A Guide to Software Asset Management -...
Transcript of A Guide to Software Asset Management -...
“Software is an essential business Asset and Software Asset Management is essential to good business practice”.
This guide has been developed to help businesses
understand the fundamentals of Software Asset
Management, to equip your organisation with the essential
information, tools and tips to ensure that your company,
however complex, has a robust Software Asset Management
system in place.
In it you will find valuable information about how Software
Asset Management can benefit your business and
importantly how you can protect your organisation from the
‘risks’ associated with poorly managed software.
With its help you will be able to perform a quick assessment
of your organisation’s current Software Asset Management
needs, and where appropriate, develop a whole range of best
practices for your business, to optimise the return on your
software investment.
We have designed this guide purposely with practicality and
portability in mind, to be viewed as a working document that
you can carry with you, refer to frequently and store safely.
You may want to make notes or add additional information to
the guide. So we have included a personal/notes section at
the back, accompanied by a handy ‘hole punch’ mechanism,
that will enable you to personalise and customise this guide,
if you wish.
About this Guide
Follow our step-by-step approach
Using the Index pages and Table of Contents opposite,
the following Software Asset Management topics are explored
in more detail: -
How can Software Asset Management benefit your
business and what are the risks of failing to manage
software correctly?
Are you curious as to whether your business could
be at risk? Complete our 10 question assessment
to find out.
Committed about putting a Software Asset
Management programme in place? Follow our
4 step implementation plan (Policies, Procedures,
Records, Review).
Want more help and information? Turn to the Tools
and Resources section.
Looking for the right licensing solution for your
company and how to protect your business from
Software Piracy? Turn to the Licensing and
Anti-Piracy Section.
Are you at Risk?Could your business be at risk? 14Quick 10 question assesment 15Performing a self-audit 16
Personal Information & Notes 79
A Guide to Licensing and Anti-PiracyMicrosoft Licensing - What to look for 63
Anti-Piracy Guide 73
Microsoft Product Indentification 76
Tools and ResourcesSoftware Management Tools 49
Microsoft Software Inventory Analizer 50
Quick reference guide 59
Software Asset ManagementPrinciples of Software Asset Management 21Establishing Corporate Policies 24Designing & Implementing Procedures 30Managing & Maintaining Records 38Ongoing Management & Review 44
Benefits and Risks Page No:
How can your business benefit from 7Software Asset Management? A software policy can protect you from risk 9Legal basics 11
Protect your businessfrom risk and learn aboutthe benefits of SoftwareAsset Management
“Poor Software Asset Managementcan be very costly.”
How can your businessbenefit from SoftwareAsset Management?Improved software planning and cost control - Software acquisition
can represent a significant proportion of the IT budget. So it makes
good fiscal sense to control these costs effectively. Good Software
Asset Management can help you determine which software
programs you need and which you don’t. It can also help you take
advantage of volume license discounts offered by many software
publishers and determine how to deploy software most efficiently
across your organisation.
Manage technological change - Software Asset Management can
help your company identify its software needs, avoid obsolescence,
and ensure proper technology to help meet business goals to stay
ahead of the competition.
Alleviate communication and data transfer problems -
In organisations where technology has proliferated without controls,
many different software platforms and versions may exist,
contributing to communication problems. Managing software can
help address and resolve these issues, improving workflow and
efficiencies.
Justify investments in technology - Managing software can help
organisations understand the value they receive from their software
investment as well as identify parts of the organisation that may be
in need of software upgrades or new software programs.
Benefits 7
Computer software is a central part of
many businesses’ operations but its
increased importance brings new risks.
An effective Software Asset
Management policy can help protect
you against these risks.
A Software policy canprotect you from risk
Non-Compliance Risks
Legal costs and penalties - Abuse of software licenses can result in
financial penalties and legal costs. Additionally, company executives
can be held individually liable both criminally and civilly, for any
copyright infringement that occurs within the organisation.
Damaged reputation - Abusing software licenses can damage your
company’s reputation.
Viruses that can harm computers and networks - Unauthorised
copies of software can contain viruses with the potential to damage
both individual computers and entire networks. Viruses can and do
cause irretrievable data loss, which would be devastating to
most companies.
Ineligibility for technical support or product upgrades - When
using unlicensed software, you are not eligible for technical support
from the software publisher. If you have a technical issue in need of
resolution, often at times a work-stopping issue, you are on your own.
In-addition, product upgrades (less expensive upgrades of existing
products) are not available to you.
Legal costs and penalties - Legal costs and fines, damaged
reputation, computer viruses, ineligibility for technical support and
software compatibility issues all equate to lost time, which means
lost opportunities to your business.
Risks 9
Setting up a software policy may not
seem like a pressing concern, but
without one, your business will be
exposed to a range of risks – some
of which could be highly damaging.
Legal BasicsWhat is a software licence?
When you ‘buy’ software you are buying a licence. A software
licence grants you the legal right to run a software program.
For each software program you use, you need a licence
granted to you and documented in the licence agreement.
Breaching the terms of the licence agreement is software
piracy. Typical breaches include:
● Using legally acquired software on more computers than
the licence allows.
● Allowing employees, or contractors to make unlicensed
copies of software.
● Making or selling illegal copies of software.
● Using illegal copies of software, even unknowingly. (The law
does not require you to know that your activity is illegal. The
mere act of using an illegal copy of the software makes you
liable).
● Allowing or asking a consultant (for example) to install
software on your system when you do not have a licence
for it.
Legal Basics 11
Software LicensingMicrosoft offers many licensing
programmes designed to meet the
needs of differing customers.
The software licence that accompanies
these programmes will vary. A summary
of the licensing programmes in place
can be found in the ‘Guide to
Licensing and Anti-Piracy’ section of
this folder on page 63.
Please see
http://www.microsoft.com/piracy/licenseguide/default.asp
for further information on these licensing
programmes, including the documentation you’ll need
to retain to verify licence compliance.
