2.149.3 Asset Management Hardware Procedures

Manual Transmittal

October 19, 2015

Purpose

(1) This transmits new Internal Revenue Service (IRS), Asset Management Hardware Procedures.

Material Changes

(1) This document defines the step-by-step instructions for the activities used in the Hardware Asset Management procedures:

Step 1 - Manage IT Asset Plan process includes the planning for information technology asset purchases

Step 2 - Process Acquired IT Asset includes the processing of acquired hardware information technology assets

Step 3 - Deploy IT Asset includes a method for deploying information technology hardware assets

Step 4 - Maintain IT Asset includes the accountability, support, and maintenance of information technology hardware assets

Step 5 - Dispose of IT Asset includes the end of life (EOL)/disposition for information technology hardware assets

Effect on Other Documents

Approval of this Asset Management Policy replaces IRM 2.14.1, Asset Management, IT Asset Management.

Audience



The Asset Management Hardware Procedures is applicable to all employees enterprise-wide responsible for managing IT equipment, including Asset Management’s stakeholders, customers, asset owners, contractors, and vendors.

Effective Date

(10-19-2015)


Terence V. Milholland
Chief Technology Officer

Introduction

  1. This document describes the formal process for implementing the requirements of the Asset Management Hardware Procedures process. It provides an operational definition of the major components of the process and how to perform each step in the process. This document also describes the logical arrangements of steps that are essential to successfully completing the process and achieving its desirable outcome.

Administration

  1. All proposed changes to this document must be submitted in writing, with supporting rationale, to the Service Asset & Configuration Management (SACM) organization in User & Network Services (UNS).

Purpose of Procedure

  1. This document defines the step-by-step instructions on how to conduct the activities used to implement the Asset Management Hardware Procedures process in UNS SACM. The purpose of a procedure document is to institutionalize and formalize the preferred method of performing tasks that staff is using. The objective is to have everyone using the same tools and techniques and follow the same repeatable steps so that the organization can quantify how well the procedure is working and train future staff members who may not currently know the routine. Ensuring consistency is a critical component for ensuring optimum efficiency.

Step 1 - Manage IT Asset Plan

  1. A workflow consists of Activities and Tasks, Inputs and Outputs, Roles, and Flow Diagrams. It describes the tasks, procedural steps, organizations or people involved, required input and output information, and tools needed for each step of the process.

Purpose

  1. Step 1 - Manage IT Asset outlines the steps required to plan for new IT asset purchases or replacement of existing IT assets.

Entry Criteria

  1. Generally, Step 1 - Manage IT Asset – Hardware procedure occurs after the following events:

    • Approved Request for IT Asset

    • New technology

Inputs

  1. Process inputs are used as triggers to initiate the process and to produce the desired outputs. Users, stakeholders or other processes provide inputs. The following is a list of inputs for this process:

    Name Description Supplier
    Service Request A request from a User for information, or advice, or for a Standard Change or for Access to an IT Service. Request Fulfillment
    Incident Ticket An unplanned interruption to an IT Service or a reduction in the Quality of an IT Service. Incident Management
    RFC/Work Request A formal proposal for a change to be made (work request). An RFC includes details of the proposed change, and may be recorded on paper or electronically. Change Management
    IT Equipment Profile The standardized list of IT equipment given to each employee based upon their occupation in the IRS. Service Level Management
    Budget Information The financial data used to support the IT Asset Plan. IT Financial Management
    IT Asset The property or equipment that is part of the information technology infrastructure, including hardware and software for IT and telecommunications data and voice that is in use, in reserve storage, or is awaiting disposal. Supplier Management, Asset Management

Outputs

  1. Each process produces tangible outputs. These outputs can take the form of products or data and can be delivered to a user or stakeholder, or, they can be used as inputs to other processes. Outputs are measurable in terms of quantity and quality.

    Name Description Recipient
    IT Asset Plan A tactical plan for managing an organization's infrastructure and assets to deliver an agreed standard of service. Supplier Management, IT Financial Management
    RFC/Work Request A formal proposal for a change to be made (work request). An RFC includes details of the proposed change, and may be recorded on paper or electronically. Change Management
    Budget Information The financial data used to support the IT Asset Plan. IT Financial Management
    Knowledge Article The shared information or instructions contained in a centralized database. Knowledge Management, Stakeholders

Exit Criteria

  1. Step 1 - Manage IT Asset Plan - Hardware procedure is exited when:

    • Submitted requests have been incorporated into an IT Asset Plan

Activities

  1. An activity is a major unit of work to be completed in achieving the objectives of the process. A process consists of a sequence of related activities that transforms inputs into outputs and performed by the roles defined in the process. Identify the activities in the process and provide a brief description. The activities must correspond with the high-level process flow diagram above.

  2. Additional instructions for the following steps are found in the Asset Management – User Guides at the IT Process Asset Library (PAL) Website: IT PAL

    ID Name Description
    A1 Analyze request Analyze and gather request information for future needs.
    A2 Review repository Analyze repository data for availability of IT asset.
    A3 Process request Manage IT asset inventory levels.

Roles

  1. Each process defines at least one role. Each role is assigned to perform specific tasks within the process. The responsibilities of a role are confined to the specific process. They do not imply any functional standing within the hierarchy of an organization. For example, the process manager role does not imply the role is associated with or fulfilled by someone with functional management responsibilities within the organization. Within a specific process, there can be more than one individual associated with a specific role. Additionally, a single individual can assume more than one role within the process although typically not at the same time.

