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Operational Compliance Checklist

Version: 1.0
Last Updated: April 2026
Review Frequency: Monthly
Document Owner: Operations Team

Overview

This checklist ensures ThemisDB operations comply with operational excellence standards, SLAs, and industry best practices.

1. Availability & Uptime (SLA: 99.9%)

Monthly Targets

  • Availability >= 99.9% (max 43 minutes downtime/month)
  • MTTD < 2 minutes (Mean Time To Detect)
  • MTTR < 30 minutes (Mean Time To Recover)
  • Zero unplanned outages affecting all users

Verification

# Check monthly availability
themisdb-cli metrics get-availability --period 30d
# Target: >= 99.9%

# Check MTTD
themisdb-cli metrics get-mttd --period 30d
# Target: < 2 minutes

# Check MTTR
themisdb-cli metrics get-mttr --period 30d
# Target: < 30 minutes

Documentation

  • All incidents documented in incident management system
  • Root cause analysis completed for P0/P1 incidents
  • Remediation actions tracked and completed

2. Performance & Latency (SLO)

Performance Targets

  • P95 Latency < 200ms for API requests
  • P99 Latency < 500ms for API requests
  • Throughput >= 10,000 requests/second at peak
  • Query timeout rate < 0.01%

Verification

# Check P95 latency
themisdb-cli metrics get-latency --percentile 95 --period 30d
# Target: < 200ms

# Check throughput
themisdb-cli metrics get-qps --period 30d --aggregation max
# Target: >= 10,000 QPS

Actions

  • Performance baselines updated monthly
  • Performance degradation incidents investigated
  • Optimization opportunities identified and tracked

3. Error Rate & Reliability (SLO)

Reliability Targets

  • Error rate < 0.1% (99.9% success rate)
  • No data loss incidents
  • No data corruption incidents
  • Zero security breaches

Verification

# Check error rate
themisdb-cli metrics get-error-rate --period 30d
# Target: < 0.1%

# Check data integrity
themisdb-cli data verify --sample-size 10000
# Expected: No errors

Documentation

  • All errors logged and categorized
  • High-impact errors investigated
  • Error trends analyzed monthly

4. Backup & Recovery (RTO/RPO)

Backup Requirements

  • Daily full backups completed (30-day retention)
  • Incremental backups every 15 minutes (24-hour retention)
  • All backups verified for integrity
  • Cross-region backup replication working

Recovery Objectives

  • RTO < 4 hours for complete data loss
  • RPO < 15 minutes for point-in-time recovery
  • Quarterly DR drill completed and documented

Verification

# Verify recent backups
themisdb-cli backup list --last 7-days --verify

# Check backup integrity
themisdb-cli backup verify-all --period 7d

# Test restore (staging)
themisdb-cli restore test --environment staging --latest-backup

Documentation

  • Backup schedule documented and followed
  • DR plan reviewed and updated quarterly
  • DR test results documented

5. Security & Access Control

Security Requirements

  • TLS 1.3 enabled for all connections
  • mTLS enabled for inter-node communication
  • RBAC properly configured and audited
  • Audit logging enabled and reviewed
  • Security patches applied within SLA (7 days for critical)

Access Control

  • Principle of least privilege enforced
  • Access reviews completed monthly
  • Unused accounts disabled
  • MFA enabled for all administrative access

Verification

# Check TLS configuration
themisdb-cli security check-tls

# Audit active sessions
themisdb-cli security list-sessions

# Review recent access
themisdb-cli security audit-log --period 7d --type access

Documentation

  • Security incidents documented
  • Access control matrix up to date
  • Security audit findings tracked

6. Monitoring & Alerting

Monitoring Requirements

  • All critical metrics monitored (CPU, memory, disk, network)
  • SLA metrics tracked (availability, latency, errors)
  • Alerting rules tested and functional
  • On-call rotation staffed 24/7