Software Piracy can be a criminal offence
You (or your directors – if you are a limited liability company)
risk up to two years in jail, or an unlimited fine.
The civil courts have the power to grant injunctions to stop
the continued use of unlicensed software and make you
deliver up all infringing copies of the software, and they will
also make awards for compensation to be paid to the owner
of the intellectual property rights in the software.
Software publishers may sue you for piracy
You can be sued for any improper use of their intellectual
property. Compensation can run to tens of thousands of
pounds. It is usually calculated by reference to the amount of
money that the copyright owner has lost. That in turn
depends on the number of illegal copies and the length of
time those illegal copies have been in use.
You also face the expense and disruption of legal action,
regardless of whether you go to court.
It can be easier than you think to be found out
The software publishers trade association, the Business
Software Alliance (BSA), offers a reward of up to £10,000 for
information on the illegal use of software.
See the BSA website for more details:
http://www.nopiracy.co.uk
12
“Your reputation could suffer if it ismade public that your business hasbeen using illegal software”
Are you at risk?
“If your business was atrisk are you certain youwould know.”
Are you at risk?
Step 1
Curious about whether your company is at risk for using unlicensed or
pirated software? Answer the following questions to help assess your risk.
If you answered no to any of these questions, or if you are unsureabout any of the answers, you need to evaluate your organisation’ssoftware situation in greater detail.
Are you at risk? 15
1. Do you know how many PC’s, laptops, and serversyou company currently has in use?
2. Do you have a software licence for all softwareprograms installed on your PC’s, laptops, andservers?
3. Are you confident that no company employeeshave made unauthorised copies of software?
4. Did you acquire all the software installed on yourPC’s, laptops and servers from reputable sources?
5. Does your company have a written policy forcopying software and/or purchasing softwarelicenses?
6. Does your business have a clear written softwaremanagement policy approved and sponsored bysenior management?
7. Does your business maintain an accurate inventoryof software, hardware and licence ownership?
8. Are licence confirmations reconciled with yourorganisation’s orders?
9. Does the person who is responsible for softwarelicence compliance have specialist knowledgeabout software licensing issues?
10. Do you operate regular checks of installedsoftware against software licences held?
QUESTIONS YES NO UNSURE
A fragmented or poorly managed Software
Asset Management system can lead to
the use of unlicensed software, thus
putting your company at technological
and legal risk.
Your business could be at risk, if any of these scenarios
sound familiar:
● Your company has grown, expanding rapidly in recent years
● Your organisation has undergone a merger, de-merger
or acquisition
● Your business is geographically diverse, with many
subsidiaries
● You are operating with a de-centralised purchasing/
procurement policy
● Your company has witnessed a high turn-over of IT staff
over recent years
We understand that maintaining
control of and managing your valuable
software assets in any of these very
common circumstances can be
extremely challenging!
Step 2
If you have identified that your organisation may be at risk
then there are a number of things you can do, e.g. you can
undertake a self-audit or ask an appropriate company for
assistance in doing one.
Step 3
Undertaking a self-audit
Should you elect to undertake a Software Asset Management
audit internally, you will need to ensure the following:
● That overall responsibility for development and
implementation is assigned to a single individual.
● That the assigned individual has the ability to delegate
specific tasks to appropriate personnel within your
organisation.
The next stage is to perform an initial software inventory.
16 Performing a software inventory 17
Step 4
Perform a software inventory by doing the
following:
● Establish the number of PC’s, laptops and servers your
company has in use and the type of software installed on
each machine.
● Compare this information against the number of legal
software licenses your company owns.
● Account for any licence deficiencies and purchase
sufficient additional licenses to bring your organisation into
compliance.
Depending on the size of your organisation, and the condition
or your records, this may be quite simple, or it can take a bit
of effort. In either case, establishing this initial inventory is
critical to effective Software Asset Management.
There is a free Microsoft software inventory tool contained
within the CD that accompanies this guide. Refer to the Tools
and Resources section on page 49 for further assistance. Or
visit http://www.microsoft.com/piracy/msia
For a listing of other available tools, please visit
http://www.microsoft.com/piracy/samguide/tools/sit.asp
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Step 5
Establishing software policies and procedures
While the number of policies and procedures your
organisation needs will vary depending on the company size,
scope and culture, at a minimum they should cover the
following:
Software use and copyright policy - Your company should
have a clear and enforceable policy on copyrighted software,
which addresses your companies adherence to software
license agreements, and employees’ responsibilities to follow
the software procedures set by management.
Procurement policies and procedures - Your company
should have written policies covering how employee’s request
software, responsibility for software acquisitions, approved
software vendors, software installation procedures, personal
software policies and disposition of software assets.
For more detailed information, please refer to the Software
Asset Management section of this guide on page 21, which
covers the Principles of Software Asset Management in
greater detail.
Software AssetManagement
“Proper Software Asset Managementtakes time and effort. But the payback is well worth it.”
The Principles ofSoftware AssetManagementOnce you have identified that you need to implement a
Software Asset Management Programme then we
recommend you follow these guidelines.
CORPORATE POLICIES
Evidence that a company is committedto Software Asset Management
REVIEW
To ensure that processes areworking and being
implemented, so that recordsalways remain accurate
RECORDS
● Software Inventory● Hardware Inventory● Licence Inventory
PROCEDURES
To ensure theimplementation of
the policies
Software Asset Management 21
How to keep your businesscompliant
Managing your software assets can lead to improved
performance. As businesses invest more in technology,
Software Asset Management plays an increasingly critical
role in promoting efficiency, productivity and performance.
Here we guide you through some of the principles of
Software Asset Management:
Establishing Corporate Policies
Designing and Implementing Procedures
Managing and Maintaining Records
Ongoing Management and Review
EstablishingCorporatePolicies
There is no universally correct solution
to Software Asset Management or
Software License Compliance, and there
can be no guarantee that by following
any set of guidelines that all problems
will be avoided.
