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The TOGAF 9 certification program is a knowledge-based certification program. It has two levels, leading to certification for TOGAF 9 Foundation and TOGAF 9 Certified, respectively. The purpose of certification to TOGAF 9 Certified is to provide validation that, in addition to the knowledge and comprehension of TOGAF 9 Foundation level, the Candidate is able to analyze and apply this knowledge. The learning objectives at this level therefore focus on application and analysis in addition to knowledge and comprehension. This Study Guide supports students in preparation for the TOGAF 9 Part 2 Examination, leading to TOGAF 9 Certified. This third edition contains minor updates to remove references to the TOGAF 8-9 Advanced Bridge Examination1 and also adds four bonus practice examination questions to Appendix B. It gives an overview of every learning objective for the TOGAF 9 Certified Syllabus beyond the Foundation level.
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TOGAF® 9 CertifiedStudy Guide 3rd Edition
The Open Group Publications available fromVan Haren Publishing
The TOGAF Series:TOGAF® Version 9.1TOGAF® Version 9.1 – A Pocket GuideTOGAF® 9 Foundation Study Guide – 3rd EditionTOGAF® 9 Certified Study Guide – 3rd Edition
The Open Group Series:Cloud Computing for Business – The Open Group GuideArchiMate 2.1 SpecificationArchiMate 2.1 – A Pocket GuideArchiMate 2 Certified Study Guide
The Open Group Security Series:Open Information Security Management Maturity Model (O-ISM3)Open Enterprise Security Architecture (O-ESA)Risk Management – The Open Group Guide
All titles are available to purchase from:www.opengroup.orgwww.vanharen.netand also many international and online distributors.
TOGAF® 9Certified
Study Guide3rd Edition
Prepared by Rachel Harrison of Oxford Brookes University
Title:
TOGAF® 9 Certified Study Guide - 3rd Edition
Series:
TOGAF Series
A Publication of:
The Open Group
Author:
Prof. Rachel Harrison
Publisher:
Van Haren Publishing, Zaltbommel,www.vanharen.net
ISBN:
978 90 8753 758 6
Edition:
Third edition, first impression, October 2013
Layout and Cover design:
CO2 Premedia, Amersfoort –NL
Print:
Wilco, Amersfoort – NL
Copyright:
© 2010-2013 The Open GroupAll rights reserved
No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior permission of the copyright owner.
The views expressed in this Study Guide are not necessarily those of any particular member of The Open Group.
In the event of any discrepancy between text in this Study Guide and the official TOGAF documentation, the TOGAF documentation remains the authoritative version for certification, testing by examination, and other purposes. The official TOGAF documentation can be obtained online at www.opengroup.org/togaf.
TOGAF®9 Certified Study Guide - 3rd Edition
Document Number: B134
Comments relating to the material contained in this document may be submitted to:
The Open GroupApex PlazaForbury RoadReadingBerkshire, RG1 1AXUnited Kingdom
or by electronic mail to: [email protected]
For any further enquiries about Van Haren Publishing, please send an email to: [email protected].
Contents
Preface
About the Author
Trademarks
Acknowledgements
References
Chapter 1 Introduction
1.1 Key Learning Points
1.2 The TOGAF Certification for People Program
1.2.1 Certification Document Structure
1.2.2 TOGAF 9 Foundation
1.2.3 TOGAF 9 Certified
1.2.4 The Certification Process
1.2.5 Preparing for the Examination
1.3 Summary
1.4 Recommended Reading
PART 1 TOGAF 9 ARCHITECTURE DEVELOPMENT METHOD (ADM)
Chapter 2 Preliminary Phase
2.1 Key Learning Points
2.2 Objectives
2.3 Inputs
2.3.1 Architecture Frameworks
2.3.2 Business Principles, Business Goals, and Business Drivers
2.3.3 Pre-Existing Architectural Inputs
2.4 Steps
2.4.1 Scope the Enterprise Organizations Impacted
2.4.2 Confirm Governance and Support Frameworks
2.4.3 Define and Establish the Enterprise Architecture Team and Organization
2.4.4 Identify and Establish Architecture Principles
2.4.5 Tailor the TOGAF Framework and, if any, Other Selected Architecture Frameworks
2.4.6 Implement Architecture Tools
2.5 Outputs
2.5.1 Architecture Principles
2.5.2 Organizational Model for Enterprise Architecture
2.5.3 Tailored Architecture Framework
2.5.4 Architecture Repository
2.5.5 Business Principles, Business Goals, and Business Drivers
2.5.6 Architecture Governance Framework
2.5.7 Request for Architecture Work
2.6 Summary
2.7 Exercises
2.8 Recommended Reading
Chapter 3 Phase A: Architecture Vision
3.1 Key Learning Points
3.2 Objectives
3.3 Inputs
3.4 Steps
3.4.1 Establish the Architecture Project
3.4.2 Identify Stakeholders, Concerns, and Business Requirements
3.4.3 Confirm and Elaborate Business Goals, Business Drivers, and Constraints
3.4.4 Evaluate Business Capabilities
3.4.5 Assess Readiness for Business Transformation
3.4.6 Define Scope
3.4.7 Confirm and Elaborate Architecture Principles, including Business Principles
3.4.8 Develop Architecture Vision
3.4.9 Define the Target Architecture Value Propositions and KPIs
3.4.10 Identify the Business Transformation Risks and Mitigation Activities
3.4.11 Develop Statement of Architecture Work; Secure Approval
3.5 Outputs
3.5.1 Statement of Architecture Work
3.5.2 Capability Assessment
3.5.3 Architecture Vision
3.5.4 Communications Plan
3.6 Summary
3.7 Exercises
3.8 Recommended Reading
Chapter 4 Phase B: Business Architecture
4.1 Key Learning Points
4.2 Objectives
4.3 Inputs
4.3.1 Business Principles
4.4 Steps
