Capacity Management Process Guide: September 2012

Capacity Management
Process Guide
Version 1.0
September 2012
2012
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authorisation of the Head, Enterprise Quality Management, WI.
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[CAPACITY MANAGEMENT PROCESS GUIDE] Sanmar Group
DOCUMENT REVISION LIST
Document Name: Capacity Management Process Guide
Document No. WI-Sanmar-001
Version No: 1.0
Owner Capacity Manager
Revisio Revisio Revision Page Rational Change Type Updat Reviewe

n No. n Date Descriptio Numbe e for (Add/Modify/Delet e by d by
n r change e)
Wipro Infotech Page 1

Abbreviations
The following abbreviations have been used in this document.
BCP Business Continuity Plan

CAB Change Advisory Board
CDB Capacity Management Database
CI Configuration Item
CFIA Component Failure Impact Analysis
CMDB Configuration Management Database
CSF Critical Success Factor
IT Information Technology
ITIL Information Technology Infrastructure Library
ITSM Information Technology Service Management
KPI Key Performance Indicators
RFC Request For Change
SDM Service Desk Manager
SDA Service Desk Agent
SLA Service Level Agreement
SM Service Management
SME Subject Matter Expert
SOA Service Outage Analysis
SOP Standard Operating Procedures
SPOC Single Point Of Contact
SPOF Single Point of Failure

Table of Contents
ABBREVIATIONS................................................................................................................................. 2
ABOUT THE DOCUMENT.................................................................................................................... 5

PURPOSE............................................................................................................................................ 5
TARGET AUDIENCE.............................................................................................................................. 5
ORGANISATION OF THE DOCUMENT...................................................................................................... 5
ABBREVIATIONS.................................................................................................................................. 6
SECTION 1 - HIGH LEVEL PROCESS DESCRIPTION.......................................................................7
PROCESS OBJECTIVES........................................................................................................................ 7
POLICY............................................................................................................................................... 7
ENTRY CRITERIA................................................................................................................................. 8
HIGH LEVEL PROCESS OVERVIEW........................................................................................................ 8
PROCESS FLOW DESCRIPTION............................................................................................................. 9
SECTION 2 - ROLES AND RESPONSIBILITIES...............................................................................10
PROCESS ORGANISATION.................................................................................................................. 10
ROLES AND RESPONSIBILITIES........................................................................................................... 10
CAPACITY MANAGER......................................................................................................................... 10
CAPACITY ANALYST.......................................................................................................................... 11
RACI CHART.................................................................................................................................... 11
SECTION 3 - LEVEL 2 PROCESS DESCRIPTION............................................................................13
IDENTIFICATION OF CAPACITY REQUIREMENTS....................................................................................13
MANAGE DEMAND............................................................................................................................. 15
MONITOR, RECORD AND REPORT CAPACITY.......................................................................................17
IDENTIFY AND IMPLEMENT CAPACITY.................................................................................................. 19
VERIFICATION.................................................................................................................................... 21
EXIT CRITERIA................................................................................................................................... 21
SECTION 4 - METRICS AND EFFECTIVENESS GUIDELINES........................................................22
PROCESS METRICS............................................................................................................................ 22
GUIDELINES FOR PROCESS EFFECTIVENESS.......................................................................................22
APPENDIX A – CAPACITY PLAN TEMPLATE.................................................................................24
APPENDIX B – SAN STORAGE CAPACITY PLAN..........................................................................25
APPENDIX C – UNIX DISK CAPACITY PLAN..................................................................................26
APPENDIX D – WINDOWS DISK CAPACITY PLAN.........................................................................27
APPENDIX E – DATABASE CAPACITY PLAN.................................................................................28
APPENDIX F – CAPACITY REQUIREMENTS...................................................................................29
APPENDIX G – IDENTIFYING ADDITIONAL CAPACITY REQUIREMENTS....................................30
APPENDIX H – RELATIONSHIP WITH OTHER PROCESSES.........................................................31
APPENDIX I – KEY PERFORMANCE INDICATORS........................................................................32

APPENDIX J – CAPACITY PLAN SAMPLE…….........................…………….....................................34

SECTION 1 – ABOUT THE DOCUMENT
Purpose
The document details the implementation and the execution of the Capacity Management process.
The guide is based on the best practices described in the Information Technology Infrastructure
Library (ITIL) framework.
Target Audience
The target audience for this document includes all Capacity Management process roles, Service Desk
Agents and Managers, other service management process owners mainly Incident Manager,
Availability Manager, Service Level Manager, Financial Manager, IT Service Continuity Manager,
Application Development and Maintenance staff involved in Capacity Management, and Customers’
IT representatives.
Organisation of the Document

