Federal Software Licenses:

Better Management Needed to Achieve Significant Savings Government-Wide

GAO-14-413: Published: May 22, 2014. Publicly Released: May 22, 2014.

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Contact:

Carol R. Cha
(202) 512-4456
chac@gao.gov

 

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What GAO Found

The Office of Management and Budget (OMB) and the vast majority of agencies that GAO reviewed do not have adequate policies for managing software licenses. While OMB has a policy on a broader information technology (IT) management initiative that is intended to assist agencies in gathering information on their IT investments, including software licenses, it does not guide agencies in developing comprehensive license management policies. Regarding agencies, of the 24 major federal agencies, 2 have comprehensive policies that include the establishment of clear roles and central oversight authority for managing enterprise software license agreements, among other things; 18 have them but they are not comprehensive; and 4 have not developed any. The weaknesses in agencies' policies were due, in part, to the lack of a priority for establishing software license management practices and a lack of direction from OMB. Without an OMB directive and comprehensive policies, it will be difficult for the agencies to consistently and effectively manage software licenses.

Federal agencies are not adequately managing their software licenses because they generally do not follow leading practices in this area. The table lists the leading practices and the number of agencies that have fully, partially, or not implemented them.

24 Major Agencies' Implementation of Software License Management Leading Practices

Leading practice

Fully implemented

Partially implemented

Not implemented

Centralized management

4

15

5

Established software license inventory

2

20

2

Tracking and maintain inventory

0

20

4

Analyzing software license data

0

15

9

Providing sufficient training

0

5

19

Source: GAO analysis of agency data.

The inadequate implementation of leading practices in software license management was partially due to weaknesses in agencies' policies. As a result, agencies' oversight of software license spending is limited or lacking, and they may miss out on savings. The potential savings could be significant considering that, in fiscal year 2012, one major federal agency reported saving approximately $181 million by consolidating its enterprise license agreements even though its oversight process was ad hoc.

Given that agencies lack comprehensive software license inventories that are regularly tracked and maintained, GAO cannot accurately describe the most widely used software applications across the government, including the extent to which they were over and under purchased. Further, the data provided by agencies regarding their most widely used applications had limitations. Specifically, (1) agencies with data provided them in various ways, including by license count, usage, and cost; (2) the data provided by these agencies on the most widely used applications were not always complete; and (3) not all agencies had available data on the most widely used applications. Until weaknesses in how agencies manage licenses are addressed, the most widely used applications cannot be determined and thus opportunities for savings across the federal government may be missed.

Why GAO Did This Study

The federal government plans to spend at least $82 billion on IT products and services in fiscal year 2014, such as software licenses. Federal agencies engage in thousands of licensing agreements annually. Effective management of software licenses can help avoid purchasing too many licenses that result in unused software.

GAO was asked to review federal agencies' management of software licenses. GAO (1) assessed the extent to which OMB and federal agencies have appropriate policies on software license management, (2) determined the extent to which agencies adequately manage licenses, and (3) described agencies' most widely used software and extent to which they were over or under purchased. GAO assessed policies from 24 agencies and OMB against sound licensing policy measures. GAO also analyzed and compared agencies' software inventories and management controls to leading practices, and interviewed responsible officials. To identify sound licensing policy measures and leading practices, GAO interviewed recognized private sector and government software license management experts.

What GAO Recommends

GAO recommends OMB issue a directive to help guide agencies in managing licenses and that the 24 agencies improve their policies and practices for managing licenses. OMB disagreed with the need for a directive, but GAO believes it is needed, as discussed in the report. Most agencies generally agreed with the recommendations or had no comments.

For more information, contact Carol R. Cha at (202) 512-4456 or chac@gao.gov.

Recommendations for Executive Action

  1. Status: Closed - Implemented

    Comments: In June 2016, the Office of Management and Budget (OMB) issued guidance to improve federal agencies' software license management practices. The OMB guidance, among other things, comprises the seven elements that a comprehensive software licensing policy should specify, as GAO recommended in May 2014. For example, the guidance requires agencies to maintain a continual agency-wide inventory of software licenses and leverage IT to support processes for compiling and maintaining software license inventories. In addition, OMB's guidance calls for agencies to analyze inventory data to ensure compliance with software license agreements, consolidate redundant applications, and identify other cost-saving opportunities. As a result, federal agencies should have adequate policies for consistently and effectively managing software licenses and be able to take advantage of opportunities to systematically identify software license related cost savings across agencies and the federal government.

    Recommendation: The Director of the OMB should issue a directive to the agencies on developing comprehensive software licensing policies comprised of the seven elements identified in this report.

    Agency Affected: Executive Office of the President: Office of Management and Budget

  2. Status: Open

    Comments: In written comments to our report, the Department of Agriculture concurred with our recommendation. In June 2016, Agriculture reported on actions taken to address this recommendation. For example, Agriculture reported that it has drafted comprehensive guidelines for software license management. According to Agriculture, the policy will require its Software Manager to report to the agency Chief Information Officer (CIO) and work in collaboration with the offices of the CIO and other organizations as appropriate, to form policy. We will follow-up with the Department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation

    Recommendation: To ensure the effective management of software licenses, the Secretary of Agriculture should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of Agriculture

  3. Status: Open

    Comments: Agriculture agreed with our recommendation and noted actions the agency plans to take. In June 2016, Agriculture reported on actions taken to address this recommendation. For example, the department reported that it continues to evaluate existing regulations as well as creating new policies to provide for better coordination and integration of key personnel into the process to ensure that the majority of Agriculture software license acquisitions are centrally purchased. In addition, the department reported that it has established Strategic Sourcing/Category Management and Chief Information Officer Council teams to identify, analyze and make recommendations regarding a variety of commodities to include select software publishers. According to Agriculture, the lessons learned from these efforts will be used to develop requirements for software license management policies and procedures. We will follow-up with the department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Agriculture should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Agriculture

  4. Status: Open

    Comments: The department of Agriculture agreed with our recommendation. In June 2016, Agriculture reported that its component agencies will compile a baseline inventory of their commercial and COTS software licenses purchased, deployed, and in use by September 30, 2016. We will follow-up with the department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Agriculture should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Agriculture

  5. Status: Open

    Comments: The Department of Agriculture agreed with our recommendation and noted actions the agency plans to take. In June 2016, Agriculture reported on actions taken to address this recommendation. For example, Agriculture reported that it has drafted comprehensive guidelines for software license management that among other things will require agencies to develop repeatable processes to aggregate software licenses and maintenance requirements for commercial and COTS software acquisitions. In addition, Agrculture reported that its Strategic Sourcing/Category Management and CIO Council teams will identify, analyze and make recommendations regarding how to regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics. We will follow-up with the Department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Agriculture should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Agriculture

  6. Status: Open

    Comments: The Department of Agriculture agreed with our recommendation and noted actions the agency plans to take. In June 2016, Agriculture reported that its Strategic Sourcing/Category Management and CIO Council teams will analyze agency-wide software licenses data to identify opportunities to reduce costs and better inform investment decision making. In addition, Agriculture noted that the responsibilities of the Software Manager will create a continuous process by which cost reduction opportunities may be identified and monitored. We will follow-up with the Department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Agriculture should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Agriculture

  7. Status: Open

    Comments: In June 2016, Agriculture reported on actions taken to address this recommendation. For example, Agriculture reported that it has drafted comprehensive guidelines for software license management that among other things will require the Department's Software Manager to ensure that the appropriate personnel involved in software license management are trained in relevant software management topics such as intellectual property and software contracts, license negotiations, license compliance laws, regulations, software audits, security planning, configuration management, provisional services, and Section 508 compliance. We will follow-up with the Department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Agriculture should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Agriculture

