM tools, 73–74, 78t stages of, 95

supporting data for, 95 business language, 94

business needs and SAM tool selection, 74–75, 81–82t Business Software Alliance (BSA), 11, 124

business units

in reporting self-audit results, 154 in self-assessment of SAM processes, 60 business value components of SAM tools, 81–82t

c

CAAST (Canadian Alliance Against Software Theft), 11, 124

CAL (client access license), 31t

Canadian Alliance Against Software Theft (CAAST), 11, 124

canceled checks as proof of license, 27 caps and limits on maintenance fees, 38, 40 Case Studies

audits, external, 132–35, 142 audits, self-, 19–21, 24, 156–58, 170

licenses (software license agreements), 44–45, 49 optimization of software license management,

19–21, 24, 156–58, 170

return on investment (ROI), 107–9, 115–16 SAM tools, 85–86, 90

self-assessment of SAM processes, 62–64, 70 case studies, using in business cases, 94 certificates of authenticity, 27–28 certification

conformance vs. compliance, 145t defined, 144

IBSMA Practitioners Certificate in Software License Management (PCSLM), 1–2

of ISO/IEC 19770-1 compliance, 148 change management

defined, 8, 55 and risk control, 16i

as SAM tool component, 79t, 82t and software asset management, 7 change managers and SAM tools, 80 client access license (CAL), 31t

CMDBs (configuration management databases), 146, 155

COBIT (Control Objectives for Information and related Technology), 145, 147t, 161

combined tool, 76–77

communication of compliance, 150–51 competitive advantage benefits

calculating, 100–101 communicating, 150 defined, 96

and return on investment (ROI), 91, 100–101 of self-audits, 15, 18

competitive upgrade licenses, 29–30 compliance agencies, 9–12, 124 automation of, 148 basics of, 5–28 calendar, 15 Case Study, 132–35, 142 and certification, 145t commanding, 129–31 culture of, 93, 150–51, 156–57 defined, 7, 144 demanding, 126–27 educating, 150–51 initiatives, 125 with ISO/IEC 19770-1, 148 negotiating terms of, 37, 39, 127 proving, 143, 148

reporting (See audits, self-) review (See audits, external) risk assessment of, 150

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compliance (cont’d) and risk control, 16i as SAM process area, 55 statistics on, 95

in university case study, 156–57 concurrency licenses

defined, 31t

and license pools, 84 monitoring, 32, 36

tracking data for audits, 153 confidentiality

in audits, 10, 123, 130

in software license agreements, 41 configuration management

involvement in SAM self-assessment, 59

configuration management databases (CMDBs), 146, 155

configuration vs. custom development/implemenation, 41

conflict provisions in software license agreements, 39–40, 43t, 126

conformance

and certification, 145t defined, 144

to ISO/IEC 19770-1 and audits, 56, 148 constraints for SAM tool selection, 73–74 consulting firms, 10, 15, 99, 101

contract disputes, provisions for, 39–40, 43t, 126 contraction activity, 36

contract management. See also documentation calculating ROI with tools, 97

defined, 28, 55 need for, 28

as SAM tool component, 71, 78t, 81t

contract renewals/obligations and self-audits, 15t contracts. See software license agreements contract specialists, 94, 126, 130

control environment, 150–51 and data collection, 152 defined, 150

Exercises, 162

as SAM process area, 55

and SAM tool components, 81–82t and universities, 156–57

Control Objectives for Information and Related Technology (COBIT), 145, 147t, 161 control of resources as audit trigger, 10t conversion rights, cross-platform, 38 copyright

damage awards, 16

duration of, 13

education employees on, 150–51

Copyright Royalty and Distribution Reform Act of 2004, 16

core SAM process areas. See SAM process areas

core specialty emphasis and SAM tool selection, 83–84, 86

corporate governance, 7, 55 corporate responsibility, 5

cost allocation as trigger for self-audits, 15t cost control in Case Study, 20 from self-audits, 15–18 statistics on, 95 costs in calculating ROI, 96–101, 119 future, 38, 43t hard, 96–99 identifying in self-audits, 154–55 one-time, 37 of piracy, 12

provisions in software license agreements, 36–38, 43t recommendations for, 155

of SAM implementation alternatives, 102–3 soft, 96–97

counterfeit software, 27–28 credits, 38, 40

criteria for SAM tool selection, 73–74, 78–80, 83–84 Exercise, 75, 88–89

cross-platform conversion rights, 38 culture of compliance, 93, 150–51, 156–57 customized software, 36–37, 41–43, 84

