4.4 The Preliminary Phase
Key Takeaways
- The Preliminary Phase prepares and initiates the activities required to create an Architecture Capability, including tailoring the TOGAF framework and defining Architecture Principles.
- The two Preliminary Phase objectives are to determine the Architecture Capability desired by the organization and to establish that capability.
- Establishing the capability includes defining the Organizational Model for EA, architecture governance processes and resources, supporting tools, and the Architecture Principles.
- The Preliminary Phase has six steps, starting with scoping the enterprise organizations impacted and ending with a strategy for tools and techniques.
- Preliminary Phase outputs include a Tailored Architecture Framework, an initial Architecture Repository, an Architecture Governance Framework, and a Request for Architecture Work.
4.4 The Preliminary Phase
The Foundation syllabus asks you to briefly explain the purpose of the Preliminary Phase in developing an Enterprise Architecture Capability and to describe its objectives. The Preliminary Phase describes the preparation and initiation activities required to create an Architecture Capability, including customization of the TOGAF framework and definition of Architecture Principles. A useful summary is that it defines "where, what, why, who, and how we do architecture" in the enterprise.
Purpose
The Preliminary Phase prepares the organization to undertake successful Enterprise Architecture work. It is about the capability to do architecture, not about developing a specific target architecture. The phase:
- Defines the enterprise and the organizations in scope
- Identifies key drivers and elements in the organizational context
- Defines the requirements for architecture work
- Defines the Architecture Principles that will inform all architecture work
- Defines the framework to be used and its relationships with other management frameworks
- Plans for evaluating Enterprise Architecture and business change maturity
The Preliminary Phase can be revisited from Phase A (an Architecture Capability iteration) when a specific architecture problem shows that the capability needs adjusting.
Objectives
The TOGAF Standard gives two objectives, each with specific elements:
| Objective | Elements |
|---|---|
| 1. 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 |
| 2. 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 |
Steps of the Preliminary Phase
- Scope the Enterprise Organizations Impacted
- Confirm Governance and Support Frameworks
- Define and Establish Enterprise Architecture Team and Organization
- Identify and Establish Architecture Principles
- Tailor the TOGAF Framework and, if any, Other Selected Architecture Framework(s)
- Develop a Strategy and Implementation Plan for Tools and Techniques
Scoping the Enterprise Organizations Impacted
Scoping identifies which parts of the enterprise are affected by the Architecture Capability, typically distinguishing:
- The core enterprise — units most affected that achieve most value from the work
- The soft enterprise — units that will see change to their capability and work with core units but are otherwise not directly affected
- The extended enterprise — units outside the scoped enterprise that will be affected in their own Enterprise Architecture
- The communities involved — stakeholders affected in groups of communities
- The governance involved, including legal frameworks and geographies
Relating to Other Management Frameworks
EA does not operate alone. The Preliminary Phase considers how the TOGAF framework must co-ordinate with the organization's other management frameworks, such as business capability management, portfolio and project management methods, operations management methods, and solution development methods. Tailoring should make the ADM fit these frameworks rather than duplicate them.
Tailoring the Framework
Tailoring covers the terminology, the process (for example, integrating the ADM with project and operations processes), and the content (which deliverables and artifacts will be produced, and the metamodel). The Architecture Principles defined here must reflect the Enterprise Principles and the organizational context (Section 8.1).
Inputs and Outputs
| Inputs | Outputs |
|---|---|
| TOGAF Library and other architecture frameworks | Organizational Model for Enterprise Architecture — scope of organizations impacted, maturity assessment and gaps, roles and responsibilities, constraints, budget requirements, governance and support strategy |
| Board strategies, business plans, business strategy, IT strategy, business principles, business goals, and business drivers | Tailored Architecture Framework, including tailored method, tailored content, configured tools, interfaces with governance and other frameworks, and Architecture Principles |
| Major frameworks operating in the business (portfolio, project, operations, solution development) | Initial Architecture Repository |
| Governance and legal frameworks, including architecture governance strategy; partnership and contract agreements | Restatement of, or reference to, business principles, business goals, and business drivers |
| Existing organizational model, architecture framework, principles, and repository, if any | Request for Architecture Work |
| Architecture Governance Framework |
Scenario: A Public Health Agency
A public health agency with three regional offices wants consistent digital services. In the Preliminary Phase the chief architect:
- Scopes the core enterprise (national digital services), soft enterprise (regional operations), and extended enterprise (laboratories and hospitals that exchange data)
- Confirms that the agency's existing portfolio governance board will host architecture decisions instead of creating a parallel committee
- Defines a small EA team and an Organizational Model for EA with a maturity target
- Establishes Architecture Principles such as "Data is an Asset" and "Common Use Applications"
- Tailors the ADM to the agency's agile delivery method and selects a modeling tool and repository
- Issues a Request for Architecture Work for the first cycle: a shared patient-notification capability
Common Exam Pitfalls
- Developing target business models in the Preliminary Phase. Detailed domain architecture is Phases B–D; the Preliminary Phase establishes the capability.
- Mixing up the two objectives. First determine the desired capability; then establish it.
- Forgetting principles. Defining Architecture Principles is an element of establishing the capability.
- Confusing Preliminary with Phase A. Preliminary prepares the capability; Phase A starts a specific architecture cycle.
Which is one of the two objectives of the Preliminary Phase?
Which activity is an element of the Preliminary Phase objective "Establish the Architecture Capability"?
Which of the following is an output of the Preliminary Phase?
An organization notices that its architecture team lacks an agreed governance process and principles while starting a Phase A engagement. What does TOGAF allow?