  8. Status: Open

    Comments: The Department of Commerce partially concurred with our recommendation. We have requested documentation regarding implementation of this recommendation, and as of September 27, 2016, are awaiting a response. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Commerce should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of Commerce

  9. Status: Open

    Comments: The Department of Commerce partially concurred with our recommendation. We have requested documentation regarding implementation of this recommendation, and as of September 27, 2016, are awaiting a response. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Commerce should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Commerce

  10. Status: Open

    Comments: The Department of Commerce partially concurred with our recommendation. We have requested documentation regarding implementation of this recommendation, and as of September 27, 2016, are awaiting a response. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Commerce should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Commerce

  11. Status: Open

    Comments: The Department of Commerce partially concurred with our recommendation. We have requested documentation regarding implementation of this recommendation, and as of September 27, 2016, are awaiting a response. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Commerce should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Commerce

  12. Status: Open

    Comments: The Department of Commerce partially concurred with our recommendation. We have requested documentation regarding implementation of this recommendation, and as of September 27, 2016, are awaiting a response. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Commerce should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Commerce

  13. Status: Open

    Comments: The Department of Commerce partially concurred with our recommendation. We have requested documentation regarding implementation of this recommendation, and as of September 27, 2016, are awaiting a response. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Commerce should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Commerce

  14. Status: Open

    Comments: In March 2016, the Department of Defense reported that it was in the process of developing policy and guidance for software license management with issuance expected by the end of fiscal year 2017. We plan to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Defense should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified

    Agency Affected: Department of Defense

  15. Status: Open

    Comments: In March 2016, the Department of Defense (DOD) reported on actions to implement a more centralized software license management approach. For example, the department reported that the DOD CIO is leveraging the DOD Enterprise Software Initiative and joint enterprise license agreement efforts centrally managed by the Defense Information Systems Agency to coordinate centralized acquisitions for licenses that are commonly purchased across DOD. The DOD CIO also issued a memorandum on November 16, 2015 directing department-wide migration to the Microsoft Windows 10 Operating System by January 2017 for all Windows-based desktop and laptop computers, which will support an enterprise approach for centrally coordinating software license management. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Defense should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Defense

  16. Status: Open

    Comments: The Department of Defense partially concurred to develop comprehensive inventory for the management of software licenses. In March 2016, DOD reported on actions to implement a comprehensive inventory using automated tools. For example, DOD reported that it has completed a software inventory license reporting plan and continues to automate security domains for asset management and plans to implement automated support and processes for software license management processes in Fiscal Year 2020. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Defense should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Defense

  17. Status: Open

    Comments: The Department of Defense partially concurred with this recommendation to develop a comprehensive inventory for the management of software licenses. In March 2016, DOD reported on actions to implement this recommendation. For example, DOD reported that it has completed a software inventory license reporting plan and continues to automate security domains for asset management and plans to implement automated support and processes for software license management processes in Fiscal Year 2020 . We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Defense should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Defense

  18. Status: Open

    Comments: The Department of Defense concurred with this recommendation. DOD has made progress in implementing this recommendation by analyzing Fiscal Year 2013 selected software inventory data from 31 of 32 components. However, it had not yet fully implemented it because DOD has not established automated discovery and inventory tools that maintains and tracks a comprehensive inventory of licenses which is needed to fully and routinely analyze agency-wide software licensing data. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Defense should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Defense

  19. Status: Open

    Comments: The Department of Defense concurred with this recommendation. In March 2016, DOD reported on actions to implement this recommendation. For example, DOD added a new webinar training session on software license management and developed a two-day in-person training course on "Strategic Vendor Management" that introduces participants to category management best practices for commercial software. DOD also reported that it expects to establish additional training on software license management by the end of fiscal year 2016. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Defense should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Defense

  20. Status: Open

    Comments: The Department of Education concurred with this recommendation. In August 2016, the Department provided evidence that it has developed agency-wide policy that addresses six of the seven elements that a comprehensive software licensing policy should specify. However, the department did not provide evidence that its policy specifically addresses the analysis of software license data such as usage to inform decision making. We will follow up with the agency to obtain additional information on its software licensing policy and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Education should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of Education

  21. Status: Closed - Implemented

    Comments: The Department of Education has employed a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses. This centralized approach is delineated in the department's Software Asset Management and Acquisition Policy which among other things, calls for centralized record keeping and management of software license information by the Office of the Chief Information Office. As a result, the department should be able to more effectively manage its agency-wide software licenses.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Education should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Education

  22. Status: Open

    Comments: The Department of Education concurred with this recommendation. In August 2016, the department reported that it has established an inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses . In addition, according to the department's Software Asset Management and Acquisition policy, the Office of the Chief Information Officer will manage the department's software inventory in a centralized manner. However, the inventory did not include important data on software usage. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Education should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Education

  23. Status: Open

    Comments: The Department of Education concurred with this recommendation. In August 2016, the department reported that it regularly tracks and maintains a comprehensive inventory of software licenses using automated tools and metrics. The department also has documented procedures requiring regularly tracking and maintaining its inventory . In addition, according to its Software Asset Management Tool Implementation Plan, the tool will generate reports showing licensing usage, cost, under/over usage of software licensing. However, the department did not provide documentation demonstrating that it regularly tracks software license usage data. We will follow-up with the department to obtain documentation supporting actions to fully implement this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Education should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Education

  24. Status: Open

    Comments: The Department of Education concurred with this recommendation. In August 2016, the department reported that it regularly analyzes agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making. For example, the department said that it manually analyzes software data by comparing data in the software inventory database with requests for software acquisitions. However, the department did not provide documentation on its analysis of agency-wide software license data or on the extent to which this information was used to inform investment decisions to identify opportunities to reduce costs. We will follow-up with the department to obtain documentation supporting actions to fully implement this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Education should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Education

  25. Status: Open

    Comments: The Department of Education concurred with this recommendation. The department has made progress in implementing this recommendation by providing its staff with software license training, including training on its software tracking database. In addition, the department's Software Asset Management and Acquisition Policy (SAMA) require employees to take training on the SAMA policy and computer software piracy. However, the department did not demonstrate that it offers training in other important areas specific to software license management, such as contract terms and conditions, laws, and regulations. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Education should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Education

  26. Status: Open

    Comments: In Energy's written comments the agency neither agreed nor disagreed with our recommendation, but stated that it had an agency-wide policy that addressed the management of software. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Energy should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of Energy

  27. Status: Open

    Comments: In Energy's written comments the agency neither agreed nor disagreed with our recommendation, but stated it has taken a number of steps to aggregate licensing, and at that time had no plans to centralize software licensing. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Energy should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Energy

  28. Status: Open

    Comments: In the Department of Energy's written comments the agency neither agreed nor disagreed with our recommendation, but stated it has taken a number of steps to aggregate software licensing. In August, 2016 DOE provided its fiscal year 2016 IT Asset Inventory that includes business and enterprise IT systems from some of the DOE's organizational components. However, the agency's inventory does not include all DOE organizational components' software licenses information. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Energy should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Energy

  29. Status: Open

    Comments: In Energy's written comments the agency neither agreed nor disagreed with our recommendation. Energy stated that its IT Modernization Strategy, targeted for completion in fiscal year 2016, seeks to reduce the number of procurement vehicles and to leverage the department's collective buying power. In July 2015, Energy reported taking steps in implementing better software management practices in terms of consolidating software package acquisitions. The agency is currently base-lining itself against the provisions of the Federal Information Technology Acquisition Reform Act to make maximum usage of the GSA-sponsored Federal Strategic Sourcing Initiative contracts as well as demanding software purchasing to be conducted agency-wide when practicable. Consistent with the Act's provisions, Energy is working with GSA on providing usage data and support needed for the establishment of government-wide software contracts. The agency noted that it continues to use Continuous Monitoring and Diagnostic tools to inventory and consolidate software usage and eliminate unnecessary maintenance support costs. We have not yet validated agency actions on this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Energy should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Energy