However, by following the guidance in
this section many of the most common
problems should be avoided and the
major underlying issues clarified. So your
organisation can more easily find a
unique solution, tailored to your own
business specific needs and
circumstances.
Developing a Policy
Making it work
Company culture
Before anything else, your company culture must be one in
which all your employees understand the value of software,
learn the difference between legal and illegal use, and pledge
their commitment to the proper use of software. To do this,
you must have a clear statement of policy on the legal use of
software. The statement should express the company's goals
to manage software for maximum benefit, use only legally
licensed software, and spell out the company's procedure for
acquiring legal software.
Establish policies
If your business has no written policies or procedures, now is
a good time to write them. While the number of policies and
procedures your business needs will vary according to
company size, scope, and culture, at a minimum they should
cover the following:
Software use & copyright policy
● Is there a clear and enforceable policy on software copyright?
(creating and communicating a policy on software use and
copyright enforcement is an important step in reducing the
business's liability for copyright infringement).
Personal software
● Do you permit personally owned software to be installed on
PC's? If so, under what conditions? We recommend that if
a user needs access to software at home, the company
purchases a separate licence and records it as an asset on
the software register.
Communicate the policy to all employees● Tell them that the company will not allow or tolerate the
use of illegal or pirated software.
● Consider referring to the policy in your statement of
employment terms. Alternatively, ask employees to sign
a statement saying they understand and accept the policy.
● Regularly remind employees of the policy, particularly when
breaches are suspected.
● Encourage employees to tell you if they think they may have
dubious software, or if they have any other concerns.
Rigorously enforce the policy
Make sure that following the implementation of your software policy,
all employees understand the consequences of not adhering to it.
The more effort you put into enforcing your policy and making sure
that employees know that use of illegal software is not acceptable
within your organisation, the less vulnerable your organisation will
be. Showing that you made all reasonable efforts to prevent
unauthorised use of software could also help you with the
defence of a claim against your organisation, should an employee
breach the policy.
24 Establishing Corporate Policies 25
The policy should:
● State what you consider to be acceptable and
unacceptable use of your IT system.
● Set out who is responsible for administering and repairing
systems and enforcing your policy.
● Regulate how the Internet and e-mail are used.
● Protect your own intellectual property rights.
Employees can use the Internet and e-mail to copy and
pass on your intellectual property or other confidential
material, perhaps unwittingly.
“Implementing an effective policy and
a good document management system
is essential”
Corporate policy regarding the use ofpersonal computer software
1. (Name of Business) licences the use of computer software from a variety
of software vendors. (Name of Business) does not own the rights to this
software or its related documentation and unless authorised by the software
developer, (Name of Business) does not have the right to reproduce it, other
than expressly allowed by the software developer (eg for back-up purposes).
2. With regard to Client/Server and network applications, (Name of Business)
employees shall use the software only in accordance with the terms of the
relevant licence agreements for that software.
3. (Name of Business) employees shall not download or up-load
unauthorised software over the Internet.
4. (Name of Business) employees learning of any misuse of software or
related documentation within the company shall notify his/her department
manager or relevant personnel.
5. According to English Copyright law, persons involved in the illegal
reproduction of software can be subject to civil and criminal penalties
including payment of compensation (for a civil claim) or fines and
imprisonment (following a criminal prosecution).
6. (Name of Business) does not condone the illegal duplication of software.
(Name of Business) employees who make, acquire, or use unauthorised
copies of computer software shall be disciplined as appropriate under the
circumstances. Such discipline may include or lead to the termination of the
individual’s contract of employment.
7. Any doubts concerning whether any employee may copy or use a given
software program should be raised with a responsible manager before
proceeding.
I confirm that I have read and understood the software use policy of (Name
of Business) and I agree to abide by and uphold that policy.
Employee signature Date
26
Whatever your policy, make sure it is included in the packet of
information given to new employees and visible to all, so that
everyone can abide by it
Make your software policy part of a wider IT policy designed to
safeguard the security of your systems and data and protect you
against a range of legal risks
Establishing Corporate Policies 27
Manage organisational change
A common requirement for most organisations is to manage
mergers and de-mergers, or other radical organisational
change, effectively. This should include reviewing and
transferring licenses.
Due Diligence - if your organisation is acquiring or merging
with another, you should ensure that it is legally licensed for
all of its software usage. If not, you will acquire its legal
exposure as well, irrespective of whether or not you are aware
that you are doing so.
28
Designing &ImplementingProcedures
Centralise purchasing
● Require all software purchase requests to be in writing with
department manager approval.
● Don't permit employees to buy software directly or charge it
to their expense accounts.
● Ensure that employees without special approval cannot
download software from the Internet.
Keep proof of purchase
Always keep the original documentation – including the
Certificate of Authenticity (COA), End User Licence
Agreements (EULA) and purchase invoices – they are your
proof of purchase. Keep a formal inventory of what these
documents relate to and where the software has been
deployed in a safe place.
More information can be found in the Managing &
Maintaining Records section on page 38.
Implementing Procedures 3130
Designing &ImplementingProcedures
Appoint a software asset manager
Clearly identify a Software Asset Manager who is responsible
for ensuring that your companies Software Asset
Management policy is understood, implemented and
adhered to.
Purchasing software
Be careful about how you buy and install software. This is
essential if you want to be sure that the software you buy
is legitimate.
Only buy software from reputable sources. Typically, this will
be an authorised distributor in Europe or a partner outlet
recognised by the software publisher. If in doubt, make
further checks (e.g. through the Microsoft Product
Identification Service) or buy the software elsewhere.
Be particularly wary of software sold through e-auction
houses, much of it is illegal and you also risk paying for
software that you will never actually receive.
N.B. Turn to page 76 to find out about Microsoft’s Product
Identification Service.
Procurement policies and procedures
How do employees request copies of software or upgrades of
existing software programs? Specifically:
● Who makes the acquisition decisions and on what
criteria is this based?