d

damage awards, 16. See also settlements data assembly for self-audits, 152–53 database bridges, 84

data collection, 130–31, 151, 153 data location, 151–53

data normalization, 79t, 80

defensiveness in audits, 125, 129–30

defensive tactics in presenting a business case, 94 definitions in software license agreements, 37–39, 41 delivery

of software, 34, 36, 41 of tech support, 38

demonstration software/licenses. See evaluation software

deployment defined, 8

SAMPLE

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index

175

double, 126–27 and license pools, 84

and software asset management, 7

descriptions in software license agreements, 34–35, 41–43

direct support (SAM tools), 81–82t disaster recovery, 35, 127

discontinued software, 40 discounts, 37

discovery software. See auto-discovery disputes, provisions for, 39–40, 43t, 126

Distributed Management Task Force (DMTF), 146–47t divestiture activity

as audit trigger, 15t, 124

provisions in software license agreements, 38, 40 DMTF (Distributed Management Task Force), 146–47t documentation, software, 27, 34

documentation of audit process, 131

documentation of software license agreements. See

also contract management

and audits, 125–27 backups, 28, 152 proof of license, 27–28 double deployment, 126–27 downgrade licenses, 30, 153

due diligence as trigger for audits, 10t, 15t duration of acceptance period, 42 duration of licenses, 28, 30, 37

e

ease of use and SAM tools, 83, 85 education on compliance, 150–51, 156 embedded third-party software, 39 employees

compliance, encouraging, 93, 150–51, 156–57 costs of, 101

defining, 35

monitoring, 153, 155 and SAM tool selection, 80

in self-assessment of SAM processes, 53, 59–60 in self-audits, 15, 152

in software license management, 2, 94 surveys, 15, 150

tips on noncompliance, 12

end-user license agreements (EULAs), 27 end-users. See also culture of compliance

as audit triggers, 10t as stakeholders, 94

surveys for self-audits, 15, 150

enforcement, employee, 151 enhancements, 38 enterprise licenses, 31–32, 40 entitlement, 28 error correction, 38 errors, payment, 39

EULAs (end-user license agreements), 27

evaluation activity in software license agreements, 35 evaluation software

licenses, 28–29 and piracy, 13

provisions in software license agreements, 35, 127 event notification as SAM tool component, 79t, 82t Exercises

auditing and compliance basics, 9, 13 audits, external, 128, 138–42

audits, self-, 161–70

calculating ROI, 108–9, 112–14, 116–19

licenses (software license agreements), 33, 47–49, 166–67

piracy, 13

respond to objections, 104, 115 SAM tool selection, 75, 88–89

self-assessment of SAM processes, 66–70 standards and frameworks, 149, 161, 170 expansion activity, 36

expenses. See costs exposure

calculating, 98–99 defined, 96

and implementation alternatives, 102–3 extension options, 40

external parties in self-audits, 15–16

external references for software license agreements, 34–35

f

FAST (Federation Against Software Theft), 11, 124 feature and function components of SAM tools, 79t, 82t Federation Against Software Theft (FAST), 11, 124 fees

in calculating ROI, 99, 101 maintenance, 36–38, 40, 155 one-time, 37

financial forecasting, 17

financial management as SAM tool component, 78t, 81t fines

avoiding through self-audits, 15 in calculating exposure, 98–99

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fines (cont’d)

compliance agencies and, 11, 124 as hard cost, 96

settlements, 12t, 125, 129t, 131 forecasting

and budgeting for SAM tools, 73 financial, 17

usage, 36 frameworks

COBIT and ITIL, 61, 145–46, 147t compared to ISO/IEC 19770-1, 147t defined, 144 Exercises, 149, 161, 170 value of, 143 Freescale Semiconductor, 93 freeware, 13, 29t future costs, 38, 43t

g

gap analysis. See self-assessment of SAM processes glossaries in software license agreements, 37–38

Glossary of Software License and IT Asset Management Terms, 3, 145

government agencies as auditors, 10–12

H

hard costs, 96–99 hard-disk loading, 27–28 hardware, 13, 15, 60, 166 harvesting, 84 help desk, 59, 74t, 80,108, 116, 170 honesty and audits, 129–30