    Name Description
    Asset Management Specialists - Materials
    • Develop, implement, execute, and modify the IRS IT Asset Plan

    • Manage inventory replenishments

    • Analyze information from multiple, disparate databases and formulate decisions and business justifications to adjust the inventory plan

    • Develop forecasts and projections to determine demand on the inventory investment

    • Analyze economic order quantities and delivery times for replenishment of the inventory items

    • Develop policies and procedures related to the management of depot assets as needed

    • Manage and control inventory levels

Procedure

  1. Procedure Graphs

A1 Analyze Request
  1. Analyze and gather request information for future needs.

    ID Task Name and Description Role RACI Duties
    A1.1 Review the request and determine if additional information is needed:
    • New or changed service

    • RFC/Work Request

    Asset Management Specialists - Materials R Receive request and review for completeness
    A1.2 Determine if a Spending Plan exists to fill the request Asset Management Specialists - Materials R Review Spending Plan
    A1.3 Research and complete analysis of equipment needs Asset Management Specialists - Materials R Analyze inventory levels for forecasting future needs
    A1.4 Assist in the creation of the IT Asset Plan Asset Management Specialists - Materials R Analyze information and formulate decisions for input to the IT Asset Plan
A2 Review Repository
  1. Analyze repository data for availability of IT asset

    ID Task Name and Description Role RACI Duties
    A2.1 Review asset stock levels Asset Management Specialists - Materials R Produce reports to evaluate inventory levels
    A2.2 Analyze the repository against the following types of requests:
    • Work requests

    • Service Requests

    • Incident tickets

    Asset Management Specialists - Materials R Review in stock quantities for request fulfillment
A3 Process Request
  1. Manage IT asset inventory levels

    ID Task Name and Description Role RACI Duties
    A3.1 Monitor asset inventory levels Asset Management Specialists - Materials R Review asset management reports to manage inventory levels
    A3.2 Monitor vendors to ensure IT asset needs are met Asset Management Specialists - Materials R Review vendor asset management reports
    A3.3 Monitor stock levels Asset Management Specialists - Materials R Review depot assets to manage stock levels
    A3.4 Make recommendations to replenish stock Asset Management Specialists - Materials R Send proposal for replenishment
Cross-Functional Diagram
  1. Step 1 - Manage IT Asset - Hardware Procedure Flow Diagram

    Figure 2.149.3-1

    This is an Image: 67521101.gif

    Please click here for the text description of the image.

Step 2 - Process Acquired IT Asset Workflow

  1. A workflow consists of Activities and Tasks, Inputs and Outputs, Roles, and Flow Diagrams. It describes the tasks, procedural steps, organizations or people involved, required input and output information, and tools needed for each step of the process.

Purpose

  1. Step 2 - Process Acquired IT Asset is to ensure new and transferred IT assets are accounted for in the IRS authoritative repository.

Entry Criteria

  1. Generally, Step 2 - Process Acquired IT Asset Workflow - Hardware procedure occurs after the following events:

    • Purchase Notification

    • Service Request

    • Incident Ticket

    • RFC/Work Request

Inputs

  1. Process inputs are used as triggers to initiate the process and to produce the desired outputs. Users, stakeholders or other processes provide inputs. The following is a list of inputs for this process:

    Name Description Supplier
    Move/Add/Change Form A form used to document the status (location/assignment/user) of any piece of hardware (IT asset). It is used to update the asset repository. Asset Management, Stakeholders
    Purchase Documentation The types of purchase documentation include requisitions and contracts. Supplier Management
    Asset Management Reports The reports generated to provide data on the asset management inventory. Asset Management, Supplier Management
    Service Request A request from a User for information, or advice, or for a Standard Change or for Access to an IT Service. Request Fulfillment
    Acquisition Documentation The types of acquisition documentation include transfers from another federal agency and/or seized and forfeited assets. Asset Management, Stakeholders

Outputs

  1. Each process produces tangible outputs. These outputs can take the form of products or data and can be delivered to a user or stakeholder, or, they can be used as inputs to other processes. Outputs are measurable in terms of quantity and quality.

    Name Description Recipient
    Asset Repository An asset record is updated within the Asset Repository. Asset Management
    Asset Management Reports The reports generated to provide data on the current asset management inventory. Asset Management, Supplier Management, Stakeholders
    Knowledge Article The shared information or instructions contained in a centralized database. Knowledge Management, Stakeholders

Exit Criteria

  1. Step 2 - Process Acquired IT Asset - Hardware procedure is exited when:

    • Acquired IT asset is obtained to meet customer requests and successfully added to the repository

Activities

  1. An activity is a major unit of work to be completed in achieving the objectives of the process. A process consists of a sequence of related activities that transforms inputs into outputs and performed by the roles defined in the process. Identify the activities in the process and provide a brief description. The activities must correspond with the high-level process flow diagram above.

    ID Name Description
    A1 Receive and process notifications Notifications are received and processed for all IT asset acquisitions.
    A2 Update repository Create/Update record.

Roles

  1. Each process defines at least one role. Each role is assigned to perform specific tasks within the process. The responsibilities of a role are confined to the specific process. They do not imply any functional standing within the hierarchy of an organization. For example, the process manager role does not imply the role is associated with or fulfilled by someone with functional management responsibilities within the organization. Within a specific process, there can be more than one individual associated with a specific role. Additionally, a single individual can assume more than one role within the process although typically not at the same time.