● From which vendors is the software acquired?
● What effort does your business make to find the best
pricing?
We recommend that all software be purchased through the IT
department and that users must obtain approval from their
manager to do so. It is recommended that software is not
paid for by cash, credit cards or on general expenses. That
way, if all software is purchased centrally, detailed purchasing
records can be maintained.
Software installation procedures
Who is responsible for the software when it first arrives?
Who records serial numbers, sends in the registration, and
records this information?
We recommend that the Software Asset Manager (or
someone authorised by him/her) is the only person
authorised to install software. We also recommend that
manuals (if supplied), along with other materials (eg
Certificate Of Authenticity (COA), End User Licence Agreement
(EULA) and CD roms with the software program), should
permanently reside in the IT department. Once installed on
the hard drive, the original software CDs should be locked in
a secure storage facility with a tracking number – to help
identify who the supplier was and when the supply was
made, (should that ever be necessary) which the Software
Asset Manager will be responsible for maintaining.
Carry out basic checks to make sure the
software is legitimate
● Software packages should typically contain a licence document
with a serial number, a registration card and a manual.
● If you are buying multiple copies of software for use on
a number of computers, (e.g. through a Volume Licensing
Programme such as Open or Select) you will only receive
one licence document.
● Pre-installed software supplied with computers may only
have an electronic manual.
Check the packaging
● Poor quality labels, photocopied manuals and the like
are often signs of pirated software.
NB. Please see information on Microsoft Product
Identification Service in the Anti-Piracy section on page 73.
● Obtain original licences and receipts for each purchase.
32 Implementing Procedures 33
Disposal of software
What happens to the old copies of software that have been
upgraded or are no longer used?
Retire obsolete workstations
The software inventory process will let you identify and retire
workstations and the accompanying software that are no
longer in use. You should note that Microsoft software
acquired with the purchase of a new machine (also known as
"OEM software") is not transferable to new or other
workstations and must be retired along with the PC.
However software purchased through Microsoft retail (full
package product) and Volume Licence programmes can be
re-deployed to other PCs, which can provide your business
with additional savings.
Transfer of licences
If an organisation being acquired or divested has been part
of a larger organisation, it is possible that its software
licenses have been ordered and are owned by an affiliate,
which is not part of the divesture. In this situation, licences
do not transfer automatically, but must be formally
transferred. You must read your own agreement for details,
but the following are general principles:
● Physical licences
Physical evidence of licences must be transferred where
this exists (refer to the Licensing Section on page 63 for
more details).
● Electronic licences
Where licences are electronic only (eg Microsoft Open or
Select) then a notification procedure should be followed,
in accordance with the terms of your relevant licence
agreement.
● Change of ownership
Change of ownership and responsibilities must be
evidenced in writing. Where licences have been registered
to a specific named organisation, we recommend that the
change of ownership document is stored safely.
Technical
Ensure the software being requested is on the company's list
of supported software.
Standardise software
If you discover that employees are using out of date or
various versions of software programs, this may be a good
time to look at standardising the software usage through
upgrading existing licences. This can often lead to greater
productivity, as all employees are standardised on the same
version of software, thus reducing file share or transfer
issues promoting greater employee efficiency.
34 Implementing Procedures 35
Managing &MaintainingRecords
36
Review procedures
It is usual to find that software acquisition is not co-ordinated
well between one department and the next. In such a case,
centralising the software acquisition function could lower
costs by allowing you to take advantage of Volume Licensing
options. Further, those businesses who centralise their
software acquisition tend to:
1. exhibit greater compliance with licence terms and
conditions.
2. generate cost savings by purchasing the correct type of
licence - as it is generally known what existing licences
are on hand and whether these licences can be upgraded
or not.
3. more readily align the software IT budget with actual
spending against that budget, which can lead to more
efficient resource allocation.
All of the above points in this section should be addressed in
your companies procedure for Software Asset Management to
ensure consistency, to aid in the record keeping process and
to generate cost savings for your business.
The software register
A software register is the simplest way of keeping tabs on the
software you are using, helping you to control purchases and
upgrades and pre-empt potential licence problems.
Create an inventory of all the software
you use
● Record the product name, version number and serial
number for every software program loaded on every
computer.
● Note down the same details for software you have not yet
installed.
● If you own licences which allow you to use multiple copies
of a piece of software, record how many copies are
installed, and on which computers.
Records
Principal Inventory Databases
InstalledSoftwareInventory
HardwareInventory
LicenseInventory
● Include details of any software pre-installed on computers
you have bought.
Keep all the information in a secure software register.
You may want to design your own software register or consider
using an off-the-shelf product. Many solutions are available
with a range of functionalities from simple inventories which
must be updated manually to more sophisticated inventories
which are updated automatically by software scanning tools.
A list of some of today’s most popular Software Inventory and
Asset Management Tools can be found at
http://www.microsoft.com/piracy/samguide/tools/sit.asp
N.B. This is not a Microsoft endorsement of any particular tool.
If you are in the process of selecting a tool, we recommend you
extend your search beyond what is listed on this website.
Store original software and documentation
securely
● This should include original software CDs or floppy disks,
and any manuals, Certificates Of Authenticity (COA), licence
documents and invoice details. If you cannot find all the
relevant information, you may want to contact the software
publisher to check that your software is legitimate.
● File manuals and documentation properly so you can find
them easily.
38 Maintaining Records 39
Hardware register
● Locate the exact number of workstations deployed in your
organisation.
● Know the quality, type and function of hardware.
● Create a Hardware Asset Register where all stations and
servers are logged.
As with the software register you may wish to consider off-
the-shelf solutions. The more complex solutions will combine
software and hardware registers with automated software
scanning capabilities. Such tools can often deliver benefits
outside of Software Asset Management, such as the ability to
remotely take control of PCs for helpdesk support.