The document has been organised as follows:
Section 1 This section provides a high-level description of Capacity Management process. It

describes the process objective, policies, and process flow of Capacity Management
process. It also clarifies and defines how the process interrelates with other
Information Technology Service Management (ITSM) processes.
Section 2 This section describes the key responsibilities of various user roles. It represents the
roles and responsibilities of Capacity Management process roles in a RACI matrix.
Section 3 This section provides Level 2-process description of Capacity Management process.
It includes process flows, their inputs, activity, outputs and measures for each of these
detailed flows.
Section 4 This section describes the high-level process metrics and the guidelines to ensure
process effectiveness and efficiency.
Appendix A This template can be used for preparing Capacity Plan
Appendix B This template can be used for recording, monitoring and reporting SAN storage
utilization
Appendix C This template can be used for recording, monitoring and reporting Unix file system
space utilization
Appendix D This template can be used for recording, monitoring and reporting windows devices
space utilization
Appendix E This template can be used for database capacity planning
Appendix F This provide the focus area to be considered while collecting the Capacity
requirements
Appendix G This provides various means, which can be used to identify need for additional
Capacity
Appendix H Provide relationship of Capacity Management process with other Service
Management processes

LIST OF FIGURES
FIGURE 1 CAPACITY MANAGEMENT PROCESS FLOW
FIGURE 2 CAPACITY MANAGEMENT PROCESS ORGANIZATION CHART
FIGURE 3 IDENTIFICATION OF CAPACITY REQUIREMENTS SUB-PROCESS
FIGURE 4 MANAGE DEMAND SUB-PROCESS
FIGURE 5 MONITOR, RECORD AND REPORT CAPACITY SUB-PROCESS
FIGURE 6 IDENTIFY AND IMPLEMENT CAPACITY SUB-PROCESS

LIST OF TABLES
TABLE 1 HIGH-LEVEL DESCRIPTION OF CAPACITY MANAGEMENT PROCESS
TABLE 2 RESPONSIBILITY MATRIX FOR CAPACITY MANAGEMENT PROCESS
TABLE 3 DESCRIPTION OF IDENTIFICATION OF CAPACITY REWUIREMENTS SUB-

PROCESS
TABLE 4 DESCRIPTION OF MANAGE DEMAND SUB-PROCESS
TABLE 5 DESCRIPTION OF MONITOR, RECORD AND REPORT CAPACITY SUB-PROCESSE
TABLE 6 DESCRIPTION OF IDENTIFY AND IMPLEMENT CAPACITY SUB-PROCESS
TABLE 7 PROCESS METRICS FOR CAPACITY MANAGEMENT PROCESS

SECTION 2 – HIGH LEVEL PROCESS DESCRIPTION

Process Objectives
The primary objective of the Capacity Management process is to understand business requirements
and to plan, measure, monitor and forecast the capacity of the IT infrastructure and services that will
help in meeting those business requirements consistently. Capacity Management process enables
organisations to decide, with confidence:
 When to upgrade
Ideally this is not too early, resulting in expensive over-capacity, nor too late, resulting in
bottle-necks, inconsistent performance and ultimately customer dissatisfaction and lost
business opportunities
 What to upgrade
This could be an upgrade of existing infrastructure like more memory, new storage devices,
greater bandwidth or new technology implementation depending upon the requirement
 How much to upgrade
The forecasting and planning elements of Capacity Management feed into budgetary
lifecycles, ensuring planned investment meeting the need
Policy
The Capacity policy is formulated based on the following three sub-processes of the Capacity
Management process
 Business Capacity Management: This sub-process is responsible for ensuring that the
future business requirements for IT Services are considered, planned and implemented in a
timely fashion.
 Service Capacity Management: This sub-process is responsible for understanding the
Performance and Capacity of IT Services. The Resources used by each IT Service and the
pattern of usage over time are collected, recorded, and analysed for use in the Capacity Plan.
 Resource Capacity Management: This sub-process is responsible for ensuring that all
components within the IT Infrastructure are monitored and measured, and that the collected
data is recorded, analysed and reported.
Capacity Management policy is the guiding principles for creating, deploying and managing the
Capacity Management Process. Following are the policies on which this Capacity Management
Process is designed.
1. Installation / augmentation of any new capacity affecting service availability will be agreed
with various stakeholders through Change Management Process.
2. Any preventive maintenance activity to improve the performance or to alleviate capacity
problems can only be implemented against an approved change request as per standard
change control process.
3. The Capacity Manager should prepare / update the Capacity Plan once in a quarter and
share the same with necessary stakeholders.
4. Capacity plan will be used to track and progress the action items to ensure the agreed
capacity and performance requirements are met.
5. Capacity Management should adhere to the existing security policy and procedure.
6. Procurement of new capacity needs to be requested via contract or procurement processes
in place
7. Augmentation / Installation of any new capacity should adhere to the server build standards
in place.