    Name Description
    Asset Management Specialists - Hardware
    • Manage control processes and interactions for all enterprise-wide hardware financial assets and associated components

    • Develop policies and procedures related to the management of hardware assets as needed

    • Provide input for hardware asset lifecycle plans

    • Direct and execute hardware asset certification activities

    • Develop and maintain disposal policies/activities to ensure data integrity

    • Reconcile hardware assets receipt data for verification and audit

    • Process Move/Add/Change Forms

    • Oversee and coordinate with external/internal auditors (GAO, TIGTA, and CFO) regarding IT assets

    • Administrate guidelines for quality reviews

    Asset Management Specialists - Equipment
    • Prepare, coordinate, and ship equipment

    • Maintain and review repository for inventory accuracy

    • Receive new IT assets

    • Manage the receipt of IT assets

    • Retire IT assets as needed

    • Coordinate with AWSS to complete the disposal process

    • Evaluate usage and stock levels for IT assets

    • Develop policies and procedures related to the management of depot assets as needed

    • Recommend changes to the inventory plan based on inventory usage and demand levels

    Asset Management Specialists - Materials
    • Develop, implement, execute, and modify the IRS IT Asset Plan

    • Manage inventory replenishments

    • Analyze information from multiple, disparate databases and formulate decisions and business justifications to adjust the inventory plan

    • Develop forecasts and projections to determine demand on the inventory investment

    • Analyze economic order quantities and delivery times for replenishment of the inventory items

    • Develop policies and procedures related to the management of depot assets as needed

    • Manage and control inventory levels

Procedure

  1. Procedure Graphs

A1 Receive and Process Notifications
  1. Notifications are received and processed for all IT asset acquisitions.

    ID Task Name and Description Role RACI Duties
    A1.1 Receive notifications of purchase Asset Management Specialists -Hardware, Materials and Equipment R Receive email or systemic notification
    A1.2 Verify information in purchasing systems and asset repository Asset Management Specialists -Hardware, Materials and Equipment R Validate data
A2 Update Repository
  1. Create/Update record.

    ID Task Name and Description Role RACI Duties
    A2.1 Receive Asset Management Reports and shipping information from vendor Asset Management Specialists – Hardware and Materials R Check mailbox for receipt of reports
    A2.2 Compare and validate Asset Management Reports against purchasing systems:
    • If correct and vendor barcoded, proceed to A2.3

    • If correct and not barcoded, ensure IT asset is barcoded and manually added to repository, then proceed to A2.5

    • If incorrect and barcoded, reconcile with vendor or credit card purchaser and proceed to A2.3

    • If incorrect and not barcoded, reconcile with vendor or credit card purchaser, ensure IT asset is barcoded and manually added to repository, then proceed to A2.5

    Asset Management Specialists - Hardware and Materials R Verify reports against purchasing information
    A2.3 Enter Asset Management Reports data into repository Asset Management Specialists - Hardware R Input data in repository
    A2.4 Validate the Asset Management Reports data in the repository Asset Management Specialists - Hardware and Materials R Verify data in repository
    A2.5 Notify recipient/POC of pending delivery Asset Management Specialists - Hardware and Materials R Send notification to recipient of pending delivery
    A2.6 Verify receipt of delivery of IT assets (vendor to depot). The following steps are performed when assets are received from the vendor to the depot:
    • Receive notification

    • Verify asset received against Notification

    • Acknowledge receipt

    Asset Management Specialists - Hardware, Equipment and Materials R Confirm delivery of IT assets
    A2.7 Update repository for asset received/shipped:
    • If Depot, update asset record for asset received/shipped

    • If recipient/POC, communicate Move/Add/Change information for processing

    Asset Management Specialists - Hardware and Equipment R Update repository to reflect current state
Cross-Functional Diagram
  1. Step 2 - Process Acquired IT Asset - Hardware Procedure Flow Diagram

    Figure 2.149.3-2

    This is an Image: 67521102.gif

    Please click here for the text description of the image.

Step 3 - Deploy IT Asset - Hardware Procedure Workflow

  1. A workflow consists of Activities and Tasks, Inputs and Outputs, Roles, and Flow Diagrams. It describes the tasks, procedural steps, organizations or people involved, required input and output information, and tools needed for each step of the process.

Purpose

  1. Step 3 - Deploy IT Asset is to provide IT assets needed to the recipient. Some of these activities include identifying assets and entering asset information in a repository.

Entry Criteria

  1. Generally, Step 3 - Deploy IT Asset - Hardware procedure occurs after the following event:

    • IT asset new to the environment has successfully completed Service Validation & Testing

Inputs

  1. Process inputs are used as triggers to initiate the process and to produce the desired outputs. Users, stakeholders or other processes provide inputs. The following is a list of inputs for this process.

    Name Description Supplier
    Service Request A request from a User for information, or advice, or for a Standard Change, or for Access to an IT Service. Request Fulfillment
    Incident Ticket An unplanned interruption to an IT Service or a reduction in the Quality of an IT Service. Incident Management
    RFC/Work Request A formal proposal for a change to be made (work request). An RFC includes details of the proposed change, and may be recorded on paper or electronically. Change Management
    Move/Add/Change Form A form used to document the status (location/assignment/user) of any piece of hardware (IT asset). It is used to update the asset repository. Asset Management, Stakeholders
    Asset Management Reports The reports generated to provide data on the asset management inventory. Asset Management, Supplier Management
    IT Equipment Profile The standardized list of IT equipment given to each employee based upon their occupation in the IRS. Service Level Management
    Testing Documentation The documentation of testing process and results. Release & Deployment Management

Outputs

  1. Each process produces tangible outputs. These outputs can take the form of products or data and can be delivered to a user or stakeholder, or, they can be used as inputs to other processes. Outputs are measurable in terms of quantity and quality.

