Architecture Compliance Reviews: A Complete Guide for TOGAF 10 Foundation Exam

Architecture Compliance Reviews: Complete Guide for TOGAF 10 Foundation

Why Architecture Compliance Reviews Are Important

Architecture Compliance Reviews are critical to enterprise architecture governance because they:

• Ensure Alignment: Verify that IT systems and projects align with the organization's overall enterprise architecture strategy and direction
• Reduce Risk: Identify potential issues early before they become costly problems in production environments
• Maintain Standards: Enforce architectural standards, patterns, and principles across the organization
• Control Costs: Prevent unnecessary expenditure on non-compliant solutions that may need rework or replacement
• Support Governance: Provide a mechanism for the architecture team to maintain authority and influence over technology decisions
• Enable Change Management: Create a structured process for evaluating and controlling architectural changes
• Document Decisions: Create an audit trail of architectural decisions and their justifications

What Is an Architecture Compliance Review?

An Architecture Compliance Review is a formal assessment process that evaluates whether proposed or existing systems, projects, and solutions conform to the organization's established Enterprise Architecture standards, principles, and strategies.

Key Characteristics:

• Formal Process: Structured and documented, not ad-hoc reviews
• Governance Activity: Part of the enterprise architecture governance framework
• Evaluation Focus: Examines whether solutions comply with EA standards and principles
• Stakeholder Involvement: Includes enterprise architects, IT leaders, and business stakeholders
• Decision-Based: Results in clear compliance decisions or waiver requests
• Timing: Can occur at various project phases: proposal, design, implementation, or post-implementation

What Gets Reviewed?

• Technology selections and vendor choices
• System design and architecture decisions
• Infrastructure and platform approaches
• Data management strategies
• Security and compliance measures
• Integration approaches
• Service-oriented architecture implementations
• Cloud adoption decisions
• Development methodologies

How Architecture Compliance Reviews Work

The Compliance Review Process

1. Initiation Phase

• A project or initiative is identified that requires architectural review
• The compliance review is scheduled with appropriate stakeholders
• Review criteria and standards are established based on the organization's EA

2. Preparation Phase

• The project team prepares documentation of their proposed or existing solution
• This includes architecture diagrams, design decisions, technology choices, and justifications
• The documentation is submitted to the review team in advance
• Review team members examine the materials to prepare for the review meeting

3. Review Meeting

• Project team presents their solution and explains the decisions made
• Reviewers ask questions about compliance with standards and principles
• Discussions occur regarding any potential deviations from the EA
• The review team assesses the solution against established criteria:
  • Does it conform to enterprise architecture principles?
  • Does it use approved technologies and standards?
  • Does it integrate properly with the existing environment?
  • Are there security, scalability, or maintainability concerns?
  • Are there cost implications of the proposed approach?

4. Decision and Outcome

• Compliant: The solution is approved as designed
• Compliant with Conditions: Approved but with specific requirements that must be met
• Non-Compliant: The solution does not meet standards and must be redesigned or a formal waiver must be requested
• Waiver/Exception: For exceptional cases where non-compliance is justified by business need, a documented waiver may be granted with approval from senior leadership

5. Follow-Up

• Decisions and findings are documented in a compliance review report
• The project team receives feedback and guidance for remediation if needed
• For approved solutions, post-implementation reviews may be scheduled
• Non-compliant items are tracked and monitored for resolution

Who Is Involved?

• Enterprise Architects: Lead the review and assess compliance with EA standards
• Solution/Project Architects: Present the proposed solution and defend design decisions
• Technical Subject Matter Experts: Provide specialized knowledge on specific technologies or domains
• IT Leadership: Provides context on strategic direction and priorities
• Business Stakeholders: Ensure business requirements are met
• Security and Infrastructure Teams: Review non-functional requirements

How to Answer Exam Questions on Architecture Compliance Reviews

Common Question Types

Type 1: Definition and Purpose Questions

Example: "What is the primary purpose of Architecture Compliance Reviews?"

• Look for answers that emphasize: Ensuring conformance to EA standards, principles, and strategies
• Avoid answers that focus on: Just finding problems or criticizing projects
• Key concept: It's about governance and ensuring alignment, not punitive review

Type 2: Process and Timing Questions

Example: "At what point in a project should Architecture Compliance Reviews typically occur?"