4.4.1 Select Reference Models, Viewpoints, and Tools
4.4.2 Develop Baseline Business Architecture Description
4.4.3 Develop Target Business Architecture Description
4.4.4 Perform Gap Analysis
4.4.5 Define Candidate Roadmap Components
4.4.6 Resolve Impacts across the Architecture Landscape
4.4.7 Conduct Formal Stakeholder Review
4.4.8 Finalize the Business Architecture
4.4.9 Create the Architecture Definition Document
4.5 Outputs
4.5.1 Architecture Definition Document
4.5.2 Architecture Requirements Specification
4.5.3 Architecture Roadmap
4.6 Summary
4.7 Exercises
4.8 Recommended Reading
Chapter 5 Phase C: Information Systems Architectures
5.1 Key Learning Points
5.2 Objectives
5.3 Considerations for the Implementation Order
5.4 Inputs
5.5 Steps
5.6 Outputs
5.7 Summary
5.8 Exercises
5.9 Recommended Reading
Chapter 6 Phase C: Data Architecture
6.1 Key Learning Points
6.2 Objectives
6.3 Inputs
6.3.1 Data Principles
6.4 Steps
6.4.1 Select Reference Models, Viewpoints, and Tools
6.4.2 Develop Baseline Data Architecture Description
6.4.3 Develop Target Data Architecture Description
6.4.4 Perform Gap Analysis
6.4.5 Define Candidate Roadmap Components
6.4.6 Resolve Impacts Across the Architecture Landscape
6.4.7 Conduct Formal Stakeholder Review
6.4.8 Finalize the Data Architecture
6.4.9 Create Architecture Definition Document
6.5 Outputs
6.5.1 Components of the Architecture Definition Document
6.5.2 Components of the Architecture Requirements Specification
6.6 Summary
6.7 Exercises
6.8 Recommended Reading
Chapter 7 Phase C: Application Architecture
7.1 Key Learning Points
7.2 Objectives
7.3 Inputs
7.3.1 Application Principles
7.4 Steps
7.4.1 Select Reference Models, Viewpoints, and Tools
7.4.2 Develop Baseline Application Architecture Description
7.4.3 Develop Target Application Architecture Description
7.4.4 Perform Gap Analysis
7.4.5 Define Candidate Roadmap Components
7.4.6 Resolve Impacts Across the Architecture Landscape
7.4.7 Conduct Formal Stakeholder Review
7.4.8 Finalize the Application Architecture
7.4.9 Create Architecture Definition Document
7.5 Outputs
7.5.1 Components of the Architecture Definition Document
7.5.2 Components of the Architecture Requirements Specification
7.6 Summary
7.7 Exercises
7.8 Recommended Reading
Chapter 8 Phase D: Technology Architecture
8.1 Key Learning Points
8.2 Objectives
8.3 Inputs
8.3.1 Technology Principles
8.4 Steps
8.4.1 Select Reference Models, Viewpoints, and Tools
8.4.2 Develop Baseline Technology Architecture Description
8.4.3 Develop Target Technology Architecture Description
8.4.4 Perform Gap Analysis
8.4.5 Define Candidate Roadmap Components
8.4.6 Resolve Impacts Across the Architecture Landscape
8.4.7 Conduct Formal Stakeholder Review
8.4.8 Finalize the Technology Architecture
8.4.9 Create Architecture Definition Document
8.5 Outputs
8.5.1 Components of the Architecture Definition Document
8.5.2 Components of the Architecture Requirements Specification
8.6 Summary
8.7 Exercises
8.8 Recommended Reading
Chapter 9 Phase E: Opportunities & Solutions
9.1 Key Learning Points
9.2 Objectives
9.3 Inputs
9.4 Steps
9.4.1 Determine/Confirm Key Corporate Change Attributes
9.4.2 Determine Business Constraints for Implementation
9.4.3 Review and Consolidate Gap Analysis Results from Phases B to D
9.4.4 Review Consolidated Requirements Across Related Business Functions
9.4.5 Consolidate and Reconcile Interoperability Requirements
9.4.6 Refine and Validate Dependencies
9.4.7 Confirm Readiness and Risk for Business Transformation
9.4.8 Formulate Implementation and Migration Strategy
9.4.9 Identify and Group Major Work Packages
9.4.10 Identify Transition Architectures
9.4.11 Create the Architecture Roadmap & Implementation and Migration Plan
9.5 Outputs
9.6 Summary
9.7 Exercises
9.8 Recommended Reading
Chapter 10 Phase F: Migration Planning
10.1 Key Learning Points
10.2 Objectives
10.3 Inputs
10.4 Steps
10.4.1 Confirm Management Framework Interactions for the Implementation and Migration Plan
10.4.2 Assign a Business Value to Each Work Package
10.4.3 Estimate Resource Requirements, Project Timings, and Availability/Delivery Vehicle
10.4.4 Prioritize the Migration Projects through the Conduct of a Cost/Benefit Assessment and Risk Validation
10.4.5 Confirm Architecture Roadmap and Update Architecture Definition Document
10.4.6 Generate the Implementation and Migration Plan
10.4.7 Complete the Architecture Development Cycle and Document Lessons Learned
10.5 Outputs
10.5.1 Implementation and Migration Plan
10.5.2 Architecture Definition Document, including Transition Architecture
10.5.3 Implementation Governance Model
10.6 Summary
10.7 Exercises
10.8 Recommended Reading
Chapter 11 Phase G: Implementation Governance
11.1 Key Learning Points
11.2 Objectives
11.3 Inputs
11.4 Steps
11.4.1 Confirm Scope and Priorities for Deployment with Development Management
11.4.2 Identify Deployment Resources and Skills
11.4.3 Guide Development of Solutions Deployment
11.4.4 Perform Enterprise Architecture Compliance Reviews
11.4.5 Implement Business and IT Operations
11.4.6 Perform Post-Implementation Review and Close the Implementation
11.5 Outputs
11.5.1 Architecture Contracts
11.5.2 Compliance Assessments
11.6 Summary
11.7 Exercises
11.8 Recommended Reading
Chapter 12 Phase H: Architecture Change Management
12.1 Key Learning Points
12.2 Objectives
12.3 Inputs
12.3.1 Change Requests
12.4 Steps
12.4.1 Establish Value Realization Process
12.4.2 Deploy Monitoring Tools
12.4.3 Manage Risks
12.4.4 Provide Analysis for Architecture Change Management
