TOGAF Preliminary Phase

The Preliminary Phase is essentially the foundation-setting stage of the ADM. It prepares the organization for the development and management of its enterprise architecture. This phase is crucial because it ensures that the architecture effort is aligned with the business context and strategic direction of the organization.

This Preliminary Phase is about defining “where, what, why, who, and how we do architecture” in the enterprise concerned.

Objectives of the Preliminary Phase

  1. Establish the Architecture Framework:
    • Tailor the architecture framework to the organization’s specific needs.
    • Define the scope of the enterprise architecture effort in terms of organizational breadth and depth.
  2. Obtain Commitment:
    • Secure agreement and commitment from senior management and stakeholders.
    • Communicate the importance and benefits of enterprise architecture to gain support.
  3. Establish the Architecture Capability:
    • Develop the architecture governance framework, including roles, responsibilities, and processes.
    • Define the organizational structure needed to support the architecture function.
  4. Define Architecture Principles:
    • Establish a set of guiding principles to ensure the architecture aligns with business goals and objectives.
    • These principles will govern the architecture work and ensure consistency across the organization.

Key Activities in the Preliminary Phase

Understanding the Organizational Context

  • Assess the Current State:
    • Evaluate the organization’s structure, culture, and existing processes.
    • Identify strategic drivers and key stakeholders influencing the architecture initiative.

Establishing the Architecture Framework

  • Tailor the TOGAF Framework:
    • Customize TOGAF elements to fit the specific needs of the organization.
    • Define the enterprise architecture metamodel, standards, and tools that will be used.

Architecture Governance

  • Develop Governance Framework:
    • Define decision-making processes, compliance mechanisms, and key performance indicators (KPIs).
    • Establish an Architecture Board or similar governance body to oversee the architecture work.

Defining Architecture Principles

  • Work with Stakeholders:
    • Develop a set of architecture principles covering business goals, IT alignment, interoperability, and scalability.
    • Document and communicate these principles effectively across the organization.

Setting Up the Architecture Team

  • Identify Skills and Resources:
    • Determine the skills and resources required for the architecture team.
    • Develop a training and capability development plan to ensure the team can effectively support the architecture effort.

INPUTS

These inputs help to understand the context, define the scope, and establish the necessary frameworks and governance structures. Here are the primary inputs for the Preliminary Phase

Reference Materials External to the Enterprise

  • The TOGAF Library
  • Other architecture framework(s), if required

Non-Architectural Inputs (Politics…)

  • Board strategies and board business plans, business strategy, IT strategy, business principles, business goals, and business drivers (ex. Migliorare la soddisfazione dei clienti, Espandere la quota di mercato, Ridurre i costi IT), when pre-existing
  • Major frameworks operating in the business; e.g., project/portfolio management
  • Governance and legal frameworks, including Architecture Governance strategy, when pre-existing
  • Architecture capability
  • Partnership and contract agreements

Architectural Inputs (Technical…)

Pre-existing models for operating an Enterprise Architecture Capability can be used as a baseline for the Preliminary Phase. Inputs would include:

  • Organizational Model for Enterprise Architecture (see the TOGAF Standard — Architecture Content), 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

STEPS

1. Scope the Enterprise Organizations Impacted

  • Identify core enterprise (units) — those who are most affected and achieve most value from the work
  • Identify soft enterprise (units) — those who will see change to their capability and work with core units but are otherwise not directly affected
  • Identify extended enterprise (units) — those units outside the scoped enterprise who will be affected in their own Enterprise Architecture
  • Identify communities involved (enterprises) — those stakeholders who will be affected and who are in groups of communities
  • Identify governance involved, including legal frameworks and geographies (enterprises)

2. Confirm Governance and Support Frameworks

  • Establish the architecture governance framework that fits the organization’s requirements.
  • Assess the current governance and support models to determine necessary changes.
  • Understand how architectural material is governed, including standards, guidelines, models, and compliance reports.
  • Engage with stakeholders to ensure architecture touch-points and impacts are understood and agreed upon​​​​.

3. Define and Establish Enterprise Architecture Team and Organization

  • Determine existing enterprise and business capability
  • Conduct an Enterprise Architecture/business change maturity assessment, if required
  • Identify gaps in existing work areas
  • Allocate key roles and responsibilities for Enterprise Architecture Capability management and governance
  • Define requests for change to existing business programs and projects:
    • Inform existing Enterprise Architecture and IT architecture work of stakeholder requirements
    • Request assessment of impact on their plans and work
    • Identify common areas of interest
    • Identify any critical differences and conflicts of interest
    • Produce requests for change to stakeholder activities
  • Determine constraints on Enterprise Architecture work
  • Review and agree with sponsors and board
  • Assess budget requirements

4. Identify and Establish Architecture Principles

  • Define a set of architecture principles based on business principles, critical for setting the foundation for architecture governance.
  • Ensure principles are documented, current, and communicated effectively across the organization​​​​.

5. Tailor the TOGAF Framework and, if any, Other Selected Architecture Framework(s)

In this step, determine what tailoring of the TOGAF framework is required. Consider the need for:

  • Terminology Tailoring: architecture practitioners should use terminology that is generally understood across the enterpriseTailoring should produce an agreed terminology set for description of architectural content. Consideration should be given to the creation of an Enterprise Glossary, to be updated throughout the architecture process.
  • Process Tailoring: the TOGAF ADM provides a generic process for carrying out architecture Process tailoring provides the opportunity to remove tasks that are already carried out elsewhere in the organization, add organization-specific tasks (such as specific checkpoints), and to align the ADM processes to external process frameworks and touch-points. Key touch-points to be addressed would include:
    • Links to (project and service) portfolio management processes
    • Links to project lifecycle
    • Links to operations handover processes
    • Links to operational management processes (including configuration management, change management, and service management)
    • Links to procurement processes
  • Content Tailoring: using the TOGAF Architecture Content Framework and Enterprise Continuum as a basis, tailoring of content structure and classification approach allows adoption of third-party content frameworks and also allows for customization of the framework to support organization-specific requirements

6. Develop a Strategy and Implementation Plan for Tools and Techniques

  • Identify and implement tools and techniques to support the architecture capability, reflecting the stakeholders’ requirements and the formality level needed.
  • Ensure the tools strategy aligns with the architecture maturity level and organizational capabilities​​.

OUTPUT

ARTIFACTS

Principles catalog

Describe what a “good” solution or architecture should look like. Principles are used to evaluate and agree an outcome for architecture decision points. Principles are also used as a tool to assist in architectural governance of change initiatives.