8. The Capacity Management process should consider both proactive and reactive Capacity
Management, while emphasising on the proactive approach.
Entry Criteria
The following condition may trigger Capacity management process
 Service breaches, capacity or performance events and alerts, including threshold events
 Periodic revision of current capacity and performance and the review of forecasts, reports and
plans
 New and changed services requiring additional capacity
 Periodic trending and modelling
 Review and revision of business and IT plans and strategies
 Review and revision of designs and strategies
 Review and revision of SLAs, OLAs, contracts or any other agreements
High Level Process Overview

The Capacity Management process constitutes the following high level activities.
1.0 - Identify Business Capacity Requirements

2.0 - Demand Management
3.0 - Monitor and Report Capacity
4.0 - Identify and implement Capacity
Wipro Infotech
REV 1.0 Capacity Management – Overview Service Management
Capacity Manager
Install Capacity
1.0 2.0
Identify Capacity Manage
Requirements Demand
4.0
Identify and
Implement
Capacity
Capacity Analyst
3.0
Other SM process
Monitor, Record
for Customer
and Report
Satisfaction
Capacity
Refer and Update CMS

Refer and Update CMS
Service Management
System
Capacity Database CMDB
Configuration Management System
Figure 1: Capacity Management Process Flow

Process Flow Description

The high-level Capacity Management process and its sub-processes are described below.
Table 1: High Level description of Capacity Management Process

No. Procedure Input Description Output
1.0 Identify  Projected  Identify future business demand and determine  Proposed
Capacity Business associated capacity and performance changes to
Requirement capacity requirements existing
s requirement  Assess capacity and performance impact of capacity
s future demand and impact of changes in  Capacity
 Actual business functionality Plan
performanc  Incorporate capacity and performance
e data requirements in the process of designing, testing
and introducing new services
2.0 Manage  New  Analyze need for demand management. It can  Interim
Demand Capacity be a short or long term demand Solution
Demand  Analyze current resource utilization (low, peak,
average), its pattern and growth
 Do thorough impact analysis and prepare interim
solution to meet demand with existing resources
 Discuss and agree on the interim solution; If
needed, refine solution to arrive at final solution
 Implement the solution
3.0 Monitor and  Monitoring  Establish efficient and cost effective monitoring  Performance
Report tools mechanism data
Capacity  Report  Analyse the monitored results to understand the  Managemen
schedules trend t reports
 Capacity (and Performance) baseline
 Report to the management
4.0 Identify and  Capacity  Identify and implement configuration changes to  Modified
implement related existing capacity to tune performance Capacity
Capacity incidents/  Identify and implement additional capacity plan
problems requirements  Capacity
 Service  Formulate a cost justified Capacity Plan related
Improveme  Carry out capacity (and performance) improvement
nt Plan improvement as part of service improvement s
plan

SECTION 3 - ROLES AND RESPONSIBILITIES
Process Organisation
An indicative service delivery organisation structure showing position and composition of Capacity
Management team is illustrated in the following figure. In a large account involving multiple Domains,
a dedicated fulltime Capacity Manager is required. For medium and small accounts, such a role can
be combined with Domain lead.
Service Delivery
Owner
Incident Capacity Domain Lead Domain Lead Domain Lead

Manager Manager I II III
Capacity
Team Member Team Member Team Member
Analyst
Figure 2: Capacity Management Process Organization Chart
Roles and Responsibilities

The responsibilities of various roles are listed as follows.
Capacity Manager
Responsible for
 Produces Capacity Plans in line with the organisation's business planning cycle, identifying
Capacity requirements early enough to take account of procurement lead times
 Documents the need for any increase or reduction in hardware based on SLRs and cost
constraints
 Produces regular management reports which include current usage of resources, trends and
forecasts
 Sizes all proposed new systems to determine the computer and network resources required,
to determine hardware utilisation, performance service levels and cost implications

 Assesses new technology and its relevance to the organisation in terms of performance and
cost
 Carries out performance testing of new systems
 Reports on performance against targets contained in SLAs
 Recommends tuning of systems and makes recommendations to IT management on the
design and use of systems to help ensure optimum use of all hardware and operating system
software resources
 Recommends resolutions to performance-related Incidents and Problems
 Ensures requirements for reliability and Availability are taken into account in all Capacity
planning and sizing activity
 Participates in the CAB for assessing and authorising Changes
Capacity Analyst
Responsible for
 Collect the performance data and reports them to Management
 Analyses the performance data and identifies the performance issues proactively
 Helps in creating the capacity plans
 Analyses the capacity requirements coming from multiple channels
RACI Chart
Table 2: Responsibility matrix for Capacity Management process