12.4.5 Develop Change Requirements to Meet Performance Targets
12.4.6 Manage Governance Process
12.4.7 Activate the Process to Implement Change
12.5 Outputs
12.6 Summary
12.7 Exercises
12.8 Recommended Reading
Chapter 13 ADM Architecture Requirements Management
13.1 Key Learning Points
13.2 Objectives
13.3 Inputs
13.4 Steps
13.5 Outputs
13.5.1 Requirements Impact Assessment
13.6 Summary
13.7 Exercises
13.8 Recommended Reading
PART 2 GUIDELINES FOR ADAPTING THE ADM
Chapter 14 Iteration and Levels
14.1 Key Learning Points
14.2 The Concept of Iteration
14.2.1 Iteration to Develop a Comprehensive Architecture Landscape
14.2.2 Iteration within an ADM Cycle (Architecture Development Iteration)
14.2.3 Iteration to Manage the Architecture Capability (Architecture Capability Iterations)
14.3 Factors Influencing the Use of Iteration
14.4 Iteration Cycles
14.5 Classes of Architecture Engagement
14.5.1 Identification of Required Change
14.5.2 Definition of Change
14.5.3 Implementation of Change
14.6 Mapping TOGAF Phases to Iteration Cycles
14.6.1 Iteration between ADM Cycles
14.6.2 Iteration within an ADM Cycle
14.7 Applying the ADM across the Architecture Landscape
14.7.1 The Architecture Landscape
14.7.2 The Architecture Continuum
14.7.3 Organizing the Architecture Landscape
14.8 Summary
14.9 Exercises
14.10 Recommended Reading
Chapter 15 Security
15.1 Key Learning Points
15.2 Introduction
15.2.1 Characteristics of Security Architectures
15.2.2 Security Responsibilities of the Enterprise Architect
15.3 Adapting the ADM for Security
15.4 Security Input/Output Summary
15.5 Summary
15.6 Exercises
15.7 Recommended Reading
Chapter 16 SOA
16.1 Key Learning Points
16.2 SOA as an Architectural Style
16.3 Enterprise Architecture and SOA
16.4 Adapting the ADM for SOA
16.4.1 Preliminary Phase
16.4.2 Phase A: Vision
16.4.3 Phase B: Business Architecture
16.4.4 Phase C: Information Systems Architectures
16.4.5 Phase D: Technology Architecture
16.4.6 Phase E: Opportunities and Solutions
16.4.7 Phase F: Migration Planning
16.4.8 Phase G: Implementation Governance
16.4.9 Phase H: Architecture Change Management
16.5 Summary
16.6 Recommended Reading
PART 3 THE ARCHITECTURE CONTENT FRAMEWORK
Chapter 17 Architecture Content Framework
17.1 Key Learning Points
17.2 Introduction
17.3 The Content Framework and the TOGAF ADM
17.4 Why do we Need a Metamodel?
17.5 Components of the Content Metamodel
17.6 Core Metamodel Concepts
17.6.1 Core and Extension Content
17.6.2 Core Metamodel Entities
17.6.3 Building Blocks, Catalogs, Matrices, and Diagrams
17.7 Summary
17.8 Exercises
17.9 Recommended Reading
PART 4 THE ENTERPRISE CONTINUUM
Chapter 18 Architecture Partitioning
18.1 Key Learning Points
18.2 Introduction
18.3 Applying Classification to Partitioned Architectures
18.4 Applying Partitioning to the ADM
18.5 Summary
18.6 Recommended Reading
Chapter 19 Architecture Repository
19.1 Key Learning Points
19.2 Introduction
19.3 The Repository in Detail
19.3.1 Architecture Metamodel
19.3.2 Architecture Landscape
19.3.3 Reference Library
19.3.4 Standards Information Base
19.3.5 Governance Log
19.3.6 Architecture Capability
19.4 Relationship to Other Parts of TOGAF Standard
19.5 Summary
19.6 Recommended Reading
PART 5 TOGAF REFERENCE MODELS
Chapter 20 The Technical Reference Model (TRM)
20.1 Key Learning Points
20.2 Structure of the TRM
20.3 The TRM in Detail
20.3.1 Application Software
20.3.2 Application Platform Interface
20.3.3 Application Platform
20.3.4 Interfaces between Services
20.3.5 Communications Infrastructure
20.3.6 Communications Infrastructure Interface
20.3.7 Qualities
20.4 Taxonomy of Application Platform Services
20.5 Taxonomy of Application Platform Service Qualities
20.6 Using the TRM
20.7 Summary
20.8 Exercises
20.9 Recommended Reading
Chapter 21 Integrated Information Infrastructure Reference Model (III-RM)
21.1 Key Learning Points
21.2 Drivers for Boundaryless Information Flow
21.3 How the III-RM Fulfills the Solution Space
21.4 The High-Level Structure of the III-RM
21.5 Components of the III-RM
21.6 Summary
21.7 Recommended Reading
PART 6 ARCHITECTURE CAPABILITY
Chapter 22 Architecture Governance
22.1 Key Learning Points
22.2 Architecture Governance and the ADM
22.3 Key Success Factors
22.4 Setting up the Architecture Board
22.5 Operating an Architecture Board
22.5.1 General
22.5.2 Preparation
22.5.3 Agenda
22.6 Summary
22.7 Exercises
22.8 Recommended Reading
Chapter 23 Architecture Maturity Models
23.1 Key Learning Points
23.2 Capability Maturity Models
23.3 Capability Maturity Model Integration (CMMI)
23.4 ACMM
23.5 Maturity Assessments and the ADM
23.6 Summary
23.7 Exercises
23.8 Recommended Reading
Chapter 24 Architecture Skills Framework
24.1 Key Learning Points
24.2 Purpose
24.3 Benefits
24.4 EA Roles, Skills Categories, and Proficiency Levels
24.4.1 TOGAF Roles
24.4.2 Skills Categories
24.4.3 Proficiency Levels
24.4.4 Example Role and Skill Definitions
24.5 Summary
24.6 Exercises
24.7 Recommended Reading
Appendix A Test Yourself Examination Paper
Appendix B Bonus Questions
Appendix C Test Yourself Examination Answers
Appendix D Bonus Answers
Appendix E TOGAF 9 Certified Syllabus
Index
Preface
This Document
This document is a Study Guide for TOGAF® 9 Certified. It is based on Version 2 of the TOGAF Certification for People Conformance Requirements and is aligned to TOGAF Version 9.1. This third edition contains minor updates to remove references to the TOGAF 8-9 Advanced Bridge Examination1 and also adds four bonus practice examination questions to Appendix B.