    Name Description Recipient
    Deployed IT Asset The IT asset is delivered and set up for the recipient. Asset Management, Stakeholders
    Asset Repository An asset record is updated within the Asset Repository. Asset Management
    Asset Management Reports The reports generated to provide data on the current asset management inventory. Asset Management, Supplier Management, Stakeholders
    Knowledge Article The shared information or instructions contained in a centralized database. Knowledge Management, Stakeholders

Exit Criteria

  1. Step 3 - Deploy IT Asset - Hardware procedure is exited when:

    • The IT asset is delivered, set up for the recipient and the record is updated in the repository

Activities

  1. An activity is a major unit of work to be completed in achieving the objectives of the process. A process consists of a sequence of related activities that transforms inputs into outputs and performed by the roles defined in the process. Identify the activities in the process and provide a brief description. The activities must correspond with the high-level process flow diagram above.

    ID Name Description
    A1 Deploy IT Asset The asset is delivered to the recipient.
    A2 Update Repository IT asset record is updated to reflect asset location and the assignment in the repository.

Roles

  1. Each process defines at least one role. Each role is assigned to perform specific tasks within the process. The responsibilities of a role are confined to the specific process. They do not imply any functional standing within the hierarchy of an organization. For example, the process manager role does not imply the role is associated with or fulfilled by someone with functional management responsibilities within the organization. Within a specific process, there can be more than one individual associated with a specific role. Additionally, a single individual can assume more than one role within the process although typically not at the same time.

    Name Description
    Asset Management Specialists - Hardware
    • Manage control processes and interactions for all enterprise-wide hardware financial assets and associated components

    • Develop policies and procedures related to the management of hardware assets as needed

    • Provide input for hardware asset lifecycle plans

    • Direct and execute hardware asset certification activities

    • Develop and maintain disposal policies/activities to ensure data integrity

    • Reconcile hardware assets receipt data for verification and audit

    • Process Move/Add/Change Forms

    • Oversee and coordinate with external/internal auditors (GAO, TIGTA, and CFO) regarding IT assets

    • Administrate guidelines for quality reviews

    Asset Management Specialists - Equipment
    • Prepare, coordinate, and ship equipment

    • Maintain and review repository for inventory accuracy

    • Receive new IT assets

    • Manage the receipt of IT assets

    • Retire IT assets as needed

    • Coordinate with AWSS to complete the disposal process

    • Evaluate usage and stock levels for IT assets

    • Develop policies and procedures related to the management of depot assets as needed

    • Recommend changes to the inventory plan based on inventory usage and demand levels

Procedure

  1. Procedure Graphs

A1 Deploy IT Asset
  1. The asset is delivered to the recipient.

    ID Task Name and Description Role RACI Duties
    A1.1 Deploy IT assets (depot to recipient). The following steps are performed when an incident or request ticket requires a depot asset:
    • Review request

    • Process request

    • Ship IT asset

    • Update incident or request ticket

    Asset Management Specialists – Equipment R Depot makes arrangements to have IT asset delivered to recipient
A2 Update Repository
  1. IT asset record is updated to reflect asset location and the assignment in the repository.

    ID Task Name and Description Role RACI Duties
    A2.1 Update repository:
    • Update asset record for asset received

    • Update asset record for asset shipped

    Asset Management Specialists – Equipment R Update repository to reflect current state
    A2.2 Process Move/Add/Change Form:
    • Review form and request additional information if needed

    • Update Repository

    • File form

    Asset Management Specialists - Hardware R Update repository to reflect current state
Cross-Functional Diagram
  1. Step 3 - Deploy IT Asset - Hardware Procedure Flow Diagram

    Figure 2.149.3-3

    This is an Image: 67521103.gif

    Please click here for the text description of the image.

Step 4 - Maintain IT Asset Workflow

  1. A workflow consists of Activities and Tasks, Inputs and Outputs, Roles, and Flow Diagrams. It describes the tasks, procedural steps, organizations or people involved, required input and output information, and tools needed for each step of the process.

Purpose

  1. Step 4 - Maintain IT Asset is to inventory, count and track assets, monitor usage, and manage warranties (hardware) contracts for maintenance and support. Some of these activities include monitoring the useful life of an asset, quality reviews and continuous evaluations to improve services for future modification. Each activity may have a different trigger(s) that starts the process.

Entry Criteria

  1. Generally, Step 4 - Maintain IT Asset - Hardware procedure occurs after the following event:

    • IT asset is deployed in the IT infrastructure

Inputs

  1. Process inputs are used as triggers to initiate the process and to produce the desired outputs. Users, stakeholders or other processes provide inputs. The following is a list of inputs for this process.