I

IBSMA (International Business Software Managers Association), 1–3

IBSMA Practitioners Certificate in Software License Management (PCSLM), 1–2

IEC (International Electrotechnical Commission), 52, 146–47t

ignorance as a defense, 13, 129

IMAC (install/move/add/change) activity, 55, 61, 78t implementation alternatives, outlining, 102–3 incident management, 16, 55, 79t, 82t indemnification, 39, 127

indirect support (SAM tools), 81 Information Industry Association, 11

Information Systems Audit and Control Association (ISACA), 145, 147t

Information Technology Infrastructure Library. See ITIL

(Information Technology Infrastructure Library) infrastructure, defined, 16

installation

configuration, 41

install/move/add/change (IMAC) activity, 55, 61, 78t provisions in software license agreements, 35–36, 41 and usage data, 153

integration of SAM with IT services as optimization, 155

and SAM self-assessment, 53, 61 and SAM tools, 84

and self-audits, 152, 155 internal audits. See audits,

self-International Business Software Managers Association (IBSMA), 1–3

International Electrotechnical Commission (IEC), 52, 146–47t

International Organization for Standardization (ISO), 52, 146–47t. See also ISO/IEC 19770-1

interoperability of SAM tools, 79t, 82t, 84 inventory management and inventories

in calculating ROI, 97 defined, 8

Exercise, 166–67, a27 in SAM, 7, 16, 55

as SAM tool component, 71, 79t, 81–82t for self-audits, 152–53

investment, return on. See return on investment (ROI) invoices, 27–28, 37

ISACA (Information Systems Audit and Control Association), 145, 147t ISO/IEC 19770-1 compared to IT frameworks, 147t conformance/compliance, 56, 149 defined, 52 Exercises, 68–70, 149, 161, 170 optimization recommendations, 155 Quiz, 57–58

SAM process areas, 54–58 and SAM tools, 74, 77, 81–82t, 148

self-assessment against, 51–52, 56–61, 66–69 ISO/IEC 19770-2, 148

ISO/IEC 19770-3, 148 ISO/IEC 20000-1, 146 ISO/IEC 20000-2, 146, 147t

ISO (International Organization for Standardization), 52, 146–47

ITAM, 17, 59, 95

ITIL frameworks, 61, 145–47, 161

ITIL (Information Technology Infrastructure Library), 61

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177

IT service management (ITSM). See ITSM (IT service management)

IT services and SAM, 7, 16

SAM integration with, 53, 61, 84, 152, 155 and SAM self-assessment, 61

software license management in, 5 ITSM (IT service management)

defined, 61

integration of SAM processes, 61 SAM tools, 79t, 82t

IT standards. See standards

j

JTC1 (ISO/IEC), 146

K

key, activation/license, 8, 27, 32 key concepts, explaining, 95 Key terms, 6, 26, 52, 72, 92, 122, 144

l

language, audit, 39, 126–27, 145 language, business, 94 leasing software, 13 legal departments

and audits, external, 125–26, 129t, 130–31 and audits, self, 15

and business case creation, 94 and software license agreements, 41 legalese, 41

liability, vicarious, 13, 129–30 liability limitations, 39

license agreements. See software license agreements license compliance. See compliance

license compliance audits. See audits, external license metrics

and calculating ROI, 97 defined, 28

and license types, 30–32

and negotiations, 30, 32, 35–37, 127 and pricing, 35–37

and SAM tool budget, 73 tabulating, 97

tracking for self-audits, 152–53 license pools, 44–45, 84

license reconciliation, 152–54. See also audits, self-defined, 73, 151

Exercise, 168–69

as SAM tool component, 78t, 81t

licenses (software license agreements), 25–50 annual, 30t

audit provisions in, 125–27 backing up, 28, 152–53 Case Study, 44–45, 49 classifying, 8, 28–32

client access license (CAL), 31t competitive upgrade, 29–30 concurrency, 31–32, 36, 84, 153 and custom development, 41–42 defined, 8, 28

documenting, 27–28, 125–27, 152. See also contract management downgrade, 30, 153 duration of, 28, 30, 37 enterprise, 31–32, 40 evaluation, 28–29 Exercises, 33, 47–49, 165–67 by metric, 31t

millions of instructions per minute (MIPS), 31t negotiating, 34–43

network, 31t open source, 31t

original equipment manufacturer (OEM), 29t Overview and Objectives, 26

and ownership, 25 per device, 31–32 perpetual, 30t, 155 per user, 31–32

product descriptions in, 34–35 by product type, 28–30 proof of, 27–28 Quiz, 46, 49 retail product, 29t Review, 45