Dashboard Requirements

  • SLA dashboard accessible and up to date
  • Operations dashboard showing cluster health
  • Capacity dashboard showing resource utilization
  • Security dashboard showing auth/audit metrics

Verification

# Test alerting
themisdb-cli alerts test-all

# Verify metrics collection
themisdb-cli metrics verify-collection

# Check dashboard status
curl -s http://grafana.example.com/api/dashboards/themisdb

Documentation

  • Runbooks linked from all critical alerts
  • Alert thresholds reviewed and tuned monthly
  • False positive alerts investigated and fixed

7. Capacity Planning & Scaling

Capacity Requirements

  • CPU utilization < 75% average
  • Memory utilization < 80% average
  • Storage capacity > 25% free
  • Auto-scaling configured and tested

Capacity Review

  • Monthly capacity review completed
  • 90-day capacity forecast updated
  • Scaling events tracked and analyzed

Verification

# Check resource utilization
themisdb-cli cluster capacity-status

# Forecast capacity needs
themisdb-cli capacity forecast --horizon 90d

# Review scaling history
themisdb-cli cluster scaling-history --period 30d

Documentation

  • Capacity trends documented
  • Scaling triggers documented
  • Right-sizing recommendations tracked

8. Change Management

Change Requirements

  • All changes documented in change management system
  • Testing completed before production deployment
  • Rollback plan prepared for all changes
  • Change approval obtained per policy

Deployment Requirements

  • Zero-downtime deployments for standard changes
  • Maintenance windows scheduled for high-risk changes
  • Post-deployment validation completed

Verification

  • Recent changes documented in CHANGELOG.md
  • All production changes have tickets
  • Rollback procedures tested

Documentation

  • Deployment runbooks up to date
  • Known issues documented
  • Lessons learned captured

9. Documentation & Knowledge Management

Documentation Requirements

  • Runbooks current (reviewed quarterly)
  • Architecture diagrams up to date
  • API documentation complete and accurate
  • Operational procedures documented

Knowledge Sharing

  • Post-incident reviews conducted for P0/P1
  • Lessons learned shared with team
  • Training materials updated quarterly

Verification

  • Documentation reviewed in last 90 days
  • Links verified (no broken links)
  • All major incidents have PIRs

10. Compliance & Audit

Compliance Requirements

  • SOC 2 Type II controls validated
  • GDPR compliance verified (if applicable)
  • HIPAA compliance verified (if applicable)
  • Data retention policies followed

Audit Requirements

  • Quarterly security audits completed
  • Access reviews completed monthly
  • Compliance gaps tracked and remediated

Verification

# Run compliance checks
themisdb-cli compliance check --standard soc2

# Generate audit report
themisdb-cli compliance report --period quarter --output pdf

# Check data retention
themisdb-cli data retention-status

Documentation

  • Audit findings tracked in issue tracker
  • Compliance evidence collected and stored
  • Remediation plans documented

11. Operational Excellence

Process Requirements

  • Incident response procedures followed
  • On-call handoffs documented
  • Team training completed quarterly
  • Operational metrics reviewed monthly

Continuous Improvement

  • Automation opportunities identified
  • Technical debt tracked and prioritized
  • Improvement initiatives tracked

Team Readiness

  • On-call training completed for all team members
  • DR drills conducted quarterly
  • Runbook walkthroughs completed monthly

Monthly Sign-Off

Review Checklist

Area Compliant Notes Action Items
Availability & Uptime ☐ Yes ☐ No
Performance & Latency ☐ Yes ☐ No
Error Rate & Reliability ☐ Yes ☐ No
Backup & Recovery ☐ Yes ☐ No
Security & Access ☐ Yes ☐ No
Monitoring & Alerting ☐ Yes ☐ No
Capacity Planning ☐ Yes ☐ No
Change Management ☐ Yes ☐ No
Documentation ☐ Yes ☐ No
Compliance & Audit ☐ Yes ☐ No
Operational Excellence ☐ Yes ☐ No