  30. Status: Open

    Comments: In Energy's written comments the agency neither agreed nor disagreed with our recommendation, but stated it has taken a number of steps to aggregate licensing, and at that time had no plans to centralize software licensing. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Energy should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Energy

  31. Status: Open

    Comments: In Energy's written comments the agency neither agreed nor disagreed with our recommendation, but stated it has taken a number of steps to aggregate licensing, and at that time had no plans to centralize software licensing. The department noted that training is managed on an office-by-office basis' part of the Individual Development and Training Needs Assessment Process. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Energy should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Energy

  32. Status: Open

    Comments: The Department of Health and Human Services (HHS) neither agreed nor disagreed with this recommendation. We have requested documentation regarding implementation of this recommendation, and as of August 2016, are awaiting a response. We will follow up with HHS to obtain supporting documentation and continue monitoring its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Health and Human Services should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of Health and Human Services

  33. Status: Open

    Comments: The Department of Health and Human Services (HHS) neither agreed nor disagreed with this recommendation. We have requested documentation regarding implementation of this recommendation, and as of August 2016, are awaiting a response. We will follow up with HHS to obtain supporting documentation and continue monitoring its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Health and Human Services should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Health and Human Services

  34. Status: Open

    Comments: The Department of Health and Human Services (HHS) neither agreed nor disagreed with this recommendation. We have requested documentation regarding implementation of this recommendation, and as of August 2016, are awaiting a response. We will follow up with HHS to obtain supporting documentation and continue monitoring its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Health and Human Services should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Health and Human Services

  35. Status: Open

    Comments: The Department of Health and Human Services (HHS) neither agreed nor disagreed with this recommendation. We have requested documentation regarding implementation of this recommendation, and as of August 2016, are awaiting a response. We will follow up with HHS to obtain supporting documentation and continue monitoring its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Health and Human Services should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics

    Agency Affected: Department of Health and Human Services

  36. Status: Open

    Comments: The Department of Health and Human Services (HHS) neither agreed nor disagreed with this recommendation. We have requested documentation regarding implementation of this recommendation, and as of August 2016, are awaiting a response. We will follow up with HHS to obtain supporting documentation and continue monitoring its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Health and Human Services should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Health and Human Services

  37. Status: Open

    Comments: The Department of Health and Human Services (HHS) neither agreed nor disagreed with this recommendation. We have requested documentation regarding implementation of this recommendation, and as of August 2016, are awaiting a response. We will follow up with HHS to obtain supporting documentation and continue monitoring its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Health and Human Services should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Health and Human Services

  38. Status: Open

    Comments: In May 2014, the Department of Homeland Security concurred with the recommendation to employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise wide licenses. The Department provided planned actions to work with key stakeholders to expand upon its existing portfolio of centrally managed software. In August 2015, the agency noted that it is employing a centralized software license management approach for its Enterprise License Agreement program and is developing a more centralized Departmental approach by leveraging an enterprise architecture tool--the DHS Technology Reference Model (TRM) to build an agency-wide software license inventory. In fiscal year 2016 we have requested documentation regarding the status of implementing this recommendation, and as of August 2016, are awaiting a response. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Homeland Security should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Homeland Security

  39. Status: Open

    Comments: In May 2014, the Department of Homeland Security concurred with the recommendation to establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses. The agency provided planned actions to establish a comprehensive inventory of high value software licenses and incorporate the inventory as part of the management approach to software licenses. In August 2015, the Department reported establishing a comprehensive inventory of enterprise software licenses as part of the Enterprise License Agreement program. In fiscal year 2016 we requested documentation regarding the status of implementing this recommendation, and as of August 2016, are awaiting a response. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Homeland Security should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Homeland Security

  40. Status: Open

    Comments: In May 2014, the Department of Homeland Security concurred with the recommendation to regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics. The agency provided planned actions to track metrics that included employee usage and the number of licenses purchased, to ensure that costs are aligned with usage requirements, minimizing unused licenses. In August 2015, the Department reported that it is using the Enterprise License Agreement's vendor portals to track and maintain a software inventory. These portals enable access to metrics such as cost avoidance reports and items purchased under each agreement. In fiscal year 2016 we requested documentation regarding the status of implementing this recommendation, and as of August 2016, are awaiting a response. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Homeland Security should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Homeland Security

  41. Status: Open

    Comments: In May 2014, the Department of Homeland Security concurred with the recommendation to analyze agency-wide software license data to identify opportunities to reduce costs and better inform investment decision making. The agency provided planned actions to analyze the software license data collected across the Department, such as costs, benefits, usage, and trends, to help make better informed and cost-effective investment decisions. In August 2015, the Department reported that it uses the Enterprise License Agreement program and the Technology Reference Model to identify opportunities to provide cost savings and make more informed investment decisions. In fiscal year 2016 we have requested documentation regarding the status of implementing this recommendation, and as of August 2016, are awaiting a response. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Homeland Security should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Homeland Security

  42. Status: Closed - Implemented

    Comments: In May 2014, the Department of Homeland Security concurred with this recommendation. In August 2015, the department provided evidence that it had developed software license management training that is available for the appropriate personnel. The training addresses contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management. The department stated that the target training audience is agency personnel who are involved in managing software licenses such as project managers and members of the DHS Enterprise License Agreements. As a result, DHS staff involved in managing software licenses should have the skills and knowledge to perform their roles effectively and efficiently.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Homeland Security should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Homeland Security

  43. Status: Open

    Comments: In written comments to our report, HUD agreed to take executive actions to address our recommendation and noted steps the agency plans to take. In May 2015, the agency reported that it has taken steps to develop a draft agency policy. For example, it has drafted a depreciation of software asset policy. The policy when completed is to determine what modifications are needed to capture the data requirements for depreciation of software assets. We plan to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Housing and Urban Development should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified

    Agency Affected: Department of Housing and Urban Development

  44. Status: Open

    Comments: In written comments to our report, HUD agreed to take executive actions to address our recommendation. In its February 2016 update, HUD reported on actions taken to implement this recommendation. For example, HUD stated that it has inventoried 45 percent of its commercial off the shelf software (COTS) and 50 percent of its Open Sources software licenses. The department expects to complete its inventory of software licenses in the fourth quarter of 2016. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Housing and Urban Development should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Housing and Urban Development

  45. Status: Open

    Comments: In written comments to our report, HUD agreed to take executive actions to address our recommendation. In its February 2016 update, HUD reported on actions taken to implement this recommendation. For example, HUD stated that it has inventoried 45 percent of its commercial off the shelf software (COTS) and 50 percent of its Open Sources software licenses. HUD expects to complete its inventory of software licenses in the fourth quarter of 2016 which will provide the department the ability to manage the selection and utilization of software license decisions and to analyze trend date at the enterprise levels. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Housing and Urban Development should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Housing and Urban Development

  46. Status: Open

    Comments: In written comments to our report, HUD agreed to take executive actions to address our recommendation and noted steps the agency plans to take. In May 2015, the agency reported that it has taken steps to analyze agency-wide software license data. For example, the agency is implementing an agency-wide requirements management system and agency-wide policy that will be an integral part of training personnel for the management of software licenses. In its February 2016 update, HUD reported that it expects to provide software license management training to appropriate agency personnel in the fourth quarter of 2016. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Housing and Urban Development should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Housing and Urban Development