A list of some of today’s most popular Software Inventory and
Asset Management Tools can be found at
http://www.microsoft.com/piracy/samguide/tools/sit.asp
N.B. This is not a Microsoft endorsement of any particular
tool. If you are in the process of selecting a tool, we
recommend you extend your search beyond what is listed on
this website.
40
Licence register
Locate licences or other proof of purchase documentation and
summarise the number of total licences owned. Proof of licence
purchase may exist in a number of forms depending on the type of
licence you have acquired.
Please refer to the Guide to Licensing section on page 63 for
information and examples of Microsoft licence proof of purchase.
Good Software Asset Management provides good Software Licence
Management as an inexpensive by-product. It provides benefits
which are greater than the associated costs. For example, Software
Asset Management addresses the areas of help-desk support,
version control, and deployment planning which allows an
organisation to respond quickly to changing business requirements
and opportunities.
With Volume Licensing programmes, e.g. Open or Select, licence
confirmations from Microsoft, either hard copy or electronic, are the
only legal evidence that a licence is owned. The certificate sent by
some re-sellers as a ‘proof of purchase’ is not proof a licence is
owned. It is the responsibility of the end-user organisation to check
that they have received the appropriate Microsoft License
Confirmations.
Microsoft Enterprise Agreements do not eliminate the need for
Software Licence Management. They just simplify the process and
reduce the volume of work required for the software products
covered. Proper systems and procedures are still required for these
reduced requirements. Furthermore, standard Software Licence
Management requirements will continue to exist for all software
not covered by Enterprise Agreements.
Maintaining Records 41
ReviewOngoing management
Effective Software Asset Management is a continual process.
You need to monitor adherence to your organisations
software policy, and perform periodic reviews of the software,
hardware and license registers to ensure they remain
accurate. It makes sense to have someone within your
company responsible for these review processes.
Review of procedures
The procedures you have designed for good Software Asset
Management are there to protect against the risks mentioned
earlier in this guide. It is therefore a good idea to review the
procedures from time to time to ensure that they still address
the risks appropriately. For example, a company may wish to
change its Software Asset Management procedures if there
has been a development in technology which will help in
reducing the administrative effort for a particular process.
It is also appropriate to perform reviews to ensure that
the processes which have been defined are actually
being followed.
Review of registers
Unfortunately, it is a fact of life that records become
inaccurate over time. It is therefore important to perform
periodic checks on sample workstations to ensure that
unapproved software has not been installed. As with
hardware and software, license registers should periodically
be reviewed to ensure all purchases have been included and
all important license documentation can still be found.
If your organisation has an audit function, this is probably
the best group to perform the review of procedures and
determine the accuracy of the registers.
We recommend that you carry out such a review once a year
at the very minimum.
44 Ongoing Management and Review 45
Software ManagementTools
Software Inventory and Asset
Management Tools
There are many Software Inventory and Asset Management
Tools available on the market. Software Inventory Tools
primarily inventory the software installed on PCs, while
Software Asset Management Tools are designed to help
you manage your network of computers and the associated
software.
A list of some of today’s most popular Software Inventory and
Asset Management Tools can be found at
http://www.microsoft.com/piracy/samguide/tools/sit.asp
This information can also be found on the enclosed Software
Asset Management CD.
N.B. This is not a Microsoft endorsement of any particular
tool. If you are in the process of selecting a tool, we
recommend you extend your search beyond what is listed on
this website.
However there is a Software Asset Management CD enclosed,
which enables you to conduct a review of the Microsoft
software that is installed in your business.
This CD carries out its review remotely on your systems and servers and does
not transmit any information outside your business.
Tools and Resources 49
This folder is just one element of
Microsoft’s campaign to help customers
understand how to manage software
in their business and to ensure their
licensing is fully compliant.
50
Microsoft Software Inventory Analyzer
The Microsoft Software Inventory Analyzer (MSIA)* is a free
tool designed to help businesses conduct an inventory of
their key Microsoft software programs.
It's easy to use, lets you perform the inventory yourself, and
works whether you have a single computer or are part of a
networked environment. After running the tool, a summary
report of Microsoft Product Installations will be generated
which will allow you to enter corresponding license purchase
information for a complete analysis of your companies license
compliance status. It takes only a few minutes, it's easy to do
and totally confidential.
*Internet connection required.
Reports
MSIA generates a summary report of the core Microsoft
software products it discovers on your machines and provides
a table for you to add licence information so you can quickly
and easily determine if your software is correctly licensed.
Language Support
The MSIA tool and interface are both written in English,
however, MSIA does identify international language products.
Systems Requirements
You can run the Microsoft Software Inventory Analyzer on any
computer with the following characteristics:
● An Intel 486 or greater processor, 25 MHz or faster
● At least 2 MB of free hard-disk space to run Setup
● Microsoft Windows® 95 or higher operating system
Note that if you are attempting to inventory a network of PCs
which utilize Microsoft Windows 95, Windows 98, or Windows
Millennium operating systems, there are a few initial
procedures necessary for the scan to work.
Feedback and Support
We want to hear from you! To submit questions or feedback
about the Microsoft Software Inventory Analyzer, send us an
email to: [email protected]
Tools and Resources 51
52
Microsoft Software Inventory Analyzer
Step-by-Step Guide
Each step of the MSIA program has been documented here
to help answer any questions you may have as you run
through the MSIA Wizard. The MSIA is enclosed on the CD at
the back of this folder.
1. The Welcome Screen
The welcome screen
briefly states the purpose
of the tool.
2. Local or Network Scan
MSIA provides the option of
scanning either the local
machine or the Microsoft
Windows Network. Sample
screen is shown.
If you select "Network" as
the mode of scan; the screen
will appear as shown.
If you chose "Network" scan mode, you must have
administration rights over the network you chose to scan.
MSIA will use the “user name” and “password” used to log on
to the current machine as the default setting. If you do not
have such rights and
would like to log in under
a different name click
"Login As" button which
appears as follows:
3. Machine Selection
This screen displays the
entire network in a tree
view, and appears only if
the "Network scan" mode
option was selected.
