Capacity Management

Process Guide
Version 1.0
September 2012

2012
This is a controlled document. Unauthorised access, copying and replication are prohibited.

This document must not be copied in whole or in parts by any means, without the written
authorisation of the Head, Enterprise Quality Management, WI.

II

DOCUMENT RELEASE NOTICE

This Capacity Management Process Guide, Version 1.0, is released for use in Sanmar
group, Wipro Infotech (WI) with effect from 7th Nov 2013.
This manual is subject to WI Document Control Procedure.
Softcopy of the latest version of the document is available in the Process Document
Repository.
Comments, suggestions or queries on this document should be addressed to the Quality
Manager.
Approved By: _________________________ Date:
(Program Delivery Head )
Authorised By: ________________________ Date:
(Quality Manager)

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DOCUMENT REVISION LIST

Document Name:

Capacity Management Process Guide

Document No.

WI-Sanmar-001

Version No:

1.0

Owner

Capacity Manager

Revision
No.

Revision
Date

Wipro Infotech

Revision
Description

Page
Number

Rationale
for
change

Change Type
(Add/Modify/Delete)

Update
by

Reviewed
by

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Abbreviations
The following abbreviations have been used in this document.
BCP
CAB
CDB
CI
CFIA
CMDB
CSF
IT
ITIL
ITSM
KPI
RFC
SDM
SDA
SLA
SM
SME
SOA
SOP
SPOC
SPOF

Business Continuity Plan

Change Advisory Board
Capacity Management Database
Configuration Item
Component Failure Impact Analysis
Configuration Management Database
Critical Success Factor
Information Technology
Information Technology Infrastructure Library
Information Technology Service Management
Key Performance Indicators
Request For Change
Service Desk Manager
Service Desk Agent
Service Level Agreement
Service Management
Subject Matter Expert
Service Outage Analysis
Standard Operating Procedures
Single Point Of Contact
Single Point of Failure

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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
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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

Section 2
Section 3
Section 4
Appendix A
Appendix B
Appendix C
Appendix D
Appendix E
Appendix F
Appendix G
Appendix H

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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.
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.
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.
This section describes the high-level process metrics and the guidelines to ensure
process effectiveness and efficiency.
This template can be used for preparing Capacity Plan
This template can be used for recording, monitoring and reporting SAN storage
utilization
This template can be used for recording, monitoring and reporting Unix file system
space utilization
This template can be used for recording, monitoring and reporting windows devices
space utilization
This template can be used for database capacity planning
This provide the focus area to be considered while collecting the Capacity
requirements
This provides various means, which can be used to identify need for additional
Capacity
Provide relationship of Capacity Management process with other Service
Management processes

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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

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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 SUBPROCESS

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

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.

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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

Figure 1: Capacity Management Process Flow

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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
1.0 Identify
Projected
Identify future business demand and determine
Capacity
Business
associated capacity and performance
Requirements capacity
requirements
requirement Assess capacity and performance impact of
s
future demand and impact of changes in
Actual
business functionality
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
Demand
Capacity
be a short or long term demand
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
Report
tools
mechanism
Capacity
Report
Analyse the monitored results to understand the
schedules
trend
Capacity (and Performance) baseline
Report to the management
4.0 Identify and Capacity
Identify and implement configuration changes to
implement
related
existing capacity to tune performance
Capacity
incidents/
Identify and implement additional capacity
problems
requirements
Service
Formulate a cost justified Capacity Plan
Improvemen Carry out capacity (and performance)
t Plan
improvement as part of service improvement
plan

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Output
Proposed
changes to
existing
capacity
Capacity
Plan

Interim
Solution

Performance
data
Management
reports

Modified
Capacity
plan
Capacity
related
improvement
s

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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
Manager