Function Capacity Subject Capacity Sanmar IT
Manager Matter Analyst
Expert
Identify future business demand and
determine associated capacity (and A/R C R C
performance) requirements
Assess capacity (and performance) impact of
future demand and impact of changes in A/R C R C
business functionality
Incorporate capacity (and performance)
requirements in the process of designing, A/R I I I
testing and introducing new services
Analyze customer demand for additional
A/R C C C
capacity
Develop interim solution to meet the demand
A/R I C I
and negotiate with customer
Establish efficient and cost effective
A/R C I C
monitoring mechanism
Establish thresholds for all parameters in the
C C A/R C
data centre components to be monitored
Finalise the parameters to be monitored and
analysed and the types of reports to be C C A/R C
generated
Analysing the monitored results to
C I A/R I
understand the trend
Reporting to the management A I R I
Performing System Outage Analysis R C C I
Identify additional capacity requirements for
A I R I
existing services
Preventive Maintenance to identify and A/R I R I
implement configuration changes in existing

Function Capacity Subject Capacity Sanmar IT

Manager Matter Analyst
Expert
capacity to tune performance
Install additional capacity A/R I C I
Formulate a cost justified Capacity Plan A/R I C I
Preparing Capacity and Performance
A/R I C I
recommendations
Legend R = Responsible for a particular action, but not necessarily the authority
:
A = Accountable for the action. There is only one person accountable for any
given action.
C = Consulted before the action (but not necessarily require approval)
I = Informed after the action (need to know basis)
N = Not Applicable
A

SECTION 4 - LEVEL 2 PROCESS DESCRIPTION

Identification of Capacity Requirements
This activity involves the following:
 Identify future business demand and determine associated capacity (and performance)
requirements
 Assess capacity (and performance) impact of future demand and impact of changes in
business functionality
 Incorporate capacity (and performance) requirements in the process of designing, testing and
introducing new services
The steps involved in Identification of Capacity requirements are illustrated in the following figure.
Wipro Infotech
REV 1.0 Capacity Management – Identification of Capacity Requirements Service Management
Sanmar IT
New Capacity
requirement
Capacity Manager
1.1 1.2 1.3

Requirement Assess Incorporate 4.0
Identification Impact requirements
Refer CMS
Update CMS
Service Management
System
Figure 3: Identification of Capacity Requirements sub-process

Table 3: Description of identification of capacity requirements sub-process

1.1 Requirement   Gather the high level  D
Identification pipe-line requirements for the Projects in Pipeline. ocumented
 Refer Appendix for the information that is to be capacity
review gathered related to the capacity requirements requirements
meetings of the Projects in Pipeline.
 Have Capacity Review meeting
with business community
1.2 Assess   Evaluate if the required service  I
Impact of the inventory level or availability of the new requirement can mpact
requirement of be met with the existing hardware and network assessment
hardware, assets.  Id
application  Understand the overall entification of
s vulnerability to failure in the IT infrastructure resource
 design that can be the cause of concern for capacity
requireme the new requirement requirements
nts  Identify any existing Single Point
of Failure (SPOF) in the infrastructure topology
that can be the cause of concern for the new
requirement
 Find out if the existing design can
fulfil the required availability criteria
 Complete the ‘Resource Capacity
Requirement’ that will check the following:
 If the current IT infrastructure can
accommodate the additional requirement
 If the current IT infrastructure
design can meet the required service levels
and availability criteria
 If there is any need to procure
additional hardware and network assets to
meet the requirement
 If there is any need to recruit
support staff to meet the required service
levels
1.3 Incorporatio   Predict any additional  F
n of requireme requirement for hardware and network assets ormal
Capacity nts and discuss the in the regular Capacity Review agreements for
Requirement meetings new/additional
s  Agree on the requirements by all capacity
stakeholders and once agreed, initiate the  P
procurement of required assets through the rocurement
Contract or Procurement Management requests
functions  R
 Raise if any additional equests for
requirement of support staff and necessary additional
competency development resources

Manage Demand
This activities under Demand Management includes
 Acknowledge the need for an additional demand

 Determine whether it’s a short term or long term demand
 Assess the impact of demand on current resources
 Assess the current resource utilization, trend and its pattern, future growth etc
 Based on the analysis, develop interim solution to meet additional demand with existing
resources
 Discuss and negotiate interim solution with customer
 Agree on the solution
 Implement the solution
Wipro Infotech
<Process
REV 1.0 Name> Capacity Management – Manage Demand Service Management
Sanmar IT
New Capacity Demand