Selecting a domain will select all the machines in the domain
along with child domain's machines, if any.
Please note that you need to select a minimum of one
machine for scanning.
Tools and Resources 53
54
4. Download Updated
Data Files
Using this screen, you can
download the latest version
of data files from Microsoft's
Web site.
This step is necessary only if you are running the product
from a CD or disk, as the database of Microsoft Products may
have been updated since the CD or disk was produced.
If you are downloading MSIA from the Web site at
http://www.microsoft.com/piracy/msia the database will
be current and there is no need to download updated files.
To download the latest version of the data files, click the
"Download..." button.
Please note that you need to have Internet connection for this
operation to be successful.
5. Product Selection
Using this screen, you can
specify the products you wish
to scan for.
Please note that you need to
select a minimum of one
product to scan for.
6. Report Formats
Using this screen you can
specify the report formats in
which you wish to view the
results of the scan.
You can have the report
generated in one of the following three formats:
● HTML
● Excel
● Text
You can specify the path for storing the reports in the Select
a directory for reports text box.
Please note that the applications required for generating and
viewing reports need to be present in your machine. For
instance, Microsoft Excel 97 or above should be installed in
the machine to generate and view reports in Excel format.
7. Confirm Settings
Use this screen to verify the
settings for the scan.
Clicking the Scan button will
initiate the scanning process.
Tools and Resources 55
56
8. Scanning
This screen displays the
approximate percentage of
progress with regards to the
scanning process.
If "Local Machine" scan
mode was chosen, the progress bar graphically indicates the
amount of progress. The text below the progress bar denotes
the folder being scanned.
If "Network" scan mode was
chosen, the text below the
progress bar indicates the
number of machines
scanned and the total
number of machines yet to
scan. The progress bar will
graphically indicate the same.
9. Completing the MSIA Wizard
This screen appears at the end of the scanning process.
If the View reports now check box is selected, the chosen
reports will be displayed after clicking the Finish button.
At this time you may hit the "license" button which will allow
you to enter information regarding your companies inventory,
which should correspond to the software programs installed.
If there is a discrepancy you need to purchase appropriate
licences to cover the shortfall. Please refer to the Guide to
Licensing Section on page 63.
Please note that the settings
you selected using the wizard
will not be saved if you do
not click the Finish button.
Back and Cancel buttons
are disabled in this screen.
Tools and Resources 57
58
Want to know more about Software Asset
Management?
Check out our website on
http://www.microsoft.com/piracy/samguide/default.asp
or alternatively refer to the Software Asset Management CD
at the back of this guide.
Unsure about the legitimacy of the
software you've purchased?
Microsoft's Product Identification Service can tell you within
two working days if the software you have brought is genuine
or not. We do not charge customers for this service. Call our
hotline 0800 013 2222 for more details about this service or
alternatively visit
http://www.microsoft.com/uk/piracy/productid.htm
See the Anti-Piracy section at the back of this folder for more
details on the Microsoft Product Identification Service.
Unsure how to license your business?
Check out the details on all Microsoft licensing programmes
that could provide your business significant volume discounts
on Microsoft software. Visit our web site at
http://www.microsoft.com/uk/licensing or call
0870 60 60 600 for out list of channel partners who can
advise you on all your volume licensing options.
Quick reference guide
For further information on all the topics discussed in this
folder check out these reference points.
Websites
Software Asset Management Guidehttp://www.microsoft.com/piracy/samguide/default.asp
Product Identification Servicehttp://www.microsoft.com/uk/piracy/productid.htm
Anti piracyhttp://www.microsoft.com/uk/piracy
Licensinghttp://www.microsoft.com/uk/licensing
Microsoft Help Lines
Licensing 0870 60 60 600Product Identification Service 0800 013 2222Anti-Piracy helpline 0800 013 2222
Tools and Resources 59
A Guide to Licensingand Anti-Piracy
“Many people are unaware that 1 in 4 software packages is usedillegally by UK businesses – thatis without a proper licence.”
A Guide to Licensing 63
Microsoft LicensingWhat to look forThe information on this and the following pages changes from
time to time. Please check
http://www.microsoft.com/piracy/htt/ for the most
up-to-date information.
Pre-installed Software On new PCs
(OEM Software)
When you purchase a new PC,
it should be pre-installed with
an operating system, such as Microsoft® Windows®.
To ensure you are getting genuine Microsoft software with your
PC purchase, you should first look for the Certificate of
Authenticity (COA) label affixed to your new PC.
The COA assists you in determining whether your Microsoft
software and components are genuine. The COA has a
holographic strip that reveals the words “Microsoft” and
“Genuine”. The product name and a unique product key are in
the centre of the label and the “How to Tell” URL appears at the
bottom of the label. COA labels are not designed to be removed.
In addition to the COA label, you may also receive an OEM
Product CD. The CD or DVD will be clearly marked with either
the PC manufacturer ’s brand or an edge-to-edge CD hologram.
(Please refer to the “Retail Product” Section of this guide for
more information on the edge-to-edge CD).
Microsoft has many licensing
programmes to meet the differing needs
of customers.
The programme and product specifics can
vary greatly. The information contained in
this section will help you determine the
right licensing programme for your needs.
Additionally, you will learn what anti-
counterfeiting features you should look
for when purchasing specific products as
well as the documentation you need to
retain to verify licence compliance.
See Microsoft ’s “How to Tell” website at:
http://www.microsoft.com/piracy/htt/ for detailed
information on Windows operating system security features.
In order to establish license ownership, you should retain the
end user license agreement (EULA), which is the agreement
between the PC manufacturer and the end user, the
Certificate of Authenticity, media, manuals (if applicable) and
your purchase invoice and receipt.
PCs may also come pre-installed with application software
such as Microsoft Office.
To ensure you are getting genuine Microsoft application
software, look for the Certificate of Authenticity (COA).