SaaS (software as a service), 29t self-assessment, 48–49 shareware, 29t site, 31–32, 36 solution provider, 29t subscription, 8, 30t, 155 suite, 29t summary of considerations, 43t terminating, 40 types of, 8, 28–32 upgrade, 29–30, 38 volume, 8, 31–32

license surpluses. See over-licensing license transfers, 13, 35

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life-cycle management as part of SAM, 7, 55, 76 and payment, 36

and SAM tools, 71, 74, 77–78t, 81t

life-cycle process interfaces (ISO/IEC 19770-1) optimization of, 155

as SAM process area, 55, 61 and SAM tool components, 81–82t limits on maintenance fees, 38, 40 litigation, provisions for, 39

M

maintenance fees, 36–38, 40, 155 maintenance of custom software, 42 management

business case for software license management, 91–103

and culture of compliance, 150–51 involvement in self-audits, 15 and SAM self-assessment, 59

manual inventories and calculating ROI, 97, 100–101 market domination and audits, 123

measuring. See metering; metrics, license Medavie Blue Cross, 93

mergers and acquisitions as audit trigger, 13, 15, 124 competitive advantage in, 18

provisions in software license agreements, 38, 40 metering, 32, 153–54. See also metrics, license metrics, license

and calculating ROI, 97 defined, 28

and license types, 30–32

and negotiations, 30, 32, 35–37, 39, 127 and pricing, 35–37

and SAM tool budget, 73 and software costs, 37 tabulating, 97

tracking for self-audits, 152–53

migration, hardware/software, 13, 15, 35, 126 MIPS (millions of instructions per minute) license, 31t monitoring tools, 18, 32, 153, 155. See also metering;

metrics, license

motivations for audits, 9–10, 12–13, 40, 123–24

n

negotiating software license agreements, 34–43 audit terms, 38–40, 124–27

considerations in, 34–42

and cost control, 17 Exercises, 47–49

and integration of SAM and IT, 84 and license metrics, 30, 32, 35–37, 127 Overview and Objectives, 26, 34 Review, 45

net benefit, calculating, 100–101 net exposure, calculating, 98–99 net hard cost, 98

net investment, calculating, 101 network licenses, 31t

niche specialties in SAM tools, 84 no-charge items, 35

noncompliance costs of, 16, 91, 98

employee accountability, 151 reasons for, 25

settlements and rewards, 12t, 124–25, 129t, 131 nondisclosure agreements, 125, 129–30

nonproductive applications, 18, 101 normalization, data, 79–80

notification of audit, 124–25, 127

o

OASIS (Organization for the Advancement of Structured Information Standards), 146–47

objections, responding to, 104, 115

OEM (original equipment manufacturer) licenses, 29t OGC (Office of Government Commerce), 146–47 open loops, 154–55

open source software, 7, 13, 31t

operations management and interfaces (SAM process area), 54–55, 81–82t

optimization of software license management Case Studies, 19–25, 28, 156–58

defined, 154

recommendations for, 155 oral agreements, 133

organizational concerns in SAM self-assessment, 59 organizational management SAM process areas, 54–55,

81–82t

Organization for the Advancement of Structured Information Standards (OASIS), 146–47 original equipment manufacturer (OEM) licenses, 29t outside assessors, 127

over-deployment, 15, 124. See also under-licensing overlap periods, 35

over-licensing and audits, self-, 15

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index 179 costs of, 96, 154 credits for, 38–39 exposure calculations, 98 reasons for, 51 recommendations for, 155 Overview and Objectives

audits, external, 122 audits, self-, 144

basics of auditing and compliance, 6 business case and ROI, 92

SAM self-assessment, 52 SAM tools, 72

software license agreements, 26 ownership, proof of, 27–28

ownership of software, 7, 25, 42

P

paperwork. See documentation of software license agreements

parameterization, 41 passive metering, 32 payment, proof of, 27 payment terms, 36–39, 43t