Overall Compliance Score

Score: _____ / 11 areas compliant

Status:

  • ✅ Pass: 10-11 areas compliant
  • ⚠️ Conditional: 8-9 areas compliant (action plan required)
  • ❌ Fail: < 8 areas compliant (immediate remediation required)

Sign-Off

Role Name Signature Date
Operations Lead
Engineering Manager
Security Officer
Compliance Officer

Automated Compliance Checking

Run Full Compliance Check

#!/bin/bash
# operational-compliance-check.sh

echo "=== Operational Compliance Check ==="
echo "Date: $(date)"
echo ""

PASS=0
FAIL=0

# 1. Availability
echo "1. Checking Availability..."
AVAIL=$(themisdb-cli metrics get-availability --period 30d --format json | jq -r '.availability')
if (( $(echo "$AVAIL >= 99.9" | bc -l) )); then
  echo "✅ Availability: ${AVAIL}% (>= 99.9%)"
  ((PASS++))
else
  echo "❌ Availability: ${AVAIL}% (< 99.9%)"
  ((FAIL++))
fi

# 2. Latency
echo "2. Checking Latency..."
P95=$(themisdb-cli metrics get-latency --percentile 95 --period 30d --format json | jq -r '.latency_ms')
if (( $(echo "$P95 <= 200" | bc -l) )); then
  echo "✅ P95 Latency: ${P95}ms (<= 200ms)"
  ((PASS++))
else
  echo "❌ P95 Latency: ${P95}ms (> 200ms)"
  ((FAIL++))
fi

# 3. Error Rate
echo "3. Checking Error Rate..."
ERRORS=$(themisdb-cli metrics get-error-rate --period 30d --format json | jq -r '.error_rate')
if (( $(echo "$ERRORS <= 0.1" | bc -l) )); then
  echo "✅ Error Rate: ${ERRORS}% (<= 0.1%)"
  ((PASS++))
else
  echo "❌ Error Rate: ${ERRORS}% (> 0.1%)"
  ((FAIL++))
fi

# 4. Backups
echo "4. Checking Backups..."
BACKUP_COUNT=$(themisdb-cli backup list --last 7-days --format json | jq 'length')
if [ "$BACKUP_COUNT" -ge 7 ]; then
  echo "✅ Backups: ${BACKUP_COUNT} backups in last 7 days (>= 7)"
  ((PASS++))
else
  echo "❌ Backups: ${BACKUP_COUNT} backups in last 7 days (< 7)"
  ((FAIL++))
fi

# ... Add more checks ...

echo ""
echo "=== Summary ==="
echo "Passed: $PASS"
echo "Failed: $FAIL"
TOTAL=$((PASS + FAIL))
SCORE=$(echo "scale=1; ($PASS * 100) / $TOTAL" | bc)
echo "Compliance Score: ${SCORE}%"

if [ "$FAIL" -eq 0 ]; then
  echo "✅ All checks passed"
  exit 0
else
  echo "❌ $FAIL check(s) failed"
  exit 1
fi

Appendix: Quick Reference

Critical Thresholds

Metric Warning Critical SLA
Availability < 99.9% < 99.5% >= 99.9%
P95 Latency > 200ms > 500ms <= 200ms
Error Rate > 0.1% > 1% <= 0.1%
CPU Usage > 75% > 90% <= 75%
Memory Usage > 80% > 95% <= 80%
Storage Usage > 75% > 90% <= 75%
MTTR > 30min > 60min <= 30min
MTTD > 2min > 5min <= 2min

Emergency Contacts

  • On-Call: [PagerDuty]
  • Operations Lead: [Phone/Email]
  • Engineering Manager: [Phone/Email]
  • Security Team: [Phone/Email]
  • Compliance Officer: [Phone/Email]

Document Version: 1.0
Next Review: End of next month
Review Cycle: Monthly