Capacity Reporting (OPS-004-R007) - OPS-004

Requirement Details & Guidance

OPS-004-R007 · OPS-004

Why This Requirement Exists

This requirement exists to report capacity status, utilization, trends, and performance information and to ensure operational services are managed consistently, reliably, and with appropriate control.

Implementation Guidance

Define and document the process for report capacity status, utilization, trends, and performance information. Establish accountable owners, inputs and outputs, approval or validation points, operating criteria, schedules or thresholds where applicable, exception handling, monitoring, reporting, review, and evidence requirements. Integrate the process with change, incident, risk, asset, security, and service-management processes where relevant.

Practical Application & Audit Readiness

OPS-004-R007 · Field Guidance

Business Examples

Common Audit Findings

Common Mistakes

Best Practices & Ownership

OPS-004 · Recommended Approach

Recommended Practices

Typical Owner

Cross-Mapped Regulatory Frameworks

Harmonized Control Mappings

FRAMEWORK CODE	FRAMEWORK NAME & DETAILS	FAMILY / CATEGORY	VERSION	ACTION
COBIT2019	COBIT COBIT is an enterprise governance and management f... Clause: 4.3 – Build, Acquire and Implement (BAI) > BAI04 – Managed Availability and Capacity > BAI04.01 – Assess current availability, performance and capacity and 4.3 – Build, Acquire and Implement (BAI) > BAI04 – Managed Availability and Capacity > BAI04.05 – Investigate and address availability, performance and	COBIT Governance Framework	v2019	View →
DORA	Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 11(2)(a) – Continuity of critical or important functions Article 11(5) – Business impact analysis and critical functions/dependencies/interdependencies	EU Regulation	vCurrent	View →
GDPR	General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin... Clause: Article 32(1)(b) – Confidentiality, integrity, availability and access resilience; Article 32(1)(c) – Timely restoration of availability and access	EU Regulation	vCurrent	View →
IRDAI	IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §2.6-3.4 – Capacity and Performance Management; §2.13-3.1.1 – Capacity monitoring	India Guideline	vLatest	View →
ISO22301	ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 8.2.2 – Business impact analysis; 8.3.4 – Resource requirements	ISO Standard	v2019	View →
ISO27001	ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for... Clause: 7.4 – Communication	ISO Standard	v2022	View →
ISO27002	ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 8.6 – Capacity management	ISO Standard	v2022	View →
NIST-CSF	NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: PR.IR – Technology Infrastructure Resilience \| PR.IR-04 – Adequate resource capacity to ensure availability is maintained DE.CM – Continuous Monitoring \| DE.CM-09 – Computing hardware and software, runtime environments, and their data are monitored to find potentially adverse events	NIST Framework	v2	View →
NIST80053	NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.18 – SYSTEM AND COMMUNICATIONS PROTECTION, 3.13 – PROGRAM MANAGEMENT; SC-6 – RESOURCE AVAILABILITY, PM-3 – INFORMATION SECURITY AND PRIVACY RESOURCES	NIST Control Catalog	vRev. 5	View →
NPCI-ISR	NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Operational Review; Infrastructure Resiliency – Capacity	India Standard	vLatest	View →
PCI-DSS	PCI DSS PCI DSS is an industry security standard maintaine... Clause: 12.3.2 – A targeted risk analysis is performed for each; 12.3.4 – Hardware and software technologies in use	PCI Standard	v4	View →
RBI-CSF	RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: 19) Incident Response & Management – 19.6 Crisis communications, reputation management and capacity planning in resilience testing	India Regulation	vLatest	View →
SEBI-CSCRF	SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 3.4 PR.IP: Information Protection Processes and Procedures; 6.1 RC.RP: Incident Recovery Plan Execution	India Regulation	vLatest	View →
SOC2	SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: A1.1 – Availability – The entity maintains, monitors, and evaluates current processing capacity and use of system components (infrastructure, data, and software) to manage capacity demand and to enable the implementation of additional capacity to help meet its objectives. CC2.2 – Information and Communication – COSO Principle 14: The entity internally communicates information, including objectives and responsibilities for internal control, necessary to support the functioning of internal control.	AICPA Audit Framework	vLatest	View →

Parent Domain Context

Governance Domain Baseline

Domain Name:

IT Operations & Service Management (OPS)

Purpose:

To ensure the availability, performance, and resilience of IT services.

Scope:

Enterprise

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Parent Control Context

Control Baseline

Control Name:

Capacity & Performance Management (OPS-004)

Summary:

Establishes capacity and performance management including capacity planning, performance monitoring, workload forecasting, resource optimization, auto-scaling, reporting, and continuous improvement.

Business Description:

Establish and maintain processes for capacity planning, workload forecasting, resource optimization, performance management, and elastic scaling of enterprise technology services.

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