  47. Status: Open

    Comments: The Department of Interior agreed with this recommendation. The department reported in June 2015 that it has begun a strategic sourcing initiative that will provide opportunities for software license management across the enterprise. As a part of this work, the department has begun to draft an IT Strategic Sourcing Planning Guide and associated Concept of Operations to help capture best prices and strategies for driving efficiencies and cost savings in multiple areas of the agency's information technology enterprise, including software licensing. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Interior should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of the Interior

  48. Status: Open

    Comments: In June, 2015, the Department of Interior reported that it has taken initial steps to plan for a centralized software license management approach that will be coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Interior should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of the Interior

  49. Status: Open

    Comments: In written comments to our report, Interior concurred with our recommendation and noted actions the department plans to take. In June, 2015, the department reported that its milestone to establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses continues to be the same as the agency noted in its July 25, 2014 60-day letter. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Interior should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of the Interior

  50. Status: Open

    Comments: In written comments to our report, Interior concurred with our recommendation and noted actions the agency plans to take. In June, 2015, the agency reported that its milestone to track and maintain a comprehensive inventory of software licenses using automated tools and metrics continues to be the same as the agency noted in its July 25, 2014 60-day letter. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Interior should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of the Interior

  51. Status: Open

    Comments: In written comments to our report, Interior concurred with our recommendation and noted actions the agency plans to take. In June, 2015, the agency reported that its milestone to analyze agency-wide software license data, such as costs, benefits, usage, and trending data, continues to be the same as the agency noted in its July 25, 2014 60-day letter. The agency also reported that it has begun a strategic sourcing initiative that will provide opportunities for software license management across the enterprise. As a part of this work, the agency has begun to draft an IT Strategic Sourcing Planning Guide and associated Concept of Operations to help capture best prices and strategies for driving efficiencies and cost savings in multiple areas of the agency's information technology enterprise, including software licensing. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Interior should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making

    Agency Affected: Department of the Interior

  52. Status: Open

    Comments: In written comments to our report, Interior partially concurred with our recommendation to provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management. In August, 2015, the agency reported that it has implemented this recommendation and explained that the Department of the Interior does not sponsor nor require specific training for software license management. Instead, it requires acquisition professionals to obtain and maintain Federal Acquisition Certification in Contracting and/or a Contracting Officer's Certificate. According to the agency these certifications provide the workforce with skills to effectively manage software licenses. The agency noted that the training curriculum covers laws, policies, and procedures, including software licensing. We have not yet validated the department's actions on this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Interior should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of the Interior

  53. Status: Open

    Comments: In its June 2015 statement of actions to address our recommendations, the Department of Justice reported that it was pursing a number of initiatives focused on improving Software License management. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Justice should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of Justice

  54. Status: Open

    Comments: The Department reported in June 2015 that it has taken initial steps to address our recommendations. For example, it reported using technology tools to pull software data being used within the infrastructure and to identify what software is not being used. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Justice should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Justice

  55. Status: Open

    Comments: The Department in June 2015 reported that it has initiated steps to establish a comprehensive inventory of software licenses by using automated tools. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Justice should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Justice

  56. Status: Open

    Comments: The Department has taken initial steps to regularly track and maintain a comprehensive inventory of software licenses. For example, the Department reported in June 2015, that it is managing a comprehensive inventory for major suppliers and exploring enterprise agreements with key suppliers to ensure compliance. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Justice should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Justice

  57. Status: Open

    Comments: The Department reported in June 2015 that it has taken initial steps to analyze agency-wide software license data by providing better governance of software utilization to derive cost savings and by developing Enterprise License Agreements to achieve savings from processes across the components. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Justice should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Justice

  58. Status: Open

    Comments: The Department reported in June 2015 that it has taken initial steps to provide training to appropriate agency personnel. For example, in the department's Vendor Management Calls they provide training on processes and the use of tools, including contract terms, negotiations, laws and regulations, acquisition, security planning and configuration management. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Justice should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Justice

  59. Status: Open

    Comments: In June 2016, the Department of Labor (DOL) reported that it is researching automated tools to identify, track and maintain software license inventory to address this recommendation. According to DOL, these tools will be used to capture, analyze, manage and report on software usage with the goals being stronger knowledge of current and future software license consumption and the optimization of enterprise software licensing costs. We will follow-up with the department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Labor should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Labor

  60. Status: Open

    Comments: In June 2016, the Department of Labor (DOL) reported that it is researching automated tools to identify, track and maintain software license inventory to address this recommendation. According to DOL, these tools will be used to capture, analyze, manage and report on software usage with the goals being stronger knowledge of current and future software license consumption and the optimization of enterprise software licensing costs. We will follow-up with the department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Labor should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Labor

  61. Status: Open

    Comments: In June 2016, the Department of Labor (DOL) reported that it will create a position, and develop a plan and estimate to implement automated collection and analysis of agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making. We will follow-up with the department to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Labor should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Labor

  62. Status: Open

    Comments: In June 2016, the Department of Labor reported that it now has one individual certified in software management and intends to provide training to additional staff over the next year. We will follow up with the department to confirm that it has provided appropriate agency personnel with sufficient training on managing software licenses.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Labor should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Labor

  63. Status: Open

    Comments: In April 2016, the Department of State reported that as part of its work to implement the Federal Information Technology Acquisition Reform Act as well as the Office of Management and Budget's mandate regarding category management, it is developing a comprehensive policy on software license management. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of State should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of State

  64. Status: Open

    Comments: In April 2016, the State Department reported that it is in the process of implementing a Continuous Diagnostics and Mitigation (CDM) automated tool initiative spearheaded by the Department of Homeland Security. The department stated that the first phase of CDM focuses on endpoint integrity including the management of hardware and software assets, configuration management, and vulnerability management. The department further noted that it anticipates having an improved, more consolidated, user-friendly, and actionable view into the software on its network upon delivery of the CDM. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of State should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of State

  65. Status: Open

    Comments: In April 2016, the State Department reported that it is in the process of implementing a Continuous Diagnostics and Mitigation (CDM) automated tool initiative. The department also reported that the completion of the CDM phase one, which includes a software asset management capability, will provide software asset information in a more usable format. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of State should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of State

  66. Status: Open

    Comments: In April 2016, the State Department reported that it is in the process of implementing a Continuous Diagnostics and Mitigation (CDM) tool which is expected to become the department's automated tool to track its software inventory. We will continue to monitor the department's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of State should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of State

  67. Status: Open

    Comments: In written comments to our report, State noted that it concurred with our recommendation and plans to identify actions to address this recommendation. In April 2016, the State Department reported that it is in the process of implementing the Continuous Diagnostics and Mitigation (CDM) automated tool to provide a baseline of software license inventory, usage, and trending data that is expected to allow agency decision makers to identify opportunities for future centralized, enterprise software agreements. We will follow-up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of State should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of State

  68. Status: Open

    Comments: In April 2016, the State Department reported that software license management training has been provided to the agency's Information Resource Management, Administration Acquisition and Information Technology personnel through attendance at contract and license management related conference and seminars. However, the department did not provide documentation to demonstrate that the training addressed key areas specific to software license management, such as laws and regulations, acquisition, security planning and configuration management. We will follow-up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of State should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of State

  69. Status: Open

    Comments: We have not yet validated agency actions on this recommendation. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Transportation should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of Transportation

  70. Status: Open

    Comments: We have not yet validated agency actions on this recommendation. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Transportation should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Transportation

  71. Status: Open

    Comments: We have not yet validated agency actions on this recommendation. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Transportation should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Transportation

  72. Status: Open

    Comments: We have not yet validated agency actions on this recommendation. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Transportation should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Transportation

  73. Status: Open

    Comments: We have not yet validated agency actions on this recommendation. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Transportation should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Transportation