Demand Solution
2.3
Present Solution Solution
Agreement
Negotiation
Solution
Capacity Manager
2.1 2.2 Not Agreed 4.0

Analyze resource Propose interim Solution Agreed
impact solution
2.4
Implement
Solution
Refer CMS
Service Management
System
Update CMS
Figure 4: Manage Demand sub-process

Table 4: Description of manage demand sub-process

2.1 Analyze   Receive and acknowledge need 
resource additional for the demand management report
impact Capacity  Determine the type of need.
Whether it’s a short term need for a specific
duration or a long term need for which a
permanent solution is desired
 Collect information from the
Capacity database, CMDB and other ESM
tools and assess impact of the demand on
existing resources
 Assess current resource
utilization (daily/ weekly/ monthly), utilization
pattern (low/ peak/ average) and future
growth
 If needed, involve application
development team and third party vendor
 Prepare assessment report
2.2 Propose   Based on the assessment 
interim t report prepare interim solution to meet additional solution
solution capacity demand within current resources
 Assess practicability and viability
of the solution; Must be done very carefully
since it may impact the reputation of the It
department
 Invite customer and all
stakeholders to discuss the solution
2.3 Solution   Present assessment findings 
Agreement solution and discuss solution with the customer on the
 Reach an agreement solution
 If needed, continue assessment
and refine the solution till reach the final
agreement
 Get buy in from IT director and
other senior management
2.4 Implement   Once agreed, prepare to 
solution solution implement the solution implemente
 If the solution is temporary (say d through
till additional resources are arranged) then RFC
follow-up with the vendor, project team
 Once solution is implement
through Change Management process,
 Test and monitor
 Update Configuration
Management Database (CMDB) against the
approved change. Ensure that necessary
changes are reflected in Capacity database,
CMDB and in other ESM tools

Monitor, Record and Report Capacity

This includes the following:
 Establishing efficient and cost effective monitoring mechanism

 Analysing the monitored results to understand the trend
 Reporting to the management
Refer to the Appendix “Capacity requirements” for various focus areas that should to be considered
for collecting and analysing capacity utilization.
The steps involved in monitoring, recording and reporting of capacity are illustrated in the following
figure.
Wipro Infotech
REV 1.0 Capacity Management – Monitor, Record and Capacity Service Management
4.0
3.4
Management
Reporting
Capacity Analyst
3.1 3.2 3.3

Short Term Long Term Trend
Monitroing Monitoring Analysis
4.0
Refer CMS
Service Management
Refer CMS
System
Figure 5: Monitor, Records and report of Capacity sub-process

Table 5: Description of monitor record and report capacity sub-process

3.1 Short-term   If there are capacity issues, raise incidents and take 
monitoring problems instant action Data
 Monitor, using the ESM tools, the file systems in the
servers, and CPU utilisation, memory utilisation etc.
in all hardware and network components against
the threshold limit set for each component
 It is recommended that the ESM tool should be able
to automatically raise a ticket in ticketing tool once
threshold limit is breached
3.2 Long-term   Deploy necessary agents on a permanent basis to 
monitoring agents monitor the system performance constantly. data
 Ensure that all monitored data are collected and
stored securely in a data base
3.3 Trend   Understand the trend of all components to identify a 
Analysis data starting point for capacity and performance reports
improvement.
3.4 Reporting to   Collate the data and generate the report and send 
Management data the same at defined intervals. The reporting reports
requirements are identified and agreed during the
service level agreement.

Identify and Implement Capacity

Following are the main activities involved in this area:
a. Identifying the availability bottlenecks from trend analysis by System / Service Outage
Analysis (SOA)
b. Identify additional capacity requirements for existing services
c. Preventive Maintenance to identify and implement configuration changes in existing
capacity to tune performance
d. Install additional capacity
e. Formulate a cost justified Capacity Plan
The steps involved in identification and implement Capacity are illustrated in the following figure.
Wipro Infotech
REV 1.0 Capacity Management – Identify and Implement Capacity Service Management
Capacity Manager
1.0 2.0 3.0 3.0
4.1
Perform Service
Outage Analysis 4.4 4.5
Install Additional Update Capacity
4.2 4.3 Capacity Plan
Identify Additional Perform
Capacity Preventive
requirements Maintenance
Capacity
Analyst
Refer CMS
Service Management
System
Update CMS
Figure 6: Identify and Implement Capacity sub-process