It gives an overview of every learning objective for the TOGAF 9 Certified Syllabus beyond the Foundation level, and is specifically designed to help individuals prepare for certification.
The audience for this Study Guide is:
• Individuals who require a deeper understanding of TOGAF 9
• Professionals who are working in an organization where TOGAF 9 has been adopted and who need to participate in architecture projects and initiatives
• Architects who will be responsible for developing architecture artifacts
• Architects who wish to introduce TOGAF 9 into an architecture practice
• Architects who want to achieve a recognized qualification to demonstrate their detailed knowledge of TOGAF 9
This Study Guide assumes a prior knowledge equivalent to TOGAF 9 Foundation.
While reading this Study Guide, the reader should also refer to the TOGAF documentation2 available online at www.opengroup.org/architecture/togaf9-doc/arch and also available as a hardcopy book.
The Study Guide is structured as follows:
• Chapter 1 (Introduction) provides a brief introduction to TOGAF certification and the TOGAF 9 examinations that lead to TOGAF 9 Certified, as well as how to use this Study Guide.
• Part 1: TOGAF 9 Architecture Development Method (ADM) comprises Chapters 2 through 13 and consists of a tour of the ADM phases:
– Chapter 2 describes the Preliminary Phase within the ADM. This chapter covers the preparation and initiation activities required to create an Architecture Capability.
– Chapter 3 describes Phase A: Architecture Vision. This chapter covers the initial phase of an Architecture Development Cycle. It includes information about defining the scope, identifying the stakeholders, creating the Architecture Vision, and obtaining approvals.
– Chapter 4 describes Phase B: Business Architecture. This chapter covers the development of a Business Architecture to support an agreed Architecture Vision.
– Chapter 5 provides an introduction to Phase C: Information Systems Architectures. The next two chapters describe the details of the two parts of Phase C.
– Chapter 6 describes the development of the Data Architecture within Phase C.
– Chapter 7 describes the development of the Application Architecture within Phase C.
– Chapter 8 describes Phase D: Technology Architecture. The Technology Architecture is used as the basis of the following implementation work.
– Chapter 9 describes Phase E: Opportunities and Solutions. This phase identifies major implementation projects and groups them into work packages that deliver the Target Architecture defined in the previous phases.
– Chapter 10 describes Phase F: Migration Planning. This phase develops a detailed Implementation and Migration Plan addressing how to move from the Baseline to the Target Architecture.
– Chapter 11 describes Phase G: Implementation Governance. This phase ensures that the implementation projects conform to the architecture.
– Chapter 12 describes Phase H: Architecture Change Management. This phase ensures that the architecture capability can respond to the needs of the enterprise as changes arise.
– Chapter 13 describes ADM Architecture Requirements Management, a process that applies throughout the ADM.
• Part 2: Guidelines for Adapting the ADM consists of three chapters:
– Chapter 14 describes how to apply iteration to the ADM, and how to apply the ADM at different enterprise levels.
– Chapter 15 describes security considerations during the application of the ADM.
– Chapter 16 describes SOA as an architectural style.
• Part 3: The Architecture Content Framework consists of a single chapter:
– Chapter 17 describes the Architecture Content Framework and the TOGAF Content Metamodel.
• Part 4: The Enterprise Continuum consists of two chapters:
– Chapter 18 describes Architecture Partitioning.
– Chapter 19 describes the Architecture Repository, which is a model for a physical instance of the Enterprise Continuum.
• Part 5: TOGAF Reference Models consists of two chapters:
– Chapter 20 describes the Technical Reference Model (TRM).
– Chapter 21 describes the Integrated Information Infrastructure Reference Model (III-RM).
• Part 6: Architecture Capability consists of three chapters:
– Chapter 22 describes the relationship between Architecture Governance and the ADM. It also describes how to establish and operate an Architecture Board.
– Chapter 23 describes Architecture Maturity Models.
– Chapter 24 describes the Architecture Skills Framework.
• Appendix A provides a Practice Test for the TOGAF 9 Part 2 Examination.
• Appendix B provides provides four bonus practice questions for the TOGAF 9 Part 2 Examination.
• Appendix C provides the answers to the examination in Appendix A.
• Appendix D provides the answers to the bonus practice questions in Appendix B.
• Appendix E provides the TOGAF 9 Certified Syllabus.
How to Use this Study Guide
The chapters in this Study Guide should be read in order. However, you may wish to use this Study Guide to study topics with which you are already familiar, and it is certainly possible to select topics for review in any order. Where a topic requires further information from a later part in the syllabus, a cross-reference is provided.
Within each chapter are “Key Learning Points” and “Summary” sections that help you to easily identify what you need to know for each topic. Where applicable, a chapter has an “Exercises” section that will help you reinforce key learning points in the chapter.
Each chapter also has a “Recommended Reading” section that indicates relevant, additional sections of the TOGAF document and other sources that should be read to obtain a full understanding of the subject material.
Finally, at the end of this Study Guide is a “Test Yourself” examination paper that can be used to test your readiness to take the official TOGAF 9 Part 2 examination. This paper is designed to include the same question formats and a similar difficulty level to the official TOGAF 9 Part 2 examination. In addition to the examination paper, four bonus practice questions are also provided.
Conventions Used in this Study Guide
The following conventions are used throughout this Study Guide in order to help identify important information and avoid confusion over the intended meaning.
• Ellipsis (…)
Indicates a continuation; such as an incomplete list of example items, or a continuation from preceding text.
• Bold
Used to highlight specific terms.
• Italics
Used for emphasis. May also refer to other external documents.