  74. Status: Open

    Comments: We have not yet validated agency actions on this recommendation. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Transportation should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Transportation

  75. Status: Open

    Comments: In its July 2016 statement on corrective actions to address our recommendations, Treasury reported that it continues to be dependent on the rollout of the Department of Homeland Security's Continuous Diagnostics and Mitigation (CDM) program. According to Treasury, once implemented the CDM capabilities will enhance the department's security posture and provide the department with capabilities for automatically collecting software and hardware inventories. Treasury stated that it will then work with its bureaus to develop common procedures, policies and capabilities for auditing and tracking software inventories. We will follow-up with Treasury to monitor its progress in implementing this recommendation and obtain supporting documentation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Treasury should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of the Treasury

  76. Status: Open

    Comments: In its July 2016 statement on corrective actions to address our recommendations, Treasury reported that it continues to be dependent on the rollout of the Department of Homeland Security's Continuous Diagnostics and Mitigation (CDM) program. According to Treasury, once implemented the CDM capabilities will enhance the department's security posture and provide the department with capabilities for automatically collecting software and hardware inventories. Treasury stated that it will then work with its bureaus to develop common procedures, policies and capabilities for auditing and tracking software inventories. We will follow-up with Treasury to monitor its progress in implementing this recommendation and obtain supporting documentation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Treasury should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of the Treasury

  77. Status: Open

    Comments: In its July 2016 statement on corrective actions to address our recommendations, Treasury reported that it continues to be dependent on the rollout of the Department of Homeland Security's Continuous Diagnostics and Mitigation (CDM) program. According to Treasury, once implemented the CDM capabilities will enhance the department's security posture and provide the department with capabilities for automatically collecting software and hardware inventories. Treasury stated that it will then work with its bureaus to develop common procedures, policies and capabilities for auditing and tracking software inventories. We will follow-up with Treasury to monitor its progress in implementing this recommendation and obtain supporting documentation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Treasury should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of the Treasury

  78. Status: Open

    Comments: In its July 2016 statement on corrective actions to address our recommendations, Treasury reported that it continues to be dependent on the rollout of the Department of Homeland Security's Continuous Diagnostics and Mitigation (CDM) program. According to Treasury, once implemented the CDM capabilities will enhance the department's security posture and provide the department with capabilities for automatically collecting software and hardware inventories. Treasury stated that it will then work with its bureaus to develop common procedures, policies and capabilities for auditing and tracking software inventories. We will follow-up with Treasury to monitor its progress in implementing this recommendation and obtain supporting documentation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Treasury should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of the Treasury

  79. Status: Open

    Comments: In its July 2016 statement on corrective actions to address our recommendations, Treasury reported that it continues to be dependent on the rollout of the Department of Homeland Security's Continuous Diagnostics and Mitigation (CDM) program. According to Treasury, once implemented the CDM capabilities will enhance the department's security posture and provide the department with capabilities for automatically collecting software and hardware inventories. Treasury stated that it will then work with its bureaus to develop common procedures, policies and capabilities for auditing and tracking software inventories. Treasury also stated that these tools, policies and procedures will allow the department to study usage and better inform future procurement needs to minimize cost and duplication. We will follow-up with Treasury to monitor its progress in implementing this recommendation and obtain supporting documentation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Treasury should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of the Treasury

  80. Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will plan to provide updated information.

    Recommendation: To ensure the effective management of software licenses, the Secretary of the Treasury should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of the Treasury

  81. Status: Closed - Implemented

    Comments: In response to our recommendations, in July 2015, the department issued comprehensive software licensing policy that addressed the weaknesses identified in our report, including guidance for using analysis to better inform investment decision making. By establishing comprehensive software licensing policy, the Department is better able to ensure that it is consistently and cost-effectively managing its software throughout the Department.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Veterans Affairs should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Department of Veterans Affairs

  82. Status: Closed - Implemented

    Comments: The Department of Veterans Affairs (VA)agreed with, and has taken steps to implement this recommendation. Specifically, in July 2015 VA issued Directive 6403, Software Asset Management, which documents the department's software license management policy and responsibilities for management of agency-wide software licenses. VA's policy for the management of software addresses the weaknesses we identified. By implementing our recommendation, VA should be able to consistently and cost-effectively manage software throughout the department.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Veterans Affairs should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Veterans Affairs

  83. Status: Open

    Comments: In written comments to our report, the Department of Veterans Affairs (VA) agreed with our recommendation. In November 2015, VA reported that it awarded a contract in April 2015 to procure and implement a Commercial Off the Shelf (COTS) software solution to employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency license spending and/ or enterprise wide licenses. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Veterans Affairs should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Department of Veterans Affairs

  84. Status: Open

    Comments: In written comments to our report, the Department of Veteran Affairs (VA) agreed with our recommendation. In November 2015, VA reported that it has established an inventory in a central repository for all known software license agreements. VA also stated that it is continuing to analyze the agency software data collected in an effort to establish meaningful and repeatable processes for collection and usage of software asset data. In addition, VA awarded a contract in April 2015 to procure a Commercial Off the Shelf (COTS) software solution to integrate various software asset data elements to analyze agency software license spending patterns and cost avoidance opportunities. VA reported that it plans to complete this effort by December 29, 2017. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Veterans Affairs should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Department of Veterans Affairs

  85. Status: Open

    Comments: In written comments to our report, the Department of Veterans Affairs (VA) agreed with our recommendation. In November 2015, VA stated that it awarded a contract in April 2015 to procure a software solution to analyze agency wide software license data such as costs, benefits, usage and trending data to identify cost saving strategies and to support software investment decision-making. VA also reported that it is in the process of automating rigorous evaluation and validation of known software expenditures as well as establishing a structured means under which all its enterprise licenses will be structured and operated. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Veterans Affairs should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Department of Veterans Affairs

  86. Status: Open

    Comments: In November 2015 the Department of Veterans Affairs (VA) reported that all personnel responsible for overseeing software enterprise license agreement (ELA) management, completed software asset management (SAM) training. However, we have not yet validated the VA's actions on this recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

    Recommendation: To ensure the effective management of software licenses, the Secretary of Veterans Affairs should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Department of Veterans Affairs

  87. Status: Open

    Comments: In July 2016, Environment Protection Agency (EPA) reported that it is currently taking steps to develop a comprehensive policy that will address a centralized management program of licenses, an analysis to inform decision making, education and training goals and overall management throughout the lifecycle. In addition, EPA stated that it is still leveraging the efforts of the Continuous Diagnostics and Mitigation project as well as its Office of Acquisition Management's consolidation of its Microsoft suite. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the Environmental Protection Agency should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Environmental Protection Agency

  88. Status: Open

    Comments: In July 2016, the Environment Protection Agency (EPA) reported that has taken steps to coordinate efforts across the agency to develop a centralized software license management approach. In addition, EPA stated that it is currently leveraging its Continuous Diagnostic and Mitigation program to obtain a baseline inventory of software licenses. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the Environmental Protection Agency should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Environmental Protection Agency

  89. Status: Open

    Comments: In July 2016, EPA reported that it is currently leveraging its Continuous Diagnostics and Mitigation program for a comprehensive software license inventory that the agency expects to be implemented by the second quarter of fiscal year 2017. EPA also reported that this comprehensive inventory will be provided via an automated dashboard. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the Environmental Protection Agency should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Environmental Protection Agency

  90. Status: Open

    Comments: In July 2016, the Environment Protection Agency (EPA) reported that it is currently leveraging its Continuous Diagnostics and Mitigation program for an automated tool that will establish a comprehensive software license inventory. EPA plans to implement the automated tool by the second quarter of fiscal year 2017. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the Environmental Protection Agency should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Environmental Protection Agency