    Name Description Supplier
    IT Asset The property or equipment that is part of the information technology infrastructure, including hardware and software for IT and telecommunications data and voice that is in use, in reserve storage, or awaiting disposal. Supplier Management, Asset Management
    Asset Repository The database that stores, maintains, and tracks the value and ownership of assets. Asset Management
    Asset Management Reports The reports generated to provide data on the asset management inventory. Asset Management, Supplier Management
    Maintenance and Warranty Agreements The warranties are agreements which call for the replacement or repair of hardware assets at no additional charge. Maintenance agreements ensure continued operation of an IT asset by providing preventive and remedial services including support and installation. Supplier Management
    Purchase Documentation The types of purchase documentation include requisitions and contracts. Supplier Management
    Financial/Compliance Audits (GAO, TIGTA, CFO) The formal inspection and verification to check whether a standard or set of guidelines is being followed, that records are accurate, or that efficiency and effectiveness targets are being met. Audit Management (Strategy & Planning)
    Service Request A request from a User for information, or advice, or for a Standard Change or for Access to an IT Service. Request Fulfillment
    Incident Ticket An unplanned interruption to an IT Service or a reduction in the Quality of an IT Service. Incident Management
    Policies and Directives The guidelines to manage the IT Asset Management program and ensure financial assets are accurately tracked in the authoritative repositories. Asset Management
    Annual Certification Plan The annual overview of hardware asset management objectives, guidelines, and activities, necessary to meet IRS’ annual financial audits and deliverables including certifying the accuracy and completeness of IRS’ authoritative inventory system. Asset Management
    IT Equipment Profile The standardized list of IT equipment given to each employee based upon their occupation in the IRS. Service Level Management
    Move/Add/Change Form A form used to document the status (location/assignment/user) of any piece of hardware (IT asset). It is used to update the asset repository. Asset Management, Stakeholders

Outputs

  1. Each process produces tangible outputs. These outputs can take the form of products or data and can be delivered to a user or stakeholder, or, they can be used as inputs to other processes. Outputs are measurable in terms of quantity and quality.

    Name Description Recipient
    Asset Repository An asset record is updated within the Asset Repository. Asset Management
    Asset Management Reports The reports generated to provide data on the current asset management inventory. Asset Management, Supplier Management, Stakeholders
    Service Request A request from a User for information, or advice, or for a Standard Change, or for Access to an IT Service has been fulfilled and closed. Request Fulfillment, Asset Management
    Incident Ticket The resolution of an unplanned interruption to an IT Service or a reduction in the Quality of an IT Service. Incident Management, Asset Management
    Knowledge Article The shared information or instructions contained in a centralized database. Knowledge Management, Stakeholders

Exit Criteria

  1. Step 4 - Maintain IT Asset - Hardware procedure is exited when:

    • IT assets are managed in the repository until end of life

Activities

  1. An activity is a major unit of work to be completed in achieving the objectives of the process. A process consists of a sequence of related activities that transforms inputs into outputs and performed by the roles defined in the process. Identify the activities in the process and provide a brief description. The activities must correspond with the high-level process flow diagram above.

    ID Name Description
    A1 Manage inventory data Verify IRS owned IT assets are consistent with the inventory.
    A2 Manage report data Track data and analyze reports for recommendations.
    A3 Manage audits Collaborate to ensure compliance and respond to all IT asset internal/external audits and requests for information. The corrective actions will result in improved data and processes.
    A4 Update repository Process the IT asset record changes in the authoritative repository.
    A5 Recommend corrective actions Analyze results for process and data improvements as needed.

Roles

  1. Each process defines at least one role. Each role is assigned to perform specific tasks within the process. The responsibilities of a role are confined to the specific process. They do not imply any functional standing within the hierarchy of an organization. For example, the process manager role does not imply the role is associated with or fulfilled by someone with functional management responsibilities within the organization. Within a specific process, there can be more than one individual associated with a specific role. Additionally, a single individual can assume more than one role within the process although typically not at the same time.

    Name Description
    Asset Management Specialists - Hardware
    • Manage control processes and interactions for all enterprise-wide hardware financial assets and associated components

    • Develop policies and procedures related to the management of hardware assets as needed

    • Provide input for hardware asset lifecycle plans

    • Direct and execute hardware asset certification activities

    • Develop and maintain disposal policies/activities to ensure data integrity

    • Reconcile hardware assets receipt data for verification and audit

    • Process Move/Add/Change Forms

    • Oversee and coordinate with external/internal auditors (GAO, TIGTA, and CFO) regarding IT assets

    • Administrate guidelines for quality reviews

    Asset Management Specialists - Materials
    • Develop, implement, execute, and modify the IRS IT Asset Plan

    • Manage inventory replenishments

    • Analyze information from multiple, disparate databases and formulate decisions and business justifications to adjust the inventory plan

    • Develop forecasts and projections to determine demand on the inventory investment

    • Analyze economic order quantities and delivery times for replenishment of the inventory items

    • Develop policies and procedures related to the management of depot assets as needed

    • Manage and control inventory levels

    Asset Management Specialists - Equipment
    • Prepare, coordinate, and ship equipment

    • Maintain and review repository for inventory accuracy

    • Receive new IT assets

    • Manage the receipt of IT assets

    • Retire IT assets as needed

    • Coordinate with AWSS to complete the disposal process

    • Evaluate usage and stock levels for IT assets

    • Develop policies and procedures related to the management of depot assets as needed

    • Recommend changes to the inventory plan based on inventory usage and demand levels

Procedure

  1. Procedure Graphs

A1 Manage Inventory Data
  1. Verify IRS owned IT assets are consistent with the inventory.