Table 6: Description of identify and implement capacity sub-process

4.1 Perform   Look at identifying the improvement  A
Service opportunities that benefit the capacity nalysis reports
Outage requirements.
Analysis  Identify the underlying root cause of an outage
may be due to capacity problem
4.2 Identify   Identify the regular occurrence of certain  A
Additional problems incidents and problems whose underlying root dditional
Capacity  cause is capacity or performance problems capacity
Requirement reports  Perform capacity and Availability Trend Analysis requirements
s for forecasting the future capacity requirement to
meet the agreed availability and performance
level
 Identify any change in Business Continuity Plan
that may require additional assets to meet the
current requirement
 Evaluate certain security incidents that can also
lead to the requirement of additional capacity.
 Follow either Preventive Maintenance activities
or initiate procurement of new assets for
capacity related incidents
4.3 Perform   Identify and implement the configuration  C
Preventive schedules changes necessary to tune the performance in onfiguration
Maintenance the existing capacity Changes
 Co-ordinate the preventive maintenance across
Capacity Management and Availability
Management
4.4 Install   Install and configure the hardware and network  U
Additional RFCs assets procured in accordance with pdated CMDB
Capacity  Configuration Management and Change
hardware Management processes
and assets  Raise a change to install the asset by following
the Change Management process.
 Install and test the asset according to the
standard build process.
 Update Configuration Management Database
(CMDB) against the approved change raised for
the installation.
4.5 Update   The Capacity Plan (Refer Appendix A) should  U
Capacity requirement address: pdated
Plan s  the future business need of capacity. Capacity Plan
  the need of capacity for daily operations.
problems  the action plans in order to install additional
 capacity or to carry out preventive
data maintenance to tune the performance
 Use the following to update / upgrade the
Capacity Plan:
 Business capacity requirement
 Resilience improvements required
 Number of incidents/problems raised for
capacity/performance problems
 Current level of performance/capacity

Verification
The process can be verified by ensuring the following:
 Capacity Plan is updated frequently and has been updated in CMIS

(Capacity Management Information System)
Exit criteria
The process is considered complete once:
 The Capacity Management Information System (CMIS) holds the information needed by all
sub-processes within Capacity Management.
 The Capacity Plan used by all areas of the business and IT management and is acted on by
the IT service provider and senior management of the organization to plan the capacity of the
IT infrastructure
 Service performance information and reports are used by many other processes.
 Workload analysis and reports are used by IT Operations to assess and implement changes in
conjunction with Capacity Management to schedule or reschedule when service run.
 Forecasts and predictive reports used by all areas to analyse, predict and forecast particular
business and IT scenarios and their potential solutions.

SECTION 5- METRICS AND EFFECTIVENESS GUIDELINES

Process Metrics
Following are the Critical Success Factors (CSF) for Capacity Management process and its related
KPIs.
Table 7: Process Metrics for Capacity Management Process

Process Metrics
Calculatio
CSF KPI Measurement Measurement
n
A=Total
Number of capacity number of B= Number of
Timely production of
plans produced as capacity plan capacity plan B/A * 100
Capacity Plan
per plan produced per produced on time
annum
Number of times A=Total
B=Number of correct
forecasts have number of B/A * 100
forecast
been accurate forecast
Number of
A=Total no. of
adjustments made
adjustments A
Correctness of to capacities due to
made
Capacity Plan changing demand
Percentage of
capacity reserves
A=Total
at times of normal B=Reserve Capacity B/A * 100
Capacity
and maximum
demand
B= Number of
Incorporation of A= Total
Completeness of business plan
business plans into number of B/A * 100
Capacity Plan covered in capacity
Capacity Plan business plan
plan
Accurate forecasts Reduction in A=Total
B=Planned Capacity
of Capacity unplanned Capacity B/A * 100
expenditure
expenditure expenditure expenditure
A=Total no. of
Number of capacity
capacity related A
related incidents
Minimizing impact of incidents
Incidents and A= Total
Problems Resolution Time of resolution time
A
Capacity Shortage to address
capacity issues
Guidelines for Process Effectiveness

Documentation
Ensure that the:
 Process documentation is owned and identified as a unique CI in the CMDB, and is
accessible by all delivery staff.
 Changes to the Capacity process documentation are managed through the Change
Management process (for e.g. Document control system).

Adherence to Policies
Ensure the adherence to all process policies. For example:
 All capacity related issues should be recorded in a management system.
Understanding of Roles and Responsibilities

Ensure that all delivery staff understand and perform their roles and responsibilities within the
Capacity Management process.
Process Assessment
Following are the key points to assess the Capacity Management process in the organization
 Number of capacity management process audits conducted

 Number of non compliances found
 Number of recommendations made (changes to capacity as a result of monitoring and
analysis)
 Number of recommendations made by capacity management are acted upon
 Reduction in lost business due to inadequate capacity
 No significant over-capacity that can’t be justified in business terms
 A reduction in panic buying