Capacity
Manager

Capacity
Analyst

Domain Lead
I

Domain Lead
II

Domain Lead
III

Team Member

Team Member

Team Member

Team Member

Team Member

Team Member

Team Member

Team Member

Team Member

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
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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
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
Analyze customer demand for additional
capacity
Develop interim solution to meet the demand
and negotiate with customer
Establish efficient and cost effective
monitoring mechanism
Establish thresholds for all parameters in the
data centre components to be monitored
Finalise the parameters to be monitored and
analysed and the types of reports to be
generated
Analysing
the
monitored
results
to
understand the trend
Reporting to the management
Performing System Outage Analysis
Identify additional capacity requirements for
existing services
Preventive Maintenance to identify and
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Capacity
Manager

Subject
Matter
Expert

Capacity
Analyst

Sanmar IT

A/R

A/R

A/R

A/R

A/R

A/R

A/R

A/R

A/R

A
R

I
C

R
C

I
I

A/R

I
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Function

Capacity
Manager

implement configuration changes in existing

capacity to tune performance
Install additional capacity
Formulate a cost justified Capacity Plan
Preparing
Capacity
and
Performance
recommendations
Legend:

Subject
Matter
Expert

Capacity
Analyst

Sanmar IT

A/R
A/R

I
I

C
C

I
I

A/R

= Responsible for a particular action, but not necessarily the authority

= Accountable for the action. There is only one person accountable for any given
action.

= Consulted before the action (but not necessarily require approval)

= Informed after the action (need to know basis)

NA

= Not Applicable

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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.

Figure 3: Identification of Capacity Requirements sub-process

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

No.
1.1

1.2

Procedure
Requirement
Identification

Assess
Impact of the
requirement

Input

Projects in
pipe-line

Capacity
review
meetings

Exiting
inventory
of
hardware,
application
s

New
requiremen
ts

1.3

Incorporation
of Capacity
Requirement
s

New
requiremen
ts

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Description
Gather the high level requirements
for the Projects in Pipeline. Refer Appendix for
the information that is to be gathered related to
the capacity requirements of the Projects in
Pipeline.
Have Capacity Review meeting
with business community
Evaluate if the required service
level or availability of the new requirement can
be met with the existing hardware and network
assets.
Understand the overall vulnerability
to failure in the IT infrastructure design that can
be the cause of concern for the new requirement
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
Predict any additional requirement
for hardware and network assets and discuss
the in the regular Capacity Review meetings
Agree on the requirements by all
stakeholders and once agreed, initiate the
procurement of required assets through the
Contract or Procurement Management functions
Raise if any additional requirement
of support staff and necessary competency
development

Output

Do
cumented
capacity
requirements

Im
pact assessment

Id
entification of
resource
capacity
requirements

Fo
rmal agreements
for
new/additional
capacity

Pr
ocurement
requests

Re
quests for
additional
resources

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Manage Demand
This activities under Demand Management includes

Acknowledge the need for an additional demand

Determine whether its 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

Figure 4: Manage Demand sub-process

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Table 4: Description of manage demand sub-process

No.
2.1

Procedure
Analyze
resource
impact

Input

Demand for
additional
Capacity

2.2

Propose
interim
solution

Assessment
report

2.3

Solution
Agreement

Interim
solution

2.4

Implement
solution

Agreed
solution

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Description
Receive and acknowledge need
for the demand management
Determine the type of need.
Whether its 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
Based on the assessment
prepare interim solution to meet additional
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
Present assessment findings and
discuss solution with the customer
Reach an agreement
If needed, continue assessment
and refine the solution till reach the final
agreement
Get buy in from IT director and
other senior management
Once agreed, prepare to
implement the solution
If the solution is temporary (say
till additional resources are arranged) then
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

Output

Assessment
report

Interim
solution

Agreement on
the solution

Solution
implemented
through RFC

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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.