The COA is not required to be affixed to the PC chassis and
can be found on the product CD wallet, the product manual
and/or the product jewel case.
Certain pre-installed Microsoft applications such as Microsoft
Office XP incorporate the edge-to-edge CD hologram as
described on the previous page.
In order to establish licence
ownership, you should retain the end
user license agreement (EULA)*,
the Certificate of Authenticity, and
your purchase invoice and receipt.
*N.B. The EULA may be online
within the software product.
Retail Product
Sold in single-unit quantities at retail
outlets and by Microsoft re-sellers,
Retail Product is packaged in boxes as
shown and typically includes media
and documentation. Ideal for low-
volume software needs, such as
companies with fewer than five PCs.
To assist in determining if you have a genuine Microsoft
product, look for the Certificate of Authenticity (COA) label on
the box top. The heat-sensitive green dot changes colour from
green to yellow when lightly rubbed.
The document that serves as your proof of licence is the
End User License Agreement (EULA), which may be enclosed
in hard copy form or online within the software product. To
establish licence ownership you should retain the hard copy
EULA (if enclosed) as well as a copy of your purchase invoice.
Microsoft ’s family of Windows and Office CD-ROM retail
products feature edge-to-edge hologram technology.
64 A Guide to Licensing 65
You should be looking for these special CDs to confirm
that the retail products you’ve purchased are genuine. The
hologram covers the entire surface of the CD and when tilted
in the light, the product name and product-specific graphics
are revealed from the hub to the outer edge of the CD.
The hologram is produced on the CD. It is not a sticker.
Open Licence 6.0
Best for customers needing
as few as five licences,
Open Licence is a great way
to save on genuine Microsoft
products. Under Open Licence, you
determine the number of software products you wish to
licence, place an order with a participating Microsoft reseller,
and obtain the licences you need. You may then install the
software by ordering media directly from Microsoft.
Microsoft Open Licence 6.0 offers you two great ways to save
on Microsoft products:
Open Business allows customers to save on estimated retail
prices by placing an initial order for five or more licences.
With Open Business, customers can combine any set of
Microsoft products to qualify for the five licence minimum.
Open Volume potentially saves you even more if your
organisation is able to make a larger initial up-front order in
one or more product pools (applications, systems, servers).
Your proof of licence is posted on a secure site on the
Internet at https://eopen.microsoft.com
Log on using your Microsoft Passport ID and your unique
Open Licence Authorisation number(s) to verify the number of
licences purchased.
The terms of your licence, such as licence grants, conditions,
etc. are in the Open Licence agreement, which is also
available on the eOpen website. Visit
http://www.microsoft.com/licensing/programs/open/
default.asp for more information on Open Licence.
N.B. Full versions of Microsoft Operating Systems are not
available via Microsoft’s Volume Licensing Programs — only
operating system upgrades. You must acquire full version
operating system products via the OEM or retail channel.
Select Licence 6.0
Best for customers with 250
or more PCs and mixed
Microsoft product
requirements, the Microsoft
Select Licence is available through Microsoft authorised
Large Account Re-sellers (LARs).
66
Select
A Guide to Licensing 67
Under the Select Licence, customers receive volume
discounts based on a three-year forecast of products
required. There are three product “pools” (applications,
systems, and servers) available for forecast under Select
Licence, and point values associated with each product
within the pool. Visit
http://www.microsoft.com/licensing/programs/sel for
more information on Select Licensing.
After you have signed your Select Agreement, you will receive
a Welcome Kit from Microsoft. This kit will contain Microsoft
software CDs, based on the product pools you have selected.
On a monthly basis, you are required to submit to your Large
Account Reseller (LAR) an order for the number of units of
Microsoft software you have installed during the past month.
Your LAR will invoice you and pass the order on to Microsoft.
Microsoft Volume Licensing Services online offers secure
personalised access to details about your Select Licence,
including order confirmations, which serve as a portion of
your proof of licence. Once your agreement is in place, you
can track purchase information and agreement status at
http://www.licensing.microsoft.com
Please refer to your Select Agreement for further details on
complete proof of licence requirements. Your signed Select
Agreement and Product Use Rights will contain the terms of
use applicable to these products. You should retain these
documents which define your rights and obligations under
the agreement.
N.B. Full versions of Microsoft Operating Systems are not
available via Microsoft ’s Volume Licensing Programmes —
only operating system upgrades. You must acquire full
version operating system products via the OEM or retail
channel.
Enterprise
Agreement 6.0
The Enterprise Agreement
is designed for customers with 250 or more PCs who want
to standardise on certain Microsoft products and have the
ability to centrally purchase and track software. The
Enterprise Agreement is available through Microsoft
authorised Large Account Re-sellers (LARs), or Enterprise
Software Advisors (ESAs).
Enterprise Agreement customers choose to standardise their
selection of Microsoft products for the three-year term of their
Enterprise Agreement. The price is based upon the number of
qualified desktops within a defined enterprise and is divided
into three equal annual payments. During the term of an
Enterprise Agreement, you are permitted to run the chosen
Microsoft products on all desktops, including those added
after signing the agreement, subject to an annual “True Up”
requirement.
An Enterprise Subscription Agreement gives you the ability
to lease your software licences, while staying current on the
products over the term of the agreement. Under the
68
EnterpriseEEEAgreement
A Guide to Licensing 69
Enterprise Subscription Agreement, you do not own the
product licences, but rather the rights to use the software for
as long as you continue to maintain your Enterprise
Subscription Agreement. If at the time your Agreement
expires, you elect not to renew with either the one or three
year option, then you relinquish your rights to continue
running the software.
After you have signed your agreement, you will receive a
Welcome Kit directly from Microsoft. This kit will contain
Microsoft software CDs, based on the product pools you have
selected.