• (Syllabus Reference Unit X, Learning Outcome Y: Statement)
Used at the start of a text block to identify the associated TOGAF 9 Certified Syllabus learning outcome.
In addition to typographical conventions, the following conventions are used to highlight segments of text:
A Note box is used to highlight useful or interesting information.
A Tip box is used to provide key information that can save you time or that may not be entirely obvious.
About the TOGAF Standard
TOGAF®, an Open Group Standard, is a proven enterprise architecture methodology and framework used by the world’s leading organizations to improve business efficiency. It is the most prominent and reliable enterprise architecture standard, ensuring consistent standards, methods, and communication among enterprise architecture professionals. Enterprise architecture professionals fluent in TOGAF standards enjoy greater industry credibility, job effectiveness, and career opportunities. The TOGAF standard helps practitioners avoid being locked into proprietary methods, utilize resources more efficiently and effectively, and realize a greater return on investment.
About The Open Group
The Open Group is a global consortium that enables the achievement of business objectives through IT standards. With more than 375 member organizations, The Open Group has a diverse membership that spans all sectors of the IT community – customers, systems and solutions suppliers, tool vendors, integrators, and consultants, as well as academics and researchers – to:
• Capture, understand, and address current and emerging requirements, and establish policies and share best practices
• Facilitate interoperability, develop consensus, and evolve and integrate specifications and open source technologies
• Offer a comprehensive set of services to enhance the operational efficiency of consortia
• Operate the industry’s premier certification service
Further information on The Open Group is available at www.opengroup.org.
The Open Group has over 15 years’ experience in developing and operating certification programs and has extensive experience developing and facilitating industry adoption of test suites used to validate conformance to an open standard or specification.
The Open Group publishes a wide range of technical documentation, most of which is focused on development of Open Group Standards and Guides, but which also includes white papers, technical studies, certification and testing documentation, and business titles.
A catalog is available at www.opengroup.org/bookstore.
Readers should note that updates – in the form of Corrigenda – may apply to any publication.This information is published at www.opengroup.org/corrigenda.
1 The TOGAF 8-9 Advanced Bridge Examination was withdrawn on November 1, 2013.
2 TOGAF Version 9.1 (ISBN:978 90 8753 679 4, G116), available at www.opengroup.org/bookstore/catalog/g116.htm.
About the Author
Rachel Harrison is a Professor of Computer Science in the Department of Computing and Communication Technologies at Oxford Brookes University. Previously she was Professor of Computer Science, Head of the Department of Computer Science, and Director of Research for the School of Systems Engineering at the University of Reading. Her research interests include systems evolution, software metrics, requirements engineering, software architecture, usability, and software testing. She has published over 100 refereed papers and consulted widely with industry, working with organizations such as IBM, the DERA, Philips Research Labs, Praxis Critical Systems, and The Open Group. She is Editor-in-Chief of the Software Quality Journal, published by Springer.
Prof. Harrison holds an MA in Mathematics from Oxford University, an MSc in Computer Science from University College London, and a PhD in Computer Science from the University of Southampton. She is a Member of the British Computer Society, an Affiliate Member of the IEEE-CS, a Member of the Association of Computing Machinery, and is a Chartered Engineer.
Trademarks
ArchiMate®, DirecNet®, Jericho Forum®, Making Standards Work®, OpenPegasus®, The Open Group®, TOGAF®, and UNIX® are registered trademarks and Boundaryless Information Flow™, Dependability Through Assuredness™, FACE™, Open Platform 3.0™, and The Open Group Certification Mark™ are trademarks of The Open Group.
BPMN™ and Business Process Modeling Notation™ are trademarks of the Object Management Group (OMG).
All other brand, company, and product names are used for identification purposes only and may be trademarks that are the sole property of their respective owners.
Acknowledgements
The Open Group gratefully acknowledges The Open Group Architecture Forum for developing the TOGAF standard.
The Open Group gratefully acknowledges the following reviewers who participated in the review of this Study Guide:
• Beryl Bellman
• Geoff Burke
• Roger Cutts
• Jörgen Dahlberg
• Steve Else
• Bill Estrem
• Howard Gottlieb
• Joop Hoefnagels
• Paul Homan
• Andrew Josey
• Graham Neal
• Marleen Olde Hartman
• Simon Parker
• Mona Pomraning
• Felix Rausch
• Brian Selves
• Selvyn Wright
References
The following documents are referenced in this Study Guide:
• TOGAF Version 9.1, available online at www.opengroup.org/architecture/togaf9-doc/arch, and also available as a book at (ISBN: 978 90 8753 679 4, G116) at www.opengroup.org/bookstore/catalog/g116.htm.
• TOGAF 9 Foundation Study Guide, 2nd Edition (ISBN: 978 90 8753 6817, B111) available at www.opengroup.org/bookstore/catalog/b111.htm.
• The Open Group Architecture Principles, Case Study by Darren Hawley on behalf of The Open Group Internal Architecture Board, October 2008 (Y082), published by The Open Group (www.opengroup.org/bookstore/catalog/y082.htm).
• SOA Source Book, April 2009 (G093), published by The Open Group (www.opengroup.org/bookstore/catalog/g093.htm).
• ISO/IEC 42010:2007, Systems and Software Engineering – Recommended Practice for Architectural Description of Software-Intensive Systems, Edition 1 (technically identical to ANSI/IEEE Std 1471-2000).
• TOGAF Certification for People: Program Summary Datasheet, 2013, published by The Open Group (www.opengroup.org/togaf9/cert/docs/togaf9_cert_summary.pdf).
• TOGAF 9 Certified Datasheet, 2013, published by The Open Group (www.opengroup.org/togaf9/cert/docs/togaf9_foundation.pdf).
• TOGAF 9 Certified Datasheet, 2013, published by The Open Group (www.opengroup.org/togaf9/cert/docs/togaf9_cert.pdf)
• TOGAF Certification for People: Certification Policy, February 2009 (X091), published by The Open Group (www.opengroup.org/bookstore/catalog/x091.htm).