    ID Task Name and Description Role RACI Duties
    A1.1 Prepare and disseminate Annual Certification Plan Asset Management Specialists - Hardware R Notify stakeholders
    A1.2 Process Perpetual Inventory Methods such as:
    • Manual - via Incident tickets and Move/Add/Change forms

    • Automatic - software scan

    Asset Management Specialists - Hardware and Equipment R Update repository
    A1.3 Manage and reconcile Anomaly Reports by:
    • Analyzing discrepancy

    • Performing corrective actions (internal)

    Asset Management Specialists - Hardware R Analyze information and update repository
    A1.4 Go to A5: Recommend Corrective Actions
A2 Manage Report Data
  1. Track data and analyze reports for recommendations.

    ID Task Name and Description Role RACI Duties
    A2.1 Track data to ensure accuracy Asset Management Specialists - Hardware, Materials and Equipment R Create reports
    A2.2 Review reports Asset Management Specialists - Hardware, Materials and Equipment R Validate reports
    A2.3 Analyze findings Asset Management Specialists - Hardware, Materials and Equipment R Review data
    A2.4 Correct Deficiencies (internal) Asset Management Specialists - Hardware, Materials and Equipment R Update repository
    A2.5 Go to A5: Recommend Corrective Actions
A3 Manage Audits
  1. Collaborate to ensure compliance and respond to all IT asset internal/external audits and requests for information. The corrective actions will result in improved data and processes.

    ID Task Name and Description Role RACI Duties
    A3.1 Respond and provide data for TIGTA, CFO, and GAO audit requests Asset Management Specialists - Hardware R Acknowledge and comply with audit request
    A3.2 Analyze TIGTA, CFO, and GAO audit findings Asset Management Specialists - Hardware R Review information and provide feedback
    A3.3 Perform corrective actions based on audit findings (internal) Asset Management Specialists - Hardware, Materials and Equipment R Implement recommendations
    A3.4 Go to A5: Recommend Corrective Actions
A4 Update Repository
  1. Process the IT asset record changes in the authoritative repository.

    ID Task Name and Description Role RACI Duties
    A4.1 Update repository Asset Management Specialists - Hardware R Update repository
    A4.2 Save processed Move/Add/Change forms in centralized location Asset Management Specialists - Hardware R Maintain processed forms
    The end state is a “Managed IT Asset”
A5 Recommend Corrective Actions
  1. Analyze results for process and data improvements as needed.

    ID Task Name and Description Role RACI Duties
    A5.1 Manage IT asset data discrepancies impacting IT asset data accuracy Asset Management Specialists - Hardware, Materials and Equipment R Create reports
    A5.2 Research and make recommendations to include stakeholders Asset Management Specialists - Hardware, Materials and Equipment R Analyze reports and issue guidance
    A5.3 Update repository, if necessary Asset Management Specialists - Hardware, Materials and Equipment R Update repository
    The end state is a “Managed IT Asset”
Cross-Functional Diagram
  1. Step 4 - Maintain IT Asset Overview - Hardware Procedure Flow Diagram

    Figure 2.149.3-4

    This is an Image: 67521104.gif

    Please click here for the text description of the image.

    Figure 2.149.3-5

    This is an Image: 67521105.gif

    Please click here for the text description of the image.

    Figure 2.149.3-6

    This is an Image: 67521106.gif

    Please click here for the text description of the image.

    Figure 2.149.3-7

    This is an Image: 67521107.gif

    Please click here for the text description of the image.

Step 5 - Dispose IT Asset Workflow

  1. A workflow consists of Activities and Tasks, Inputs and Outputs, Roles, and Flow Diagrams. It describes the tasks, procedural steps, organizations or people involved, required input and output information, and tools needed for each step of the process.

Purpose

  1. Step 5 - Dispose IT Asset is to remove IT assets from active inventory and make them unavailable for use. Some of these activities include determining IT assets reaching end of life and performing disposal activities.

Entry Criteria

  1. Generally, Step 5 - Dispose IT Asset - Hardware procedure occurs after the following event:

    • IT asset is ready for disposal or reached end of life

Inputs

  1. Process inputs are used as triggers to initiate the process and to produce the desired outputs. Users, stakeholders or other processes provide inputs. The following is a list of inputs for this process:

    Name Description Supplier
    IT Asset The property or equipment that is part of the information technology infrastructure, including hardware and software for IT and telecommunications data and voice that is in use, in reserve storage, or awaiting disposal. Supplier Management, Asset Management
    Asset Repository The database that stores, maintains and tracks the value and ownership of assets. Asset Management
    Asset Management Reports The reports generated to provide data on the asset management inventory. Asset Management, Supplier Management
    Service Request A request from a User for information, or advice, or for a Standard Change, or for Access to an IT Service. Request Fulfillment
    Incident Ticket An unplanned interruption to an IT Service or a reduction in the Quality of an IT Service. Incident Management
    Policies and Directives The guidelines to manage the IT Asset Management program and ensure financial assets are accurately tracked in the authoritative repositories. Asset Management
    Maintenance and Warranty Agreements The warranties are agreements which call for the replacement or repair of hardware assets at no additional charge. Maintenance agreements ensure continued operation of an IT asset by providing preventive and remedial services including support and installation. Supplier Management
    Move/Add /Change Form A form used to document the status (location/assignment/user) of any piece of hardware (IT asset). It is used to update the asset repository. Asset Management, Stakeholders
    Disposal Documentation The documents used to support the disposal of hardware IT assets. Asset Management, Supplier Management, AWSS/FMSS

Outputs

  1. Each process produces tangible outputs. These outputs can take the form of products or data and can be delivered to a user or stakeholder, or, they can be used as inputs to other processes. Outputs are measurable in terms of quantity and quality.