  91. Status: Open

    Comments: In July 2016, the Environment Protection Agency reported that it is currently leveraging its Continuous Diagnostics and Mitigation program for a comprehensive software license inventory that will be available by the second quarter of fiscal year 2017. EPA also stated that it has consolidated six of the agency's eight major software license contracts. We will follow up with the agency to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the Environmental Protection Agency should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Environmental Protection Agency

  92. Status: Open

    Comments: EPA disagreed with GAO's assessment for training and believes that the agency has the proper training program in place to address this concern. In July 2016, EPA reported that it currently requires software license management training for personnel engaged in performing these duties. In addition, EPA stated that the agency requires Contracting Officer Representatives on software license contracts to know about acquisitions and have the technical knowledge to advise the Contracting Officers. While EPA believes no additional training is needed beyond the currently identified training, it reported that it is active in developing and reworking the Federal Acquisition Certification Program and Project Managers Certifications. We will follow up with the agency to obtain supporting documentation to ensure that its training included key aspects of sufficient software license management training such as negotiations, laws and regulations, and contract terms and conditions department-wide.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the Environmental Protection Agency should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Environmental Protection Agency

  93. Status: Closed - Implemented

    Comments: The General Service Administration (GSA) agreed with, and has taken steps to implement this recommendation. Specifically, GSA has developed agency-wide policy for management of software licenses that addresses the weaknesses identified in our report. For example, in September 2015 GSA issued an order establishing a software license program that among other things identified clear roles, responsibilities, and central oversight authority within the administration for managing agency-wide software. In addition, the agency issued standard operating procedures for establishing a comprehensive inventory of software licenses using automated tools, regularly tracking and maintaining software licenses and analyzing software data to make cost-effective decisions. As a result, GSA will be able to more effectively manage its software licenses.

    Recommendation: To ensure the effective management of its software licenses, the Adminitrator of the General Services Administration should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified

    Agency Affected: General Services Administration

  94. Status: Closed - Implemented

    Comments: GSA agreed with this recommendation. In response, GSA established a comprehensive centralized inventory that incorporates elements of automated discovery and inventory tools that provide easy search and access to software license information such as contract terms and agreement records. A comprehensive inventory will better ensure compliance with software license agreements, and allow GSA visibility that reduces redundant applications and identification of other cost saving opportunities.

    Recommendation: To ensure the effective management of its software licenses, the Adminitrator of the General Services Administration should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: General Services Administration

  95. Status: Closed - Implemented

    Comments: GSA agreed with, and has taken steps to implement this recommendation. GSA has implemented procedures requiring that it regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics; and update the inventory on a quarterly basis. As a result, the agency can ensure that it has the appropriate number of licenses for each item of software in use to reconcile with current use.

    Recommendation: To ensure the effective management of its software licenses, the Adminitrator of the General Services Administration should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: General Services Administration

  96. Status: Closed - Implemented

    Comments: GSA agreed with, and has implemented this recommendation. GSA has analyzed its agency wide software license data to inform investment decisions. On a quarterly basis, GSA scans its agency-wide software inventory data to identify opportunities for software license consolidation opportunities and submits reports to GSA's information management. For example, in August 2016 provided evidence that it had analyzed its inventory of software license data and identified opportunities to consolidate several of its software products and identified an opportunity to establish an enterprise licensing agreement for one of its software products resulting in cost savings or cost avoidance totaling about five million dollars over about a three year period.

    Recommendation: To ensure the effective management of its software licenses, the Adminitrator of the General Services Administration should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: General Services Administration

  97. Status: Closed - Implemented

    Comments: GSA agreed with, and has taken steps to implement the recommendation. Specifically, GSA has provided software license management training to appropriate agency personnel including training on contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management. Sufficient in software license management training should allow GSA employees to develop the skills and knowledge to perform their roles effectively and efficiently.

    Recommendation: To ensure the effective management of its software licenses, the Adminitrator of the General Services Administration should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: General Services Administration

  98. Status: Open

    Comments: In July 2016, the National Aeronautics and Space Administration (NASA) reported that its Office of the CIO is in the process of developing a comprehensive software license management policy. According to NASA, the policy is being developed to align with the revised NASA IT governance structure. NASA plans to complete its software license policy in April 2017. We will continue to monitor NASA's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the National Aeronautics and Space Administration should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses identified.

    Agency Affected: National Aeronautics and Space Administration

  99. Status: Open

    Comments: The National Aeronautics and Space Administration (NASA) has taken steps to implement our recommendation. In July 2016, NASA reported that its Chief Information Officer office is in the process of refining the agency's IT governance structure and developing a comprehensive software license management policy that will promote better management of software licenses within the Agency. NASA also reported that one of its Strategic Sourcing Initiatives, the Enterprise License Management Team (ELMT), is expected to provide support for the discovery, analysis, establishment, and management of NASA enterprise license agreements. According to NASA, this approach will afford the agency key personnel with the means to make informed decisions concerning enterprise-wide license agreements and provide insight into agency software license spending. The agency plans to complete this effort in August 2017. We will continue to monitor NASA's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the National Aeronautics and Space Administration should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: National Aeronautics and Space Administration

  100. Status: Open

    Comments: The National Aeronautics and Space Administration (NASA) has taken steps to implement our recommendation. In July 2016, NASA reported that it currently owns an enterprise software license management tool for the Office of the Chief Engineer and that the Office of the Chief Information Office will be coordinating with stakeholders to pursue expanding the use of this system NASA-wide. NASA anticipates completing this effort by May 2017. We will continue to monitor NASA's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the National Aeronautics and Space Administration should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: National Aeronautics and Space Administration

  101. Status: Open

    Comments: The National Aeronautics and Space Administration (NASA) has taken steps to implement our recommendation. In July 2016, NASA reported that the agency currently owns an enterprise software license management tool for the Office of the Chief Engineer and that the Office of the Chief Information Office will be coordinating with stakeholders to pursue expanding the use of this system NASA-wide. NASA anticipates completing this effort by May 2017. We will continue to monitor NASA's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the National Aeronautics and Space Administration should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: National Aeronautics and Space Administration

  102. Status: Closed - Implemented

    Comments: NASA has agreed with and implemented this recommendation. On an annual basis, NASA analyzes its agency-wide software license data to identify opportunities for software license cost avoidance. For example, NASA increased the number of software agreements managed by its enterprise license management team (ELMT) from 24 to 42 in fiscal year 2014 and analyzed the agency's software license data, such as cost, benefits, and usage to identify opportunities to reduce costs and make better informed investments moving forward. As a result of these actions, in fiscal year 2014, NASA avoided a cumulative cost of about $19.1 million. The agency also stated that it plans to continue to incrementally increase the number of ELMT-managed agreements in the future which should provide it opportunities to realize additional cost avoidance opportunities and better insight into the consumption of software in the future.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the National Aeronautics and Space Administration should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: National Aeronautics and Space Administration

  103. Status: Open

    Comments: The National Aeronautics and Space Administration(NASA)has taken steps to implement our recommendation. In July 2016, NASA reported that its Enterprise License Management Team (ELMT) is currently collaborating with the Office of the CIO to develop a software license management curriculum that will be added to NASA's online training system. According to NASA, the software license management course will ensure that NASA employees are made aware of current trends, techniques, laws, and regulations associated with software lifecycle management. In addition, NASA reported that its Office of the CIO will issue a NASA policy that will require all NASA personnel to complete online training course annually. We will continue to monitor NASA's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Adminitrator of the National Aeronautics and Space Administration should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: National Aeronautics and Space Administration