• TOGAF Certification for People: Conformance Requirements (MultiLevel), Version 2, December 2011 (X111), published by The Open Group (www.opengroup.org/bookstore/catalog/x111.htm).
• Zachman Framework, Zachman Institute for Framework Advancement (ZIFA) (www.zifa.com).
• Bill Estrem, “TOGAF to the Rescue” (www.opengroup.org/downloads)
• Enterprise Architecture Planning (EAP): Developing a Blueprint for Data, Applications, and Technology, Steven H. Spewak & Steven C. Hill, ISBN: 0-47-159985-9, John Wiley & Sons, 1993.
• US Department of Commerce Enterprise Architecture Capability Maturity Model (ACMM), Version 1.2 (http://ocio.os.doc.gov/ITPolicyandPrograms/Enterprise_Architecture/PROD01_004935).
• Guide to Security Architecture in TOGAF ADM, White Paper developed by The Open Group Security Forum and Members of The Open Group Architecture Forum, December 2005 (W055), published by The Open Group (www.opengroup.org/bookstore/catalog/w055.htm)
The following web links are referenced in this Study Guide:
• The Open Group TOGAF 9 Certification website: www.opengroup.org/togaf9/cert
• The TOGAF information website: www.togaf.info
• TOGAF 9 People Certification Overview presentation: www.togaf.info/sg01
• Introduction to the ADM presentation: www.togaf.info/sg02
• Sample Catalogs, Matrices, and Diagrams presentation: www.togaf.info/sg03
• TOGAF 9 Architecture Content Metamodel Overview presentation: www.togaf.info/sg04
Chapter 1
Introduction
1.1 Key Learning Points
This document is a Study Guide for TOGAF Version 9 for students planning to qualify as TOGAF 9 Certified. This document is a companion document to the TOGAF 9 Foundation Study Guide, and focuses on the learning outcomes beyond the Foundation level.
It gives an overview of every learning objective for the TOGAF 9 Certified Syllabus and in-depth coverage on preparing and taking the TOGAF 9 Part 2 Examination. It is specifically designed to help individuals prepare for certification.
Prerequisite Knowledge
This Study Guide assumes a prior knowledge equivalent to TOGAF 9 Foundation.
This can be obtained by reading the TOGAF 9 Foundation Study Guide (see References).
This first chapter will familiarize you with the TOGAF 9 certification program, as well as give you important information about the structure of the TOGAF 9 examinations.
The objectives of this chapter are as follows:
• To provide an understanding of TOGAF certification
• To learn key facts about the TOGAF 9 Part 2 examination
1.2 The TOGAF Certification for People Program
Certification is available to individuals who wish to demonstrate they have attained the required knowledge and understanding of TOGAF Version 9.
There are two levels defined for TOGAF 9 “people certification”, denoted TOGAF 9 Foundation and TOGAF 9 Certified, respectively. This Study Guide covers the second of these – TOGAF 9 Certified. Studying for TOGAF 9 Certified includes all the learning outcomes for TOGAF 9 Foundation, which are covered in a separate companion document (see References).
1.2.1 Certification Document Structure
The documents available to support the program are as shown in Figure 1:
Figure 1: Certification Document Structure
Program description documents, such as this Study Guide, are intended for an end-user audience including those interested in becoming certified. The Program definition documents are intended for trainers, examination developers, and the Certification Authority. All these documents are available from The Open Group website.3
1.2.2 TOGAF 9 Foundation
The purpose of certification to TOGAF 9 Foundation is to provide validation that the candidate has gained knowledge of the terminology, structure, and basic concepts of TOGAF 9, and understands the core principles of enterprise architecture and the TOGAF standard. The learning objectives at this level focus on knowledge and comprehension. More information is provided in the TOGAF 9 Foundation Study Guide (see References).
1.2.3 TOGAF 9 Certified
The purpose of certification to TOGAF 9 Certified is to provide validation that, in addition to the knowledge and comprehension of TOGAF 9 Foundation, the Candidate is able to analyze and apply this knowledge. The learning objectives at this level therefore focus on application and analysis in addition to knowledge and comprehension.
Individuals certified at this level, in addition to the knowledge required for TOGAF 9 Foundation, will have demonstrated their understanding of:
• How to apply the ADM phases in development of an enterprise architecture
• How to apply Architecture Governance in development of an enterprise architecture
• How to apply the TOGAF Architecture Content Framework
• How to apply the concept of building blocks
• How to apply the Stakeholder Management Technique
• How to apply the TOGAF Content Metamodel
• How to apply TOGAF recommended techniques when developing an enterprise architecture
• The TOGAF Technical Reference Model (TRM) and how to customize it to meet an organization’s needs
• The Integrated Information Infrastructure Reference Model (III-RM)
• The content of the key deliverables of the ADM cycle
• How an enterprise architecture can be partitioned to meet the specific needs of an organization
• The purpose of the Architecture Repository
• How to apply iteration and different levels of architecture with the ADM
• How to adapt the ADM for security
• SOA as a style of architecture
• The role of architecture maturity models in developing an enterprise architecture
• The purpose of the Architecture Skills Framework and how to apply it within an organization
Self-Study Paths
The self-study paths4 to achieve certification for TOGAF 9 Certified are summarized in Figure 2. The chosen path depends whether you want to first become certified to TOGAF 9 Foundation or proceed direct to TOGAF 9 Certified.
Figure 2: Paths to Achieving TOGAF 9 Certified
What is the Relationship between TOGAF 9 Foundation and TOGAF 9 Certified?
Candidates are able to choose whether they wish to become certified in a stepwise manner by starting with TOGAF 9 Foundation and then at a later date TOGAF 9 Certified, or bypass TOGAF 9 Foundation and go directly to TOGAF 9 Certified. For those going directly to TOGAF 9 Certified there is a choice of taking the two examinations separately or a Combined examination. The advantage of taking the two examinations over the single Combined examination is that if you pass Part 1 but fail Part 2 you can still qualify for TOGAF 9 Foundation.
1.2.4 The Certification Process
The TOGAF 9 Certified Syllabus is contained in Appendix E.