Appendix A – CAPACITY PLAN TEMPLATE

Scope
IT Services Applications Resources IT Infrastructure Any other
Assumptions made
Capacity Requirements
Platform1 Platform2 Platform3 Platform4
Sources of requirements Remarks
Cost
Hardware: Software: Tools: Others
Tools & Techniques

What additional tools What additional
required for monitoring techniques to be
deployed?
Recommendations
 Provide all recommendations to ensure adequate Capacity. Classify the major initiatives or
major changes to modernize IT infrastructure
 Provide inputs to budget preparation for the next budgetary life cycle to have investments
planned and budgeted properly
 Provide recommendations for demand management (how to manage too much of demand or
too little demand)
 Provide recommendations for performance tuning, rewriting legacy systems, acquiring additional
components etc
Business Benefits


Appendix B – SAN STORAGE CAPACITY PLAN
Total Allocated Allocated

Total Free
Storage Locati Storage % Allocated to Capacity to
Capacity Capacity Remarks
Name on Type Free Capacity (Server Individual
(GB) (GB)
(GB) Name) Server (GB)


Appendix C– UNIX DISK CAPACITY PLAN
Current
Total Current Average Time to
Server Used
File system Capacity Free Space Growth Rate Expire
Name Space
(GB) (GB) (GB/Month) (Weeks)
(GB)

Appendix D– WINDOWS DISK CAPACITY PLAN
Current
Total Current Average Time to
Server Used
Device ID Capacity Free Space Growth Rate Expire
Name Space
(GB) (GB) (GB/Month) (Weeks)
(GB)

Appendix E– DATABASE CAPACITY PLAN

Current Size (GB)
Average Free
Free
Database Growth Allocated Space
System Host Name Space at
Name Rate Database Disk at the Days
Database
(GB/Month) Size (GB) Space Disk Remaining
level
(GB) level
(GB)
(GB)


Appendix F – CAPACITY REQUIREMENTS

The capacity requirements should focus on the following:
 What is the potential Change in IT/Business Strategy?

 What are the sources of the Information from which capacity requirements can be
derived
 When was the information received?
 What are the projects in pipeline? What are the associated business units and cost
centres?
 What is the potential Impact of the new requirements on the Current Service and
service levels?
 What is the potential Impact of the new requirements on the existing IT
Infrastructure?
 What is the probable Month/Year of Change Initiation?
 What is the probable Month/Year of Change Implementation?

Appendix G – IDENTIFYING ADDITIONAL CAPACITY

REQUIREMENTS
Following are the inputs for the identification of additional capacity requirements to provide the
existing service at the agreed service level:
 Incidents/Problems – The regular occurrence of similar incidents and problems whose

underlying root cause is capacity or performance problems can trigger to additional
requirement of capacity for permanent resolution.
 Capacity and Availability Trend Analysis – Capacity and availability trend analysis helps in
forecasting the future capacity requirement to meet the agreed availability and performance
level, and to accommodate the future growth of data in existing systems.
 SOA Report – The SOA report provides the details of unplanned outages which can be due
to insufficient capacity of the IT infrastructure.
 Component Failure Impact Analysis (CFIA) Report – CFIA report indicates the Single Point of
Failure (SPOF) in the IT infrastructure design which is of immediate concern. This can trigger
the additional capacity requirement to mitigate / eradicate the risk of SPOF.
 Change in Business Continuity Plan (BCP) – Any change in BCP may require additional
assets to meet the current requirement.
 Security Issues – Any issue that may expose the vulnerability of the IT infrastructure design
to security threat can also lead to the requirement of additional capacity.
 Service Review – The outcome from the quarterly service review with customer / Vendor may
also lead to augmentation of additional capacity if the perceived service levels are not
satisfactory.

Appendix H - Relationship with Other Processes

Following table provides a summarized view of the data flow relationships between Capacity
Management and other Reference Model processes.
Output from Capacity

ITIL Process Input to Capacity Management
Management
Incident / Problem
 New Incidents/ problems  Resolved incidents/ problems
Management
raised due to capacity issues
 Scripts/ techniques to
diagnose capacity incidents/
problems
Change Management
 New RFCs  Recommendations in CAB
 Need for additional capacity

due to a proposed change
Configuration
 Existing capacity of  Capacity data
Management
infrastructure components and
their relationships
Service Continuity and
 Capacity Plan detailing how  Recommendation on
Availability Management
the capacity requirements availability techniques to be
associated with the provision applied to provide additional
of additional Infrastructure infrastructure resilience
resilience will be met
Service Level
 Assurance on the performance  Details of agreed SLA and
Management
and capacity targets for new or OLA that defines the expected
changed requirements can be service level agreements
achieved within SLA and OLA
Demand Management
 New demand requirement  Recommendations to be
applied to meet the demand
requirements