PCSLM (IBMSA Practitioners Certificate in Software License Management), 1–2

penalties. See fines per device licenses, 31–32 perpetual licenses, 30t, 155

per-product exposure, calculating, 98 personnel. See employees

per user licenses, 31–32 piracy

as audit trigger, 10t, 12, 123 and control environment, 150–51 costs, 12–13, 16

defined, 12 Exercise, 13

hard-disk loading, 28 reasons for, 25

planning and implementation (SAM process area), 55, 81–82t, 155

platforms in SAM self-assessment, 61 point tools, 76–77, 83

policies, management

and culture of compliance, 36, 93, 150–51, 156 in self-assessment of SAM processes, 59–60 presentation, business case, 92, 94–95, 104–6 pricing and use, 35–37. See also metrics, license primary life-cycle interfaces. See life-cycle process

interfaces (ISO/IEC 19770-1)

primary process interface area, 54–55, 81–82t. See also life-cycle process interfaces (ISO/IEC 19770-1) privacy in audits, 130

problem management, 16, 55, 79t, 82t process areas. See SAM process areas process maturity, 74–75

procurement and requisition as SAM tool component, 78t, 81t

procurement departments, 15, 59, 94 product activation key. See activation key product catalog, 78t, 80, 153

product descriptions in software license agreements, 34–35

product exposure, 98. See also exposure productivity

calculating, 119 monitoring, 155

product schedules, 35, 37, 41 product type licenses, 28–30 product use rights, 7, 35–36, 43t

professional service agreements (PSAs), 42

Profiles in Excellence, 93

profiling in SAM tools, 83

project management expenses, 101 proof of compliance. See compliance proof of license, 27–28

proof of payment, 27 proprietary information, 41 Provance, 84

PSAs (professional service agreements), 42 publishers

aggressive, 122–23

audit motivations, 10t, 12–13, 123–24 as auditors, 10, 122–24

and audits, self-, 15 bankruptcy, 40 defined, 10

involvement in software license management, 125–27

and ISO/IEC 19770-2, 148 and ISO/IEC 19770-3, 148

merger, acquisition, and divestiture activity, 40 negotiating with, 17, 34–43, 124–27

records, 27, 132–33

relationships with, 40, 43t, 123–25, 129–30 purchase orders, 27

purchasing processes, centralizing, 5 pushback on business case, 94, 104, 115

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Q

questions

for negotiations of software license agreements, 34–42

for self-audits, 152 Quizzes

auditing and compliance basics, 14, 26, 28 audits, external, 137, 142

audits, self-, 160, 170 business case, 111, 116

licenses (software license agreements), 46, 49 return on investment (ROI), 111, 116

SAM tools, 87, 90

self-assessment of SAM processes, 57–58, 65, 70

r

random check-ups as audit trigger, 10t, 12–13 recommendations from self-audit, 154–55

reconciliation, license, 152–54. See also audits, self-defined, 73, 151

Exercise, 168–69

as SAM tool component, 78t, 81t

record-keeping. See also contract management of audit process, 131

for audits, 125–27, 132–33 backups, 28, 152

proof of license, 27–28

redundant purchasing, reducing, 17 relationship management, 55 relationships with publishers

and audits, 123–25, 129–30 negotiating with, 17, 34–43 remixable license pools, 44–45 removal of installations, 16, 154–55 renewals, automatic, 40

renting software, 13

reporting and analysis as SAM tool component, 78t, 81t reports

in business case presentations, 95 self-audit, 153–54

resistance to software license management, 94, 104, 115

retail product licenses, 29t

return on investment (ROI), 91–120 business case, developing, 95–106 calculating, 96–102

defined, 92

Exercises, 108–9, 112–14, 116–19

presentation of business case, 91–92, 102, 105–6

Quiz, 111 Review, 110 of SAM tools, 84 of self-audits, 15

revenue generation as audit trigger, 10t, 12–13, 123 Reviews

auditing and compliance basics, 25 audits, external, 136

audits, self-, 159

business case and ROI, 110

licenses (software license agreements), 45 negotiations, 45

SAM tools, 86

self-assessment of SAM processes, 64 rewards, whistle-blower, 12t rights audit, 32 cross-platform conversion, 38 second-use, 32, 153–54 use, 7, 35–36, 43t

risks. See also control environment and audits, 15–16, 154–55

costs of exposure, 91, 98–99, 102–3 ROI. See return on investment (ROI)

s

SaaS (software as a service) licenses, 29t, 83 sales channels and license types, 29–30, 37 sales departments and audits, 133