Microsoft Volume Licensing Services online offers secure,
personalised access to details about your Enterprise
Agreement Licences, including order confirmations, which
serve as part of your proof of licence. Once your agreement is
in place, you can track purchase information and agreement
status at http://www.licensing.microsoft.com. Please refer
to your Enterprise Agreement for further details on complete
proof of licence requirements.
Your signed Enterprise Agreement and Product Use Rights will
contain the terms of use applicable to these products. You
should retain these documents which define your rights and
obligations under the agreement. Visit
http://www.microsoft.com/licensing/programs/ent for
more information.
N.B. Full versions of Microsoft Operating Systems are not
available via Microsoft’s Volume Licensing Programmes —
only operating system upgrades. You must acquire full
version operating system products via the OEM or retail
channel.
Academic and Government Product
Special Academic and Government pricing is available to
qualified entities under numerous Microsoft Licensing
Programmes.
Academic Programs
Retail Academic Product. Sold in single-unit quantities by
Microsoft authorised education re-sellers, Retail Academic
Product is packaged in boxes as shown and may only be
purchased by customers who meet Microsoft’s qualifications
for academic pricing.
70 A Guide to Licensing 71
Academic Volume Licensing Programs. Academic product is
also available via Microsoft’s Volume Licensing Programmes
such as Academic Open Licence, Academic Select Licence
Agreement, Campus Agreement and School Agreement.
Visit http://www.microsoft.com/education/licence for
additional details on Academic licensing options, and
http://www.microsoft.com/education/licence/eligible.asp
for academic eligibility requirements.
Government OpenLicence Programme
Special government pricing
is available via the Government Open Licence Programme.
This volume licensing option is available to eligible small and
medium sized governmental entities and is ideal for those
who need to purchase smaller quantities of licences and
need a simple and flexible model. Visit
http://www.microsoft.com/business/licensing/government
for additional information on the Government Open
Licence Program.
N.B. Proof of licence requirements for academic and
government product are identical to that of commercial
entities; however, you must first ensure you are eligible as
an Academic or Governmental entity.
Anti-PiracyGuide
What is software piracy?
Software piracy is the term for any type of software theft.
It can take many forms and happens for many different
reasons, whether intentional or through lack of awareness:
1. End user copying/Casual copying
Simple, unlicenced software copying by individuals or
businesses. Alternatively, in the case if volume licensees, it
can mean under-reporting the number of installed copies of
software.
2. Hard-disk loading
Practiced by dishonest OEM system builders who sell PCs
with unlicenced software pre-installed. The System Builders
use one copy of a program to install illegal copies on multiple
machines. Original disks and documentation that should
come with the PC are often missing or incomplete and in
many cases, where they are supplied, they are counterfeits.
3. Counterfeiting
This is when software and sometimes its packaging is
illegally reproduced to look like the “real thing” and is then
sold on (often to unsuspecting re-sellers or customers) as
the real thing.
72 A Guide to Anti-Piracy 73
4. Mischanneling
Software distributed under special licences that are then
redistributed to others who do not qualify for these licences.
For example, the sale of academic licences to a small
business.
5. Fake Licensing
Loose EULAs (End User Licence Agreements) sold on their
own as ‘licences’. However these are, in fact, worthless
pieces of paper and illegal when sold on their own.
6. Internet Piracy
During the past few years, the sale of counterfeit software to
unsuspecting consumers through Internet businesses and
auction sites has multiplied and become a challenging
problem for consumers, legitimate Internet businesses and
the software industry. We would strongly recommend that
when buying on-line you check the following:
● a geographical address and phone number
● a clear returns policy
7. Grey Market
This is the sale of genuine software that has been illegally
imported from outside the European Union and EFTA without
the consent of the software producer. The unauthorised
importation and sale of such software is in itself illegal.
However, in the majority of cases of so called “grey imports”
counterfeits have been sold under the guise of “grey market”
product.
Be very clear, the overwhelming majority of this software is
infringing because it is not only supposedly “grey market”
(which is illegal) there is nothing genuine about it – it is
counterfeit.
Quick Reference Guide
For more information regarding software licensing and anti-
counterfeiting features, check out these quick references:
Information on Licensing Options:
http://www.microsoft.com/uk/licensing
Microsoft Anti-Piracy Hotline:
0800 013 2222
Microsoft Anti-Piracy Web Site:
http://www.microsoft.com/uk/piracy
Information on Identification of Genuine Microsoft Software:
http://www.microsoft.com/piracy/htt/
74 A Guide to Anti-Piracy 75
Microsoft ProductIdentification To protect our customers and reduce the negative impact of
piracy Microsoft has launched a free of charge Product
Identification initiative.
How it works
If you have been offered or have just bought software* that
you think may not be legal, send it in to our Product
Identification Team who will examine the product and contact
you to confirm whether it is legal or not within two working
days.
In some cases, the team may have to contact Microsoft
Corporation in the USA for a definitive opinion. In such cases
you will be contacted within two working days to let you know
what is happening.
* This service is not available for assessments of gold or recordable cd-roms
and other very poor quality copies of Microsoft software which have been
purchased at car boot fairs, computer fairs or at auctions (either in person
or over the Internet) and the like.
In order to qualify for this service you
must send us:
1. the product you have been supplied with
2. a signed and fully completed Statement of Witness which
you can either download from
http://www.microsoft.com/uk/piracy/productid.htm
or call the Microsoft Anti-Piracy Hotline 0800 013 2222
(freephone) to have a blank Statement of Witness faxed
or sent to you
3. the original invoice or purchase receipt from your supplier
Sending in your product
We recommend that you send the product, original receipt
and Statement of Witness via Registered Post for added
security.
Mailing address:
Microsoft Product ID Team,
PO Box 4925,
Earley,
RG6 1XG.
76 Product Identification Service 77
©2002 Microsoft Corporation. All rights reserved. Microsoft, the Microsoft logo and Windows are either registered trademarks or trademarks of
Microsoft Corporation in the United States and/or other countries. All other trademarks are held by their respective companies.
Personal Informationand Notes