    Name Description Recipient
    Asset Management Reports The reports generated to provide data on the current asset management inventory. Asset Management, Supplier Management, Stakeholders
    Service Request A request from a User for information, or advice, or for a Standard Change or for Access to an IT Service has been fulfilled and closed. Request Fulfillment, Asset Management
    Incident Ticket The resolution of an unplanned interruption to an IT Service or a reduction in the Quality of an IT Service. Incident Management, Asset Management
    Asset Repository An asset record is updated within the Asset Repository. Asset Management
    Knowledge Article The shared information or instructions contained in a centralized database. Knowledge Management, Stakeholders
    Disposal Documentation The documents used to support the disposal of hardware IT assets. Asset Management, Supplier Management, AWSS/FMSS

Exit Criteria

  1. Step 5 - Dispose IT Asset - Hardware procedure is exited when:

    • IT asset has been removed from the IRS environment and record updates have been finalized

Activities

  1. An activity is a major unit of work to be completed in achieving the objectives of the process. A process consists of a sequence of related activities that transforms inputs into outputs and performed by the roles defined in the process. Identify the activities in the process and provide a brief description. The activities must correspond with the high-level process flow diagram above.

    ID Name Description
    A1 Determine IT assets at EOL Monitor and manage IT assets that do not meet operational needs in accordance with end of life (EOL) criteria which is based upon the contract.
    A2 Manage disposal activities Perform the steps to remove IT asset from operational use.
    A3 Update repository Execute disposition updates for IT assets by processing IT asset record changes.

Roles

  1. Each process defines at least one role. Each role is assigned to perform specific tasks within the process. The responsibilities of a role are confined to the specific process. They do not imply any functional standing within the hierarchy of an organization. For example, the process manager role does not imply the role is associated with or fulfilled by someone with functional management responsibilities within the organization. Within a specific process, there can be more than one individual associated with a specific role. Additionally, a single individual can assume more than one role within the process although typically not at the same time.

    Name Description
    Asset Management Specialists - Materials
    • Develop, implement, execute, and modify the IRS IT Asset Plan

    • Manage inventory replenishments

    • Analyze information from multiple, disparate databases and formulate decisions and business justifications to adjust the inventory plan

    • Develop forecasts and projections to determine demand on the inventory investment

    • Analyze economic order quantities and delivery times for replenishment of the inventory items

    • Develop policies and procedures related to the management of depot assets as needed

    • Manage and control inventory levels

    Asset Management Specialists - Equipment
    • Prepare, coordinate, and ship equipment

    • Maintain and review repository for inventory accuracy

    • Receive new IT assets

    • Manage the receipt of IT assets

    • Retire IT assets as needed

    • Coordinate with AWSS to complete the disposal process

    • Evaluate usage and stock levels for IT assets

    • Develop policies and procedures related to the management of depot assets as needed

    • Recommend changes to the inventory plan based on inventory usage and demand levels

Procedure

  1. Procedure Graphs

A1 Determine IT Asset At EOL
  1. Monitor and manage IT assets that do not meet operational needs in accordance with end of life (EOL) criteria which is based upon the contract.

    ID Task Name and Description Role RACI Duties
    A1.1 Determine IT assets that have reached EOL by either:
    • Criteria - predefined rules

    • Physical condition - if asset is broken

    Asset Management Specialists - Materials and Equipment R Run reports or process request for IT assets at EOL
A2 Manage Disposal Activities
  1. Perform the steps to remove IT asset from operational use.

    ID Task Name and Description Role RACI Duties
    A2.1 Initiate disposal activities Asset Management Specialists - Equipment R Review request for disposal
    A2.2 Arrange for IT assets removal Asset Management Specialists - Equipment R Contact requester to verify equipment being excessed
    A2.3 Update IT asset record to reflect awaiting excess status in repository Asset Management Specialists - Equipment R Update repository to reflect current state
    A2.4 Prepare IT assets for disposal (e.g. SF-120, sanitization, etc.) Asset Management Specialists - Equipment R Sanitize IT assets and complete disposal documentation
A3 Update Repository
  1. Execute disposition updates for IT assets by processing IT asset record changes.

    ID Task Name and Description Role RACI Duties
    A3.1 Update IT asset records to reflect final disposition in repository Asset Management Specialists - Equipment R Update repository to reflect IT assets have been transferred to AWSS
    A3.2 Execute IT assets removal with AWSS Asset Management Specialists - Equipment R Make arrangements to have IT assets removed from site
Cross-Functional Diagram
  1. Step 5 - Dispose IT Asset - Hardware Procedure Flow Diagram

    Figure 2.149.3-8

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    Please click here for the text description of the image.