  104. Status: Open

    Comments: NSF has taken steps to implement this recommendation. For example, in July 2015 NSF issued new acquisition policy that provides the Chief Information Officer central oversight authority for IT acquisitions including software agreements. In addition, in January 2016 NSF issued a quick guide to small acquisitions that describes standard operating procedures and steps for acquiring and managing IT goods and services, including software licenses. However, the guidance does not specify policies on managing software licenses for regularly tracking and maintaining software licenses to assist the agency in implementing decisions throughout the software license management life cycle, analyzing software usage and other data to make cost-effective decisions and providing training relevant to software license management. We will continue to monitor the agency?s progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Director of the National Science Foundation should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: National Science Foundation

  105. Status: Open

    Comments: In March 2016, NSF reported that it continues to make progress to regularly track and maintain a comprehensive inventory of software licenses. For example, NSF reported that in 2015 the agency implemented an automated tool to capture, track and report on software licenses. In addition, NSF reported that it is implementing a Continuous Diagnostic and Mitigation (CDM) capabilities to further consolidate and centralize management of the agency's software asset inventory in an automated way. However, NSF did not provide documentation showing that it regularly tracks and maintains its inventory using automated tools and metrics. We will follow-up with the agency to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Director of the National Science Foundation should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: National Science Foundation

  106. Status: Open

    Comments: In its March 2016 update, NSF reported progress in analyzing agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making. However, NSF did not provide documentation showing that it analyzed agency-wide software license data to inform investment decisions and identify opportunities to reduce costs. We will follow-up with the agency to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Director of the National Science Foundation should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: National Science Foundation

  107. Status: Open

    Comments: In its March 2016 update, NFS reported that technical agency personnel designated as responsible for acquiring and managing software licenses are trained on the agency's operating procedures included in its updated acquisition guidance. However, NFS did not provide documentation showing that this training include aspects of sufficient software license management training such as contract terms and conditions or negotiations. We will follow-up with the agency to obtain supporting documentation and continue to monitor its progress in implementing this recommendation

    Recommendation: To ensure the effective management of software licenses, the Director of the National Science Foundation should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: National Science Foundation

  108. Status: Open

    Comments: NRC has developed a framework and maturity model for Software Asset Management and, as of June 2016, is in the process of completing a plan to integrate with the governance, processes, and technology relating to the comprehensive policy.

    Recommendation: To ensure the effective management of software licenses, the Chairman of the Nuclear Regulatory Commission should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Nuclear Regulatory Commission

  109. Status: Open

    Comments: NRC has taken steps to implement this recommendation. In its February 2016 response to this recommendation, NRC stated that it has defined current and future state requirements. As part of this effort, the agency reported that it developed process maps to identify the roles and responsibility of each key stakeholder for key high level processes for software management. NRC also stated that it plans to continue to further define core processes as it relates to software asset management. We plan to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Chairman of the Nuclear Regulatory Commission should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Nuclear Regulatory Commission

  110. Status: Open

    Comments: In its February 2016 response to this recommendation, NRC stated that it is continuing to centralize and standardize purchases of software licenses. The NRC stated that it is planning an acquisition strategy for a software asset management tool in alignment with the re-compete of the agency's infrastructure and support services contract in 2017. We plan to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Chairman of the Nuclear Regulatory Commission should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Nuclear Regulatory Commission

  111. Status: Open

    Comments: In its February 2016 response to this recommendation, the Nuclear Regulatory Commission (NRC) stated that the it has reviewed the governance, processes and technology relating to its management of software assets as part of a comprehensive assessment on the agency's Software Asset Management's current state and future state requirements. As part of this assessment, the requirements for automated tools were identified. However, the NRC noted that the agency will not be able to regularly track and maintain a comprehensive inventory of all software licenses until it implements an automated software asset management tool. The NRC is planning an acquisition strategy for a software asset management tool in alignment with the re-compete of the agency's infrastructure and support services contract in 2017. We plan to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Chairman of the Nuclear Regulatory Commission should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Nuclear Regulatory Commission

  112. Status: Open

    Comments: In its February 2016 response to this recommendation, NRC stated that the agency has developed a framework and maturity model and is continuing to centralize, standardize, and consolidate purchases of software licenses and enterprise-wide initiatives. NRC also reported that it is in the process of completing a future state roadmap and activity plan which will assist the agency in making informed decisions regarding software asset management. In addition, NRC plans to acquire an automated software asset management tool to analyze agency-wide software license data, identify opportunities to reduce costs and improve investment decision-making. We intend to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Chairman of the Nuclear Regulatory Commission should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Nuclear Regulatory Commission

  113. Status: Open

    Comments: In its February 2016 response to this recommendation, NRC stated that the agency has reviewed the governance, processes and technology relating to NRC's management of software assets as part of a comprehensive assessment on NRC's Software Asset Management's current state and future state requirements. The agency also noted that once a comprehensive policy for the management of software licenses is developed, NRC will provide appropriate training to agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management. We intend to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Chairman of the Nuclear Regulatory Commission should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Nuclear Regulatory Commission

  114. Status: Open

    Comments: OPM concurred with this recommendation and in September 2015, reported that it had developed a guide to capture enterprise architecture (EA) lifecycle activities including software licensing management, acquisition, and requirements during several points of the project lifecycle. We contacted the agency and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Director of the Office of Personnel Management should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified

    Agency Affected: Office of Personnel Management

  115. Status: Open

    Comments: OPM concurred with this recommendation and in September 2015 reported that it is finalizing a revised Life Cycle Management draft policy which will use stage gate reviews to evaluate the progress of projects including software licenses throughout the agency. According to OPM, once the new policy is approved, OPM subject matter experts will review project documentation during stage gates reviews to make written recommendations on whether projects should continue. OPM's Investment Review Board will then review that recommendation and other procurement documentation to make a final recommendation to the OPM Director. We contacted the agency and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Director of the Office of Personnel Management should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Office of Personnel Management

  116. Status: Open

    Comments: OPM concurred with this recommendation and in September 2015 OPM reported that it acquired an enterprise architecture repository tool and is collecting information on its software applications. OPM also reported that it is assembling and performing quality reviews on hardware and software lists currently maintained in spreadsheets, in its EA Systems database, and Remedy database in order to consolidate the entire hardware and software asset inventory. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Director of the Office of Personnel Management should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Office of Personnel Management

  117. Status: Open

    Comments: OPM concurred with this recommendation and in September 2015 OPM reported that it acquired an enterprise architecture repository tool and is collecting information on its software applications. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Director of the Office of Personnel Management should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Office of Personnel Management

  118. Status: Open

    Comments: In written comments to our report, OPM concurred with our recommendations and noted actions the agency plans to take. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

    Recommendation: To ensure the effective management of software licenses, the Director of the Office of Personnel Management should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Office of Personnel Management

  119. Status: Open

    Comments: In written comments to our report, OPM concurred with our recommendations and noted actions the agency plans to take. We contacted the department and as of August 2016 are awaiting a response on the current status of efforts to implement this recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

    Recommendation: To ensure the effective management of software licenses, the Director of the Office of Personnel Management should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Office of Personnel Management

  120. Status: Open

    Comments: The Small Business Administration has taken steps to implement this recommendation. In May 2016, the agency reported that it is in the process of developing and implementing a strategy and associated procedures to better manage software licenses. This strategy includes changing all license keys required for installations, removing technical permissions allowing software to be installed, and monitoring and tracking all inventory changes. We plan to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the Small Business Administration should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: Small Business Administration

  121. Status: Open

    Comments: The Small Business Administration (SBA) is taking steps to implement this recommendation. In May 2016, SBA reported that it is in the process of developing and implementing a strategy and associated procedures to better manage software licenses. In addition, the agency is implementing an approval process which will require a program office manager to approve an installation before software can be installed. We plan to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the Small Business Administration should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Small Business Administration