APPENDIX I – KEY PERFORMANCE INDICATORS
Frequency of
Area Indicator Definition Formula
Measurement
Capacity Management
Response time =
To calculate SUM (CPU +
response time of Memory + Bus +
Response Time system I/O + Disk + LAN) Quarterly
Throughput = Sum
To calculate of all transaction /
throughput of Square root (CPU
Throughput system Power x Quetime) Quarterly
Performance =
Response time +
Throughput
To calculate Performance
performance of 'increase' trend in
Performance system quarterly report Quarterly
(Number incidents
with 'category'
To identify the specific to capacity
Incidents due to incidents due to issues/ total no of
capacity issues capacity issues incidents) * 100 Quarterly
(Number of
unplanned
To reduce purchases /
Unplanned unplanned Number of planned
panic buying purchase purchase )* 100
Number of systems
covered in previous
monthly report +
Systems To cover all critical Number of systems
covered under systems under covered in Current
monitoring monitoring monthly report Monthly
(Number of reports
Provides details on generated / Total
Production of timely production no of reports
capacity reports of capacity reports scheduled) * 100 Quarterly
Resource Provides details on (Number of Quarterly
forecast report timely production forecast reports
of capacity generated / Total
forecast reports no of forecast
reports scheduled)
* 100

(Number of
Provides details of systems covered
systems and for monitoring /
services under Total no of systems
Monitor system monitoring planned) * 100 Monthly

APPENDIX J – CAPACITY PLAN SAMPLE
capacity plan
sample.docx

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Capacity Management

This manual is subject to WI Document Control Procedure.

Comments, suggestions or queries on this document should be addressed to the Quality

Approved By: _________________________ Date:

(Program Delivery Head )

Authorised By: ________________________ Date:

DOCUMENT REVISION LIST

Document Name: Capacity Management Process Guide

Document No. WI-Sanmar-001

Version No: 1.0

Owner Capacity Manager

Revisio Revisio Revision Page Rational Change Type Updat Reviewe

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The following abbreviations have been used in this document.

BCP Business Continuity Plan

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ABOUT THE DOCUMENT.................................................................................................................... 5

APPENDIX B – SAN STORAGE CAPACITY PLAN..........................................................................25

APPENDIX C – UNIX DISK CAPACITY PLAN..................................................................................26

APPENDIX D – WINDOWS DISK CAPACITY PLAN.........................................................................27

APPENDIX E – DATABASE CAPACITY PLAN.................................................................................28

APPENDIX F – CAPACITY REQUIREMENTS...................................................................................29

APPENDIX G – IDENTIFYING ADDITIONAL CAPACITY REQUIREMENTS....................................30

APPENDIX H – RELATIONSHIP WITH OTHER PROCESSES.........................................................31

APPENDIX I – KEY PERFORMANCE INDICATORS........................................................................32

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SECTION 1 – ABOUT THE DOCUMENT

Organisation of the Document

Section 1 This section provides a high-level description of Capacity Management process. It

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FIGURE 1 CAPACITY MANAGEMENT PROCESS FLOW

FIGURE 2 CAPACITY MANAGEMENT PROCESS ORGANIZATION CHART

FIGURE 3 IDENTIFICATION OF CAPACITY REQUIREMENTS SUB-PROCESS

FIGURE 4 MANAGE DEMAND SUB-PROCESS

FIGURE 5 MONITOR, RECORD AND REPORT CAPACITY SUB-PROCESS

FIGURE 6 IDENTIFY AND IMPLEMENT CAPACITY SUB-PROCESS

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TABLE 1 HIGH-LEVEL DESCRIPTION OF CAPACITY MANAGEMENT PROCESS

TABLE 2 RESPONSIBILITY MATRIX FOR CAPACITY MANAGEMENT PROCESS

TABLE 3 DESCRIPTION OF IDENTIFICATION OF CAPACITY REWUIREMENTS SUB-

TABLE 4 DESCRIPTION OF MANAGE DEMAND SUB-PROCESS

TABLE 5 DESCRIPTION OF MONITOR, RECORD AND REPORT CAPACITY SUB-PROCESSE

TABLE 6 DESCRIPTION OF IDENTIFY AND IMPLEMENT CAPACITY SUB-PROCESS

TABLE 7 PROCESS METRICS FOR CAPACITY MANAGEMENT PROCESS

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SECTION 2 – HIGH LEVEL PROCESS DESCRIPTION

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High Level Process Overview

1.0 - Identify Business Capacity Requirements

Refer and Update CMS

Capacity Database CMDB

Configuration Management System

Figure 1: Capacity Management Process Flow

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Process Flow Description

Table 1: High Level description of Capacity Management Process

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