• Best answer mentions: Multiple phases - proposal, design, implementation, and post-implementation
• Early reviews are preferred because: They prevent costly mistakes and rework
• Not just one point in time - it's ongoing through project lifecycle

Type 3: Outcomes and Decisions Questions

Example: "What are possible outcomes from an Architecture Compliance Review?"

• Remember the four main outcomes:
  • Compliant
  • Compliant with Conditions
  • Non-Compliant
  • Waiver/Exception (with conditions)
• Understand that: Non-compliance doesn't automatically mean the project is rejected
• Waivers are: Documented exceptions granted for justified business reasons

Type 4: Governance and Authority Questions

Example: "What role do Architecture Compliance Reviews play in Enterprise Architecture Governance?"

• Key answers include: Control mechanism, enforcement of standards, decision authority
• They establish: The architecture team's role in evaluating and approving technical decisions
• They support: Change management and architectural governance

Type 5: Scenario-Based Questions

Example: "A project proposes using a non-standard database technology. The project team argues it will provide significant performance benefits. What should happen?"

• Correct approach: Formal compliance review is needed to assess the proposal
• The review should: Evaluate the business case, risk, and alternatives
• Possible outcomes: May grant an exception/waiver with conditions, or require redesign
• Document everything: The decision and justification should be recorded

Exam Tips: Answering Questions on Architecture Compliance Reviews

Essential Points to Remember

• Compliance Reviews are Governance Tools: Think of them as a control mechanism for EA governance, not just quality gates or testing
• They Support Alignment: The core purpose is ensuring IT initiatives align with the enterprise architecture strategy
• Multiple Phases: Reviews happen throughout the project lifecycle, not just at the beginning or end
• Formal Process: Emphasize that these are structured, documented processes with stakeholder involvement
• Outcomes Are Decisions: Reviews result in clear decisions (compliant, conditional, non-compliant, waiver)
• Waivers Are Acceptable: Non-compliance doesn't mean automatic rejection; documented exceptions are part of the process
• Risk and Cost Focus: Reviews address risk mitigation, cost control, and quality assurance

Common Trap Answers to Avoid

• Avoid: Thinking compliance reviews are only about finding problems
• Avoid: Saying reviews happen only once in a project
• Avoid: Treating non-compliance as automatic project rejection
• Avoid: Confusing this with IT operations reviews or quality assurance testing
• Avoid: Thinking EA has no authority if exceptions are granted
• Avoid: Missing that the review is about conformance to EA standards and principles, not just best practices

How to Structure Your Answers

For Definition Questions:

"Architecture Compliance Reviews are formal assessments that ensure proposed or existing systems conform to the organization's enterprise architecture standards, principles, and strategies. They are part of the EA governance framework and occur at various project phases."

For "Why" Questions:

Organize your answer around: Alignment, Risk, Standards, Cost, and Governance

For Process Questions:

Outline the phases: Initiation → Preparation → Review → Decision → Follow-Up

For Outcome Questions:

Always mention all four possible outcomes and explain that each is a valid and documented result

Keywords and Phrases to Use

• "Conformance to enterprise architecture"
• "Governance mechanism"
• "Formal assessment process"
• "Alignment with EA standards and principles"
• "Documented waiver or exception"
• "Project lifecycle"
• "Stakeholder involvement"
• "Risk mitigation"
• "Architectural decisions"

Quick Decision Tree for Scenario Questions

1. Is there a proposed or existing architectural decision? → Compliance review is needed
2. Does it align with EA standards? → Likely approved
3. Does it deviate from EA standards? → Formal review and waiver process needed
4. Is there strong business justification? → Exception/waiver may be granted with conditions
5. Is it completely contrary to strategy? → Likely requires redesign
6. Should everything be documented? → Always YES

Final Exam Strategy

• Remember the Purpose First: If you're unsure, default to thinking about governance and alignment
• Think Holistically: Compliance reviews support the entire EA governance framework
• Recognize Authority: They establish and reinforce the authority of the architecture function
• Emphasize Formality: These are structured processes with documentation, not informal reviews
• Be Balanced: Show that EA governance is about enabling good decisions, not blocking innovation