SAM. See software asset management (SAM) SAM consultants and external audits, 123 SAM process areas. See also ISO/IEC 19770-1

compliance certification, 148 Exercise, 68–69

integration with ITIL (Information Technology Infrastructure Library), 61

overview, 54–58

SAM tools and, 74–75, 81–82t, 148 self-assessment, 51–70

SAM tools, 71–90

and audits, external, 125

and audits, self-, 15t, 151, 153–54 automated compliance, 148 in calculating ROI, 84, 97, 101 Case Studies, 85–86, 90 combined, 76–77

components, 78–79t, 81–82t and concurrency licenses, 32 costs of, 101

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criteria, 73–74, 78–80, 83–84 defined, 71

Exercise, 75, 88–89

integration with IT services, 84 and ISO/IEC 19770-1, 81–82t, 148 metering with, 32

Overview and Objectives, 72 performance priorities, 83–84 point, 76–77, 83 Quiz, 87, 90 Review, 86 sizes of, 76–77 suite, 76–77, 80, 83–84, 155 vendors, 15–16, 125–27 Sarbanes-Oxley, 5 scope of audits, external, 11 of audits, self, 151–52 of calculating ROI, 97 defined, 53

of implementation options in presentations, 102–3 and selection of SAM tools, 83

of self-assessment of SAM processes, 60–61, 67 scoping access restriction, 83

script linkages, 84

SC7 (subcommittee 7), 146–47. See also ISO/IEC 19770-1 second-use rights, 32, 153–54

security

as reason for SAM self-assessment, 51 and SAM tools, 79t, 82–83

self-assessment of SAM processes, 51–70 and audits, 56

business case for, 94 Case Study, 62–64, 70 defined, 51

Exercises, 66–70

Overview and Objectives, 52 Quizzes, 57–58, 65, 70 reasons for, 53 Review, 64 roles in, 59–60

and SAM tool selection, 77, 81 scope of, 60–61

stages of, 53i

stakeholders in, 53, 59–60 starting, 59–61

self-assessors, 59–60 service desk, 59, 80

service level agreements (SLAs), 79t, 82t

service level management, 55 service providers in self-audits, 15

services agreements, professional (PSAs), 42

services included in software license agreements, 34–35 settlements, 12t, 124–25, 129t, 131

shareware licenses, 29t

SIIA (Software & Information Industry Association), 11–12, 124

site licenses, 31–32, 36

SLAs (service level agreements), 79t, 82t slide show sample of business case, 105–6 SLM. See software license management snapshot of compliance. See audits soft costs, 96–97 software asset inventory, 16 custom, 36–37, 41–43, 84 demonstration, 13, 28–29, 35, 127 embedded third-party, 39 evaluation, 13, 28–29, 35, 127 free, 13, 29t leasing, 13 migration, 10, 13, 15, 126 nonproductive, 18, 101 open source, 7, 13, 31t renting, 13 as a service (SaaS), 29t, 83 unlicensed, 61, 166 unsupported, 13 unused, 40 used, 13 virtualized, 166

software asset management (SAM). See also SAM process areas; SAM tools

benefits of, 5, 16–18, 95–96, 100–101 components of, 7i

defined, 7

implementation options in presentations, 102–3 and incident management, 16

infrastructure, 16

integration with IT services, 53, 61, 84, 152, 155 and problem management, 16

publisher and vendor involvement, 126–27 self-assessment, 51–70

software license management as part of, 5 success of, 93

surveys, 10, 17, 95, 122 terms, basic, 7–8

Software & Information Industry Association (SIIA), 11–12, 124

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software license agreements, 25–50 annual, 30t

audit provisions in, 125–27 backing up, 28, 152–53 Case Study, 44–45, 49 classifying, 8, 28–32

client access license (CAL), 31t competitive upgrade, 29–30 concurrency, 31–32, 36, 84, 153 and custom development, 41–42 defined, 8, 28

documenting, 27–28, 125–27, 152. See also contract management downgrade, 30, 153 duration of, 28, 30, 37 enterprise, 31–32, 40 evaluation, 28–29 Exercises, 33, 47–49, 166–67 by metric, 31t

millions of instructions per minute (MIPS), 31t negotiating, 34–43

network, 31t open source, 31t

original equipment manufacturer (OEM), 29t Overview and Objectives, 26

and ownership, 25 per device, 31–32 perpetual, 30t, 155 per user, 31–32

product descriptions in, 34–35 by product type, 28–30 proof of, 27–28 Quiz, 46, 49 retail product, 29t Review, 45