Figure 5: Monitor, Records and report of Capacity sub-process

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

No. Procedure
Input
3.1 Short-term

monitoring
Incidents and
problems

3.2 Long-term
monitoring

Monitoring
agents

Performance
data
3.4 Reporting to
Management Performance
data
3.3 Trend
Analysis

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Description
If there are capacity issues, raise incidents and take
instant action
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
Deploy necessary agents on a permanent basis to
monitor the system performance constantly.
Ensure that all monitored data are collected and
stored securely in a data base
Understand the trend of all components to identify a
starting point for capacity and performance
improvement.
Collate the data and generate the report and send
the same at defined intervals. The reporting
requirements are identified and agreed during the
service level agreement.

Output

Performance
Data

Performance
data

Analysis
reports

Management
reports

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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.

Figure 6: Identify and Implement Capacity sub-process

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Table 6: Description of identify and implement capacity sub-process
No. Procedure
Input
4.1 Perform

Service
Outages
Outage
Analysis
4.2

4.3

4.4

4.5

Description
Look at identifying the improvement opportunities
that benefit the capacity requirements.
Identify the underlying root cause of an outage
may be due to capacity problem
Identify

Identify the regular occurrence of certain

Additional
Incidents and
incidents and problems whose underlying root
Capacity
problems
cause is capacity or performance problems
Requirements
Perform capacity and Availability Trend Analysis
Analysis
for forecasting the future capacity requirement to
reports
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
Perform

Identify and implement the configuration changes

Preventive
Maintenance
necessary to tune the performance in the existing
Maintenance
schedules
capacity
Co-ordinate the preventive maintenance across
Capacity Management and Availability
Management
Install

Install and configure the hardware and network

Additional
Approved
assets procured in accordance with Configuration
Capacity
RFCs
Management and Change Management
processes

New hardware Raise a change to install the asset by following

and assets
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.
Update

The Capacity Plan (Refer Appendix A) should

Capacity Plan Availability
address:
requirement
the future business need of capacity.
s
the need of capacity for daily operations.

the action plans in order to install additional

Incidents and
capacity or to carry out preventive
problems
maintenance to tune the performance

Use the following to update / upgrade the

Performance
Capacity Plan:
data
Business capacity requirement
Resilience improvements required
Number of incidents/problems raised for
capacity/performance problems

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Output

A
nalysis reports

A
dditional
capacity
requirements

C
onfiguration
Changes

U
pdated CMDB

U
pdated
Capacity Plan

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No.

Procedure

Input

Description
Current level of performance/capacity

Output

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.

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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
CSF

KPI

Timely production of
Capacity Plan

Number of capacity
plans produced as
per plan

Correctness of
Capacity Plan

Number of times
forecasts have
been accurate
Number of
adjustments made
to capacities due to
changing demand
Percentage of
capacity reserves
at times of normal
and maximum
demand

Measurement
A=Total
number of
capacity plan
produced per
annum
A=Total
number of
forecast

B=Number of correct
forecast

B/A * 100

B=Reserve Capacity

B/A * 100

B= Number of
business plan
covered in capacity
plan

B/A * 100

B=Planned Capacity
expenditure

B/A * 100

A= Total
number of
business plan

Accurate forecasts
of Capacity
expenditure

Reduction in
unplanned
expenditure

A=Total
Capacity
expenditure
A=Total no. of
capacity related
incidents
A= Total
resolution time
to address
capacity issues

Resolution Time of
Capacity Shortage

B/A * 100

A=Total
Capacity

Incorporation of
business plans into
Capacity Plan

Minimizing impact of
Incidents and
Problems

Calculatio
n

B= Number of
capacity plan
produced on time

A=Total no. of
adjustments
made

Completeness of
Capacity Plan

Number of capacity
related incidents

Measurement

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).
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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 cant be justified in business terms
A reduction in panic buying

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Appendix A CAPACITY PLAN TEMPLATE

Scope
IT Services

Applications

Resources

IT Infrastructure

Capacity Requirements
Platform1
Platform2

Platform3

Platform4

Sources of requirements

Remarks

Any other

Assumptions made

Cost
Hardware:
Tools & Techniques
What additional tools
required for monitoring

Software:

Tools:

Others

What
additional
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

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Appendix B SAN STORAGE CAPACITY PLAN

Storage
Name

Locati
on

Storage
Type

Wipro Infotech

Total
Capacity
(GB)

Free
Capacity
(GB)

%
Free

Total
Allocated
Capacity
(GB)

Allocated
to
(Server
Name)

Allocated
Capacity to
Individual
Server (GB)

Remarks

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Appendix C UNIX DISK CAPACITY PLAN

Server
Name

File system

Wipro Infotech

Total
Capacity
(GB)

Current
Free Space
(GB)

Current
Used
Space
(GB)

Average
Growth Rate
(GB/Month)

Time to
Expire
(Weeks)

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Appendix D WINDOWS DISK CAPACITY PLAN

Server
Name

Device ID

Wipro Infotech

Total
Capacity
(GB)

Current
Free Space
(GB)

Current
Used
Space
(GB)

Average
Growth Rate
(GB/Month)

Time to
Expire
(Weeks)

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Appendix E DATABASE CAPACITY PLAN

Database
Name

System

Wipro Infotech

Host Name

Average
Growth
Rate
(GB/Month)

Database
Size (GB)

Current Size (GB)

Free
Free
Allocated Space
Space at
Disk
at the
Database
Space
Disk
level
(GB)
level
(GB)
(GB)

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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?

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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.

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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.
ITIL Process

Input to Capacity Management

Incident / Problem
Management

New Incidents/ problems

Scripts/ techniques to
diagnose capacity incidents/
problems

Change Management

New RFCs

Output
from
Management

Capacity

Resolved incidents/ problems

raised due to capacity issues

Recommendations in CAB
Need for additional capacity
due to a proposed change

Configuration
Management

Existing capacity of
infrastructure components and
their relationships

Capacity data

Service Continuity and

Availability Management

Capacity Plan detailing how

the capacity requirements
associated with the provision
of additional Infrastructure
resilience will be met

Recommendation on
availability techniques to be
applied to provide additional
infrastructure resilience

Service Level
Management

Assurance on the performance

and capacity targets for new or
changed requirements can be
achieved within SLA and OLA

Details of agreed SLA and OLA

that defines the expected
service level agreements

Demand Management

New demand requirement

Recommendations to be
applied to meet the demand
requirements

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APPENDIX I KEY PERFORMANCE INDICATORS

Capacity Management

Area

Indicator

Definition

Formula

Frequency of
Measurement

Response Time

To calculate
response time of
system

Response time =
SUM (CPU +
Memory + Bus +
I/O + Disk + LAN)

Quarterly

Throughput

To calculate
throughput of
system

Throughput = Sum
of all transaction /
Square root (CPU
Power x Quetime)

Quarterly

Performance =
Response time +
Throughput

Performance

To calculate
performance of
system

Performance
'increase' trend in
quarterly report

Incidents due to
capacity issues

To identify the
incidents due to
capacity issues

Unplanned
panic buying

To reduce
unplanned
purchase

(Number incidents
with 'category'
specific to capacity
issues/ total no of
incidents) * 100
(Number of
unplanned
purchases /
Number of planned
purchase )* 100

To cover all critical

systems under
monitoring

Number of systems
covered in previous
monthly report +
Number of systems
covered in Current
monthly report

Systems
covered under
monitoring

Production of
capacity reports
Resource
forecast report

Wipro Infotech

Provides details on
timely production
of capacity reports
Provides details on
timely production
of capacity
forecast reports

(Number of reports
generated / Total
no of reports
scheduled) * 100
(Number of
forecast reports
generated / Total
no of forecast
reports scheduled)
* 100

Quarterly

Quarterly

Monthly

Quarterly
Quarterly

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Monitor system

Wipro Infotech

Provides details of
systems and
services under
monitoring

(Number of
systems covered
for monitoring /
Total no of systems
planned) * 100

Monthly

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APPENDIX J CAPACITY PLAN SAMPLE

capacity plan
sample.docx

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