Exhibits

  1. Exhibit A - Acronyms

  2. Exhibit B - Glossary

Exhibit A - Acronyms

  1. The abbreviations and acronyms include an alphabetical listing of some commonly used terms in IT Asset Management.

    Acronyms Definition
    ACIO Associate Chief Information Officer
    AM Asset Management
    ARM Asset Management Reports
    AWSS Agency-Wide Shared Services
    CFO Chief Financial Officer
    CMMI Capability Maturity Model Integrated
    COE Common Operating Environment
    CTO Chief Technology Officer
    EOL End of Life
    FMSS Facilities Management and Security Services (formerly Real Estate and Facilities Management (REFM))
    GAO Government Accountability Office
    IPM Integrated Process Management
    IRM Internal Revenue Manual
    IRS Internal Revenue Service
    IT Information Technology
    ITIL Information Technology Infrastructure Library
    ITSM IT Service Management
    PAL Process Asset Library
    PD Process Description
    PMI Project Management Institute
    POC Point of Contact
    RACI (Responsible, Accountable, Consulted, and Informed) This model is used to help define roles and responsibilities, instructions for the activities used in the Hardware Asset Management procedures
    RFC Request For Change
    ROI Return On Investment
    SACM Service Asset & Configuration Management
    TIGTA Treasury Inspector General for Tax Administration
    UNS User & Network Services

Exhibit B - Glossary

  1. The definitions listed below are some commonly used terms and provided as an aid to understanding IT Asset Management.

    Term Definition
    Agreed Life An asset is designed to perform a function at an acceptable level for a predetermined amount of time according to the manufacturer’s lifecycle. It ensures that the defined services for the asset are met to provide the level of service required by the customer, in terms of quality and reliability.
    Annual Inventory Certification Plan Annual overview of hardware asset management objectives, guidelines, and activities, necessary to meet IRS’ annual financial audits and deliverables including certifying the accuracy and completeness of IRS’ authoritative inventory system.
    Artifact A work product created by a process or procedure step, e.g., plans, design specifications, etc.
    Asset Any resource or capability. Assets of a service provider include anything that could contribute to the delivery of a service. Assets can be one of the following types: management, organization, process, knowledge, people, information, applications, infrastructure, and financial capital.
    Audit Formal inspection and verification to check whether a standard or set of guidelines is being followed, that records are accurate, or that efficiency and effectiveness targets are being met. An audit may be carried out by internal or external groups.
    Depot A centralized storage area for In Stock IT equipment.
    Certification Issuing a certificate to confirm compliance to a standard. Certification includes a formal audit by an independent and accredited body.
    Entry Criteria The elements and conditions (state) necessary to trigger the beginning of a process step.
    Exit Criteria The elements or conditions (state) necessary to trigger the completion of a process step.
    Hardware Asset Property meeting certain financial and security criteria that is part of the information technology infrastructure and represents a physical piece of computing electronic equipment.
    Incident Ticket The Enterprise Service Desk logs and tracks reported incidents. The incident will be assigned to a service provider for resolution.
    Information Technology (IT) The use of technology for the storage, communication, or processing of information. The technology typically includes computers, telecommunications, applications and other software. The information may include business data, voice, images, video, etc. Information Technology is often used to support business processes through IT services.
    Information Technology Infrastructure Library (ITIL) A set of best practice guidance for IT service management. ITIL is owned by the Office of Government Commerce (OGC) and consists of a series of publications giving guidance on the provision of quality IT services, and on the processes and facilities needed to support them. See http://www.itil.co.uk/ for more information.
    IT Asset Property or equipment that is part of the information technology infrastructure, including hardware and software for IT and telecommunications data and voice that is in use, in reserve storage, or is awaiting disposal.
    IT Asset Lifecycle A series of states connected by allowable transitions. The set of business practices that join financial, contractual, and inventory functions to support the management from acquisition to disposition for hardware and software found in the IT environment.
    IT Asset Plan A tactical plan for managing an organization's infrastructure and assets to deliver an agreed standard of service.
    IT Equipment Profile The standardized list of IT equipment given to each employee based upon their occupation in the IRS.
    Move/Add/Change Form A form used to document the status (location/assignment/user) of any piece of hardware (IT asset). It is used to update the asset repository.
    Process A structured set of activities designed to accomplish a specific objective. A process takes one or more defined inputs and turns them into defined outputs. A process may include any of the roles, responsibilities, tools, and management controls required to reliably deliver the outputs. A process may define policies, standards, guidelines, activities, and work instructions if they are needed.
    Process Owner A role responsible for ensuring that a process is fit for purpose. The process owner’s responsibilities include sponsorship, design, change management, and continual improvement of the process and its metrics. This role is often assigned to the same person who carries out the process manager role, but the two roles may be separate in larger organizations.
    Quality Reviews Quality reviews ensure compliance to asset management policies.
    RACI (Responsible - Accountable - Consulted - Informed) This model is used to help define roles and responsibilities, instructions for the activities used in the Hardware Asset Management procedures.
    Recipient The point of contact (POC) receiving the IT asset.
    Request for Change (RFC) A formal proposal for a change to be made (work request). An RFC includes details of the proposed change, and may be recorded on paper or electronically.
    Rogue Asset An unmanaged asset which appears amidst a population of managed assets. This can happen as a result of non-compliance with the policies concerning asset control and barcoding.
    Service Request A request from a user for information, or advice, or for a standard change or for access to an IT service. For example to reset a password, or to provide standard IT services for a new user. Service requests are usually handled by Enterprise Service Desk, and do not require an RFC to be submitted.
    Software Asset Property meeting certain financial and security criteria that is part of the information technology infrastructure and software installed on personal computers, laptops, desktops, servers, mainframes, network, and mobile devices.
    Tool Job aid for a specific purpose, e.g., checklist, template, application, etc.