SaaS (software as a service), 29t self-assessment, 48–49 shareware, 29t site, 31–32, 36 solution provider, 29t subscription, 8, 30t, 155 suite, 29t summary of considerations, 43t terminating, 40 types of, 8, 28–32 upgrade, 29–30, 38 volume, 8, 31–32

software license compliance. See compliance software license management

basic terms, 7–8 defined, 1, 5, 7

as part of software asset management, 5 surveys, 94–95

software licenses. See software license agreements software metering. See metering; metrics, license Software Publishers Association, 11

solution provider license, 29t

specialty emphasis and SAM tool selection, 83–84 spreadsheets in self-audits, 153–54

St. Thomas University, 93 stakeholders

in audits, external, 10–12 in audits, self-, 15–16, 152 in business case creation, 93–94

in self-assessment of SAM processes, 53, 59–60 standards

bodies, 146–48 defined, 144

Exercises, 149, 161, 170

and frameworks compared, 147t self-audit, 143–48

statement of purpose, 53, 64, 66

statistics on software license management, 95, 122 streaming SAM tools, 84

subcommittee 7 (SC7), 146–47t. See also ISO/IEC 19770-1 subscription licenses, 8, 30t, 155

suite licenses, 29t

suite SAM tools, 76–77, 80, 83–84, 155 surpluses, license. See over-licensing surveys

in business case creation, 94–95 of end users, 15, 150

2008 Survey Report on Software and IT Asset Management, 10, 17, 95, 122, 124

suspicion of noncompliance as audit trigger, 10t, 12

t

tabulating software license figures, 97 TAG (U.S. Technical Advisory Group), 147t targeting business units in self-assessment, 60 taxes, 9–10, 37, 41

TCO (total cost of ownership), 38, 78t technical support, 38

termination of software license agreements, 40 terms

basic, 7–8

defining in software license agreements, 37–38, 41 test environments, 153

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third-party agencies, 9–12, 124

third-party software indemnification, 39 timeframe

of audits, 124–25, 130–31

in implementation alternatives, 103t

of usage in software license agreements, 127 tips of noncompliance, 9–12, 124

tools, SAM. See SAM tools tools for self-audits, 151

total cost of ownership (TCO), 38, 78t transfers of licenses, 13, 35

trial licenses. See evaluation software triggers, audit, 9–10, 12–13, 40, 123–24

defining in software license agreements, 127 for self-audits, 9, 15

true-up purchases defined, 11, 122 as hard cost, 96

pricing in software license agreements, 37 from self-audits, 15, 155

u

unauthorized copying. See piracy

under-licensing, 51, 96, 123–24. See also fines; true-up purchases

university case study, 156–58, 170 unlicensed software, 61, 166 unused software, 40 updates vs. maintenance, 38 upgrade licenses, 29–30, 38, 42 urgency and SAM tool selection, 83, 85 U.S. Technical Advisory Group (TAG), 147t usage tracking tools, 155

used software, 13 use rights, 7, 35–36, 43t

user interface/data fields of SAM tools, 79t, 82t

V

variance in implementation alternatives, 103t vendor management with SAM tools, 78t, 81t vendors. See publishers

verification and compliance (SAM process area), 55, 81–82t

vicarious liability, 13, 129–30 virtualized software, 166 Vocabulary Quizzes

auditing and compliance basics, 26, 28 audits, external, 137, 142

audits, self-, 160, 170

business case, 111, 116 licenses, 46, 49

return on investment (ROI), 111, 116 SAM tools, 87, 90

self-assessment of SAM processes, 65, 70 vocabulary terms, basic, 7–8

volume licenses, 8, 31t, 32

w

warranty terms, 36, 39 whistle-blower awards, 12 wizards, 79t, 82t workflow management, 79t, 82t

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Based on our popular Practitioners Certificate in Software License Management (PCSLM) course, this comprehensive guide is written in uncomplicated English and allows you to cover the course material at your own pace.

Learn practical tips and best practices.

Apply concepts to your work by completing the self-assessment exercises.

Review illustrations, graphics and key terms in each chapter to understand how concepts relate and summarize main points.

Prepare to take the PCSLM exam as well as administer an SLM program at your company.

We show many examples of SLM in practice to illustrate how—when successfully executed—SLM is a good business investment. The guide’s self-assessment exercises enable you to apply each chapter’s concepts to your work environment. Illustrations and graphics show how concepts relate and summarize main points. There is also a handy list of key terms in the front of each chapter. You’ll find that the practice exercises enable you to figure out the best way to handle everyday SLM situations.

For more information visit IBSMA.com.

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