Readers are assumed to be already familiar with the syllabus for TOGAF 9 Foundation and its accompanying TOGAF 9 Part 1 Examination. Detailed information is provided in the TOGAF 9 Foundation Study Guide (see References).
The TOGAF 9 Part 2 Examination
The syllabus for the TOGAF 9 Part 2 Examination consists of all the learning outcomes defined in both Level 1 and Level 2 of the Conformance Requirements document. At the time of writing this document, the examination topics are drawn from the learning outcomes with eight scenario-based questions.
The eight scenarios are drawn from the following major topic areas:
• ADM Phases: Project Establishment (Phases Preliminary, A, Requirements Management)
• ADM Phases: Architecture Definition (Phases B, C, D)
• ADM Phases: Transition Planning (Phases E and F)
• ADM Phases: Governance (Phases G and H)
• Adapting the ADM
• Architecture Content Framework
• TOGAF Reference Models
• Architecture Capability Framework
1.2.4.1 Format of the Examination Questions
The questions for the TOGAF 9 Part 2 Examination consist of eight complex scenario questions. Candidates must read a scenario describing a situation where the TOGAF standard is being applied. The question will then ask how the TOGAF standard would be used to address a particular point, and provide four possible answers. The answers are graded. One answer is more correct than two of the others, and one is incorrect for the situation. The aim is to select the best answer according to TOGAF 9. The correct answer scores five points, the second best answer three points, and the third best answer one point. The incorrect answer (or distracter) scores zero points. You may need to refer to the TOGAF document during the examination and a copy is provided with the examination (see below for more details).
The exact display format is test center-specific and will be made clear on the screens when taking the examination. Examples of these questions are provided in Appendix A.
1.2.4.2 What do I need to bring with me to take the examination?
You should consult with the test center regarding the forms of picture ID needed to verify your identification.
1.2.4.3 If I fail, how soon can I retake the examination?
You are expected to be familiar with the current policy on The Open Group website. At the time of writing, the policy states that individuals who have failed the examination are not allowed to retake the examination within one month of the first sitting.
1.2.5 Preparing for the Examination
You can prepare for the examination by working through this Study Guide section-by-section. After completing each section you should complete the exercises and read the referenced sections from the TOGAF documentation. Once you have completed all the sections in this Study Guide, you can then attempt the Test Yourself examination paper in the appendices. This is designed as a thorough test of your knowledge. If you have completed all the prescribed preparation and can attain a pass mark for the Test Yourself examination paper, then you may be ready to sit the examination.
Open-Book Examinations
The TOGAF 9 Part 2 Examination is open-book. The test center will provide access to the TOGAF document. At Prometric test centers, the TOGAF document is provided as part of the examination itself.
1.3 Summary
The TOGAF 9 People certification program is a knowledge-based certification program. It has two levels, leading to certification for TOGAF 9 Foundation and TOGAF 9 Certified, respectively.
The topic for this Study Guide is preparation for the TOGAF 9 Part 2 Examination, leading to TOGAF 9 Certified. The TOGAF 9 Part 2 Examination comprises eight scenario-based questions to be completed in 90 minutes. 5
Preparing for the examination includes the following steps:
• You should work through this Study Guide step-by-step.
• At the end of each chapter, you should complete the exercises (where provided) and read the sections of the TOGAF documentation listed under Recommended Reading.
• Once you have completed all the chapters in this Study Guide, you should attempt the Test Yourself examination paper in Appendix A and the bonus questions in Appendix B.
• If you can attain the target score for the paper in Appendix A and satisfactorily complete the bonus questions in Appendix B, then you have completed your preparation.
1.4 Recommended Reading
The following are recommended sources of further information for this chapter:
• TOGAF Certification for People: Program Summary Datasheet
• TOGAF 9 Certified Datasheet
• TOGAF Certification for People: Certification Policy)
• TOGAF Certification for People: Conformance Requirements (Multi-level)
• The Open Group TOGAF 9 Certification website: www.opengroup.org/togaf9/cert
• The TOGAF information website: www.togaf.info
• TOGAF 9 People Certification Overview presentation: www.togaf.info/sg01
3 Available at the TOGAF 9 certification website (www.opengroup.org/togaf9/cert), or The Open Group bookstore (www.opengroup.org/bookstore).
4 The latest information on the TOGAF 9 certification program can be obtained from the TOGAF 9 Certification website at www/opengroup.org/togaf9/cert.
5 Additional time is allowed for candidates for whom English is a second language where the examination is not available in the local language. For further information see the advice to candidates sheet on The Open Group TOGAF 9 certification website.
PART1
TOGAF 9 Architecture Development Method (ADM)
In this Part, we take a tour of the Architecture Development Method (ADM) which forms the core of the TOGAF standard. The descriptions in this Part focus on the detail of the inputs, steps, and outputs of each phase and build upon rather than duplicate the TOGAF 9 Foundation Syllabus.
Recommended reading before commencing this part of the Study Guide includes:
• TOGAF 9 Foundation Study Guide, Chapter 5, Introduction to the Architecture Development Method
• Introduction to the ADM presentation: www.togaf.info/sg02
Chapter 2
Preliminary Phase
2.1 Key Learning Points
This chapter describes the Preliminary Phase within the TOGAF Architecture Development Method (ADM). This chapter will help you understand how to apply the Preliminary Phase to develop an enterprise architecture.
Figure 3: Preliminary Phase
Key Points Explained
Upon completion of this chapter you should be able to:
1. Understand the inputs to the phase, and be able to explain the following key elements:
• Architecture Frameworks
• Business principles, business goals, and business drivers
2. Explain the influence of pre-existing architectural inputs on the phase
3. Understand the steps, and be able to:
• Describe how to establish an enterprise architecture team and organization
• Identify and establish a set of architecture principles for a given scenario
• Discuss the appropriate considerations for tailoring the framework
4. Understand the outputs, and be able to explain the following key elements:
• Architecture Principles
• Architecture Governance Framework
• Request for Architecture Work
2.2 Objectives
The objectives of the Preliminary Phase are to:
• Determine the Architecture Capability desired by the organization:
– Review the organizational context for conducting enterprise architecture
– Identify and scope the elements of the enterprise organizations affected by the Architecture Capability
– Identify the established frameworks, methods, and processes that intersect with the Architecture Capability
– Establish a Capability Maturity target
• Establish the Architecture Capability:
– Define and establish the Organizational Model for Enterprise Architecture
– Define and establish the detailed process and resources for architecture governance
– Select and implement tools that support the Architecture Capability
– Define the architecture principles
2.3 Inputs
(Syllabus Reference: Unit 1, Learning Outcome 1: You should understand the inputs to the phase.)