  122. Status: Open

    Comments: The Small Business Administration (SBA) reported that it is taking steps to implement this recommendation. In May 2015, the agency reported that with the assistance of contract support and the implementation of software tracking tools, SBA can capture key information regarding purchases of software, including license agreements, installed software, expiration dates and current versions of assets in a centralized repository. In addition, in May 2016 SBA reported that it is implementing an approval process which will require a program office manager to approve an installation before software can be installed and that inventory changes will be monitored, tracked, and reported to the Contracting Officer's Representative (COR) and detailed in their Monthly Vendor Report. However, SBA has not provided support demonstrating that it has established a comprehensive inventory of software licenses. We plan to follow up with the agency to obtain supporting documents and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the Small Business Administration should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Small Business Administration

  123. Status: Open

    Comments: The Small Business Administration (SBA) has taken additional steps to implement this recommendation. In May 2016, the agency reported that it is implementing an approval process which will require a program office manager to approve an installation before software can be installed. SBA reported that inventory changes will be monitored, tracked, and reported to the Contracting Officer's Representative (COR) and detailed in their Monthly Vendor Report (MVR). SBA also reported that it is developing a reporting mechanism that will analyze each computer and allow licensing data to be captured, along with machine and user specific information. This data will be tied to the catalog of software licenses and matched against previous license counts for the software agreement. According to SBA, the MVR data is provided to the Contracting Officer (CO) on a monthly basis. We plan to follow up with the Small Business Administration to obtain documentation supporting actions on this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the Small Business Administration should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Small Business Administration

  124. Status: Open

    Comments: The Small Business Administration (SBA) has taken steps to implement this recommendation. In May 2016, the agency reported that it is implementing an approval process which will require a program office manager to approve an installation before software can be installed. SBA also reported that it is developing a reporting mechanism that will analyze each computer and allow licensing data to be captured, along with machine and user specific information. This data will be tied to the catalog of software licenses and matched against previous license counts for the software agreement. According to SBA, the MVR data is provided to the Contracting Officer (CO) on a monthly basis. However, as of May 2016, SBA has not provided support demonstrating that it has analyzed agency-wide software license data such as costs, benefits, usage, and trending data to inform investment decisions and identify opportunities to reduce costs. We plan to follow up with the SBA to obtain supporting documentation and continue to monitor its progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the Small Business Administration should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Small Business Administration

  125. Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we intend to provide updated information.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the Small Business Administration should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Small Business Administration

  126. Status: Open

    Comments: The Social Security Administration agreed with this recommendation, and in response, developed an agency-wide policy for the management of software licenses that addresses six of the seven key elements that a comprehensive software license should specify , including identifying clear roles, responsibilities, and central oversight authority for agency wide software licenses; and analyzing software license usage to make cost effective decisions. However, SSA's policy did not include guidance on providing appropriate agency personnel with sufficient software management training. We will continue to work with SSA and monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Commissioner of the Social Security Administration should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified

    Agency Affected: Social Security Administration

  127. Status: Open

    Comments: The Social Security Administration agreed with and has taken initial steps to implement our recommendation. In August 2016, SSA reported that it has established a workgroup to devise and implement an approach to centralize the agency's software license management. We will continue to monitor agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Commissioner of the Social Security Administration should employ a centralized software license management approach that is coordinated and integrated with key personnel for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Social Security Administration

  128. Status: Open

    Comments: The Social Security Administration has taken initial steps to implement our recommendation. In August 2016, SSA reported that it has installed its Mainframe discovery tool and has entered all the agency's software contracts into an asset management repository. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Commissioner of the Social Security Administration should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: Social Security Administration

  129. Status: Open

    Comments: The Social Security Administration has taken initial steps to implement our recommendation. For example, In August 2016, SSA reported that it has installed its Mainframe discovery tool and has entered all the agencys software contracts into an asset management repository. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Commissioner of the Social Security Administration should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: Social Security Administration

  130. Status: Open

    Comments: We have not yet validated agency actions on this recommendation. We will continue to evaluate the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Commissioner of the Social Security Administration should analyze agency-wide departmental software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: Social Security Administration

  131. Status: Open

    Comments: The Social Security Administration (SSA) agreed with this recommendation. In its August 2016 status update, SSA reported that the agency continues to work on addressing this recommendation. We will continue to monitor the agency's progress in implementing this recommendation.

    Recommendation: To ensure the effective management of software licenses, the Commissioner of the Social Security Administration should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: Social Security Administration

  132. Status: Open

    Comments: The US Agency for International Development (USAID) has made progress in implementing this recommendation. For example, in April 2015 USDAID issued a standard operating procedure that documents the roles and responsibilities establishing tracking and maintaining an agency-wide software license inventory and analyzing software data. In addition, USAID's policy, ADS 547, and its standard operating procedure for a contract with IBM address centralized management, the establishment of a comprehensive inventory, goals and objectives of the software license management program, and the management of licenses throughout the entire life cycle. However, USAID did not demonstrate that it has policies and procedures for providing appropriate personnel with sufficient training on managing software licenses, including contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management. We will follow up with the agency to obtain supporting documentation.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the U.S. Agency for International Development should develop an agency-wide comprehensive policy for the management of software licenses that addresses the weaknesses we identified.

    Agency Affected: United States Agency for International Development

  133. Status: Closed - Implemented

    Comments: The US Agency for international Development (USAID) has implemented this recommendation. USAID provided evidence that it has established and maintains comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses. In addition, USAID established a documented process to review and update of the inventory. A comprehensive inventory will better ensure compliance with software license agreements, and allow USAID agency-wide visibility that can help consolidate redundant applications and the identification of other cost-saving opportunities.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the U.S. Agency for International Development should establish a comprehensive inventory of software licenses using automated tools for the majority of agency software license spending and/or enterprise-wide licenses.

    Agency Affected: United States Agency for International Development

  134. Status: Open

    Comments: USAID has established a process and procedures to track and maintain a comprehensive inventory of software licenses using automated tools and metrics. For example, in April 2015 USDAID issued a standard operating procedure that documents the roles and responsibilities for tracking and updating the software inventory for new purchases, maintenance renewal and the retirement of software . We will follow-up with the agency to obtain documentation demonstrating that the agency regularly tracks and maintains its inventory of software licenses.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the U.S. Agency for International Development should regularly track and maintain a comprehensive inventory of software licenses using automated tools and metrics.

    Agency Affected: United States Agency for International Development

  135. Status: Open

    Comments: The US Agency for international Development (USAID) has yet to implement this recommendation. We have not yet validated agency actions on this recommendation. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the U.S. Agency for International Development should analyze agency-wide software license data, such as costs, benefits, usage, and trending data, to identify opportunities to reduce costs and better inform investment decision making.

    Agency Affected: United States Agency for International Development

  136. Status: Open

    Comments: USAID reported that its contracting and other appropriate staff, (Contracting Officer's Representatives), within USAID?s Bureau of Management's Chief Information Officer are all currently certified through the Federal Acquisition Institute Training Application System with Federal Acquisition Certification (FAC-C) or FAC in Contracting (FAC-COR) certifications. According to USAID, these certifications require classroom and online training classes to address federal and agency requirements related to the procurement and administration of contracts for goods and services. USAID noted that individuals with these certifications have expertise regarding contract terms and conditions, negotiations, laws/regulations, and acquisitions as noted in the audit finding and management decision. We will follow-up with the agency to obtain documentation to support that this training has occurred.

    Recommendation: To ensure the effective management of software licenses, the Administrator of the U.S. Agency for International Development should provide software license management training to appropriate agency personnel addressing contract terms and conditions, negotiations, laws and regulations, acquisition, security planning, and configuration management.

    Agency Affected: United States Agency for International Development

 

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