[Preliminary Phase]

Preliminary Phase describes the preparation and initiation activities required to meet the business directive for a new enterprise architecture, including the definition of an Organization-Specific Architecture framework and the definition of principles.

                       Figure: Preliminary Phase

Preliminary Phase – Objectives:

The objectives of the Preliminary Phase are:

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 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

Preliminary Phase – Approach:

This Preliminary Phase is about defining “where, what, why, who, and how we do architecture” in the enterprise concerned. The main aspects are as follows:

• Defining the enterprise
• Identifying key drivers and elements in the organizational context
• Defining the requirements for architecture work
• Defining the Architecture Principles that will inform any architecture work
• Defining the framework to be used
• Defining the relationships between management frameworks
• Evaluating the enterprise architecture maturity

Preliminary Phase – Inputs:

This section defines the inputs to the Preliminary Phase.

Reference Materials External to the Enterprise

•        TOGAF
•        Other architecture framework(s), like Zachman or others if required

Non-Architectural Inputs

•       Board strategies and board business plans, business strategy, IT strategy, business principles, business goals, and business drivers, when pre-existing
•       Major frameworks operating in the business; e.g., portfolio/project management
•       Governance and legal frameworks, including architecture governance strategy, when pre-existing
•       Architecture capability
•       Partnership and contract agreements

Architectural Inputs

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 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

Preliminary Phase – Steps:

The TOGAF ADM is a generic method, intended to be used by a wide variety of different enterprises, and in conjunction with a wide variety of other architecture frameworks, if required. The Preliminary Phase therefore involves doing any necessary work to initiate and adapt the ADM to define an organization-specific framework.

The order of the steps in the Preliminary Phase (see below) as well as the time at which they are formally started and completed should be adapted to the situation at hand in accordance with the established architecture governance.

The steps within the Preliminary Phase are as follows:

• Scope – the Enterprise Organizations Impacted
• Confirm – Governance and Support Frameworks
• Define and Establish – Enterprise Architecture Team and Organization
• Identify and Establish – Architecture Principles
• Tailor – TOGAF and, if any, Other Selected Architecture Framework(s)
• Implement – Architecture Tools

Preliminary Phase – Outputs:

The outputs of the Preliminary Phase may include, but are not restricted to:

Organizational Model for Enterprise Architecture (see Organizational Model for Enterprise Architecture), including:

• Scope of organizations impacted
• Maturity assessment, gaps, and resolution approach
• Roles and responsibilities for architecture team(s)
• Constraints on architecture work
• Budget requirements
• Governance and support strategy

Tailored Architecture Framework (see Tailored Architecture Framework), including:

• Tailored architecture method
• Tailored architecture content (deliverables and artifacts)
• Architecture Principles (see Architecture Principles)
• Configured and deployed tools

Initial Architecture Repository (see Architecture Repository), populated with framework content

Restatement of, or reference to, business principles, business goals, and business drivers (see Business Principles, Business Goals, and Business Drivers)

Request for Architecture Work (optional) (see Request for Architecture Work)

Architecture Governance Framework (see Architecture Governance Framework)