The Preliminary Phase takes as inputs:
• The TOGAF framework
• Other Architecture Framework(s)
• Board strategies and board business plans, business strategy, IT strategy
• Business principles, business goals, and business drivers
• Governance and legal frameworks, including Architecture Governance strategy
• Existing Organizational Model for Enterprise Architecture
• Existing Architecture Framework, if any
2.3.1 Architecture Frameworks
(Syllabus Reference: Unit 1, Learning Outcome 1.1: You should be able to explain the key element: Architecture Frameworks.)
An Architecture Framework is a tool for assisting in the acceptance, production, use, and maintenance of architectures. The TOGAF standard is an example of an Architecture Framework. It is based on an iterative process model supported by best practices and a re-usable set of existing architectural assets. Other popular architecture frameworks include Zachman, Gartner, DoDAF, FEAF, and TEAF.
2.3.2 Business Principles, Business Goals, and Business Drivers
(Syllabus Reference: Unit 1, Learning Outcome 1.2: You should be able to explain the key element: business principles, business goals, and business drivers.)
A statement of the business principles, goals, and drivers usually exists in an enterprise before the architecture activity starts (for example, the annual report). Architecture work is guided by business principles as well as architecture principles. The architecture principles themselves are also normally based in part on business principles.
See also Section 2.5.5.
2.3.3 Pre-Existing Architectural Inputs
(Syllabus Reference: Unit 1, Learning Outcome 2: You should be able to explain the influence of pre-existing architectural inputs on this phase.)
Pre-existing architectural inputs can influence the approach taken. For example, existing models for operating an enterprise architecture capability can be used as a baseline for the Preliminary Phase.
Typical inputs to consider include:
• The Organizational Model for Enterprise Architecture, including:
– Scope of organizations impacted
– Maturity assessment, gaps, and resolution approach
– Roles and responsibilities for architecture team(s)
– Budget requirements
– Governance and support strategy
• Existing Architecture Framework, if any, including:
– Architecture method
– Architecture content
– Configured and deployed tools
– Architecture principles
– Architecture Repository
2.4 Steps
(Syllabus Reference: Unit 1, Learning Outcome 3: You should understand the steps in this phase.)
The Preliminary Phase consists of the following steps:
1. Scope the enterprise organizations impacted
2. Confirm governance and support frameworks
3. Define and establish the enterprise architecture team and organization
4. Identify and establish architecture principles
5. Tailor the TOGAF framework and, if any, other selected Architecture Frameworks
6. Implement architecture tools
The steps are described in more detail in the following subsections.
2.4.1 Scope the Enterprise Organizations Impacted
The TOGAF standard recommends identification of various units of an enterprise scoped by the impact of the enterprise architecture activity:
• Identify those who will be the most affected and who stand to get the most value from the work: this is the core enterprise or unit(s).
• Identify those who will see change to their capability and work with core units, but are otherwise not directly affected: this is the soft enterprise or unit.
• Identify those units outside the scoped enterprise who will be affected in their own enterprise architecture: this is the extended enterprise.
• Identify those stakeholders who will be affected and who are in groups: this is known as communities.
• Finally in this step, we must determine the governance involved, including legal frameworks and geographies.
2.4.2 Confirm Governance and Support Frameworks
Part of the major output of this phase is a framework for Architecture Governance. Here we must decide how architectural material is brought under governance and the required characteristics for a governance repository.
It is likely that the existing governance and support models of an organization will need to change to support the newly adopted Architecture Framework. To manage the change required to adopt the new Architecture Framework, the current enterprise governance and support models will need to be assessed to understand their overall shape and content. Additionally, the sponsors and stakeholders for architecture will need to be consulted on potential impacts that could occur.
Upon completion of this step, the architecture touch-points and likely impacts should be understood and agreed by relevant stakeholder
The TOGAF standard provides significant guidance on establishing effective Architecture Governance and coordinating with other governance processes within the organization. Effective governance ensures that problems are identified early and that subsequent changes to the environment occur in a controlled manner. Bill Estrem, “TOGAF to the Rescue” (www.opengroup.org/downloads)
2.4.3 Define and Establish the Enterprise Architecture Team and Organization
(Syllabus Reference: Unit 1, Learning Outcome 3.1: You should be able to describe how to establish an enterprise architecture team and organization.)
The TOGAF standard recommends the following to define and establish the enterprise architecture team/organization:
• Determine the existing enterprise and business capability
• Conduct an architecture/business change maturity assessment
• Identify gaps in existing work areas
• Allocate key roles and responsibilities for enterprise architecture capability management and governance
• Write requests for change for existing projects
• Determine constraints on enterprise architecture work
• Review and agree with sponsors and board
• Assess budget requirements
2.4.4 Identify and Establish Architecture Principles
(Syllabus Reference: Unit 1, Learning Outcome 3.2: You should be able to identify and establish a set of architecture principles for a given scenario.)
Principles are general rules and guidelines that inform the way in which an organization fulfills its mission. Principles are intended to be enduring and seldom amended.
Prerequisite Knowledge
This Study Guide assumes a prior knowledge equivalent to TOGAF 9 Foundation This includes understanding the need for principles and where they are used in the TOGAF standard, the standard template for principles, as well as what makes a good principle. [TOGAF 9 Foundation Study Guide, Section 8.3]
For further information on principles, see TOGAF 9 Part III, Chapter 23 (Architecture Principles).
2.4.4.1 Developing Architecture Principles
Architecture principles are typically developed by the enterprise architects, in conjunction with the key stakeholders, and are approved by the Architecture Board.
The following typically influences the development of architecture principles:
• Enterprise mission and plans:
