Introduction
The Preliminary Phase in TOGAF 10 is the foundational step for establishing or enhancing an Enterprise Architecture (EA) Capability within an organization. This phase focuses on preparation and initiation, ensuring the architecture aligns with business directives by defining an organization-specific framework and principles. Whether you’re launching a new EA initiative or refining an existing one, this guide provides a detailed exploration of the Preliminary Phase, enriched with objectives, steps, inputs, outputs, practical examples, and tips to streamline the process effectively.
Understanding the Preliminary Phase
The Preliminary Phase sets the stage for the Architecture Development Method (ADM) by determining the desired EA Capability and establishing the organizational structures, processes, and tools needed to support it. It’s about scoping the effort, confirming governance, and tailoring TOGAF to fit your organization’s unique context—much like laying the groundwork for a building project. This phase ensures alignment with business goals and prepares the team for subsequent ADM phases.
Objectives of the Preliminary Phase
- Determine the Architecture Capability Desired by the Organization: Assess the current state, scope impacted areas, and set a maturity target.
- Establish the Architecture Capability: Define the organizational model, governance processes, tools, and principles to support EA.
Steps in the Preliminary Phase
1. Scope the Enterprise Organizations Impacted
Identify which parts of the organization—departments, teams, or business units—will be affected by the EA Capability.
Example: A retail chain scopes its online sales team, supply chain unit, and IT department for a new e-commerce architecture.
2. Confirm Governance and Support Frameworks
Review existing governance (e.g., IT policies) and legal frameworks to ensure alignment and support for EA activities.
Example: A bank confirms compliance with financial regulations like GDPR before proceeding.
3. Define and Establish the Enterprise Architecture Team and Organization
Set up the EA team, roles, and reporting structure.
Example: A healthcare provider assigns a Chief Architect, business analysts, and IT specialists to its EA team.
4. Identify and Establish Architecture Principles
Define guiding principles (e.g., “Maximize Reuse”) to steer architectural decisions.
Example: A tech startup establishes “Scalability First” as a principle for cloud-based solutions.
5. Tailor the TOGAF Framework and Other Selected Frameworks
Customize TOGAF and integrate it with frameworks like Zachman or ITIL to fit organizational needs.
Example: A government agency blends TOGAF with COBIT for enhanced IT governance.
6. Develop Strategy and Implementation Plans for Tools and Techniques
Select and deploy tools (e.g., modeling software) and plan their use.
Example: A manufacturing firm chooses Visual Paradigm Online for its EA modeling needs.
Inputs to the Preliminary Phase
- TOGAF Library: Core guidance and best practices.
- Other Frameworks: Zachman, ITIL, etc., operating in the business.
- Business Strategies: Board plans, IT strategy, goals, and drivers.
- Governance Frameworks: Legal and compliance structures.
- Existing EA Assets: Current models, methods, tools, and principles.
Example: A financial institution uses its IT strategy and existing ITIL framework as inputs to shape its EA Capability.
Outputs of the Preliminary Phase
- Organizational Model for EA: Structure and roles for the EA team.
- Tailored Architecture Framework: Customized TOGAF with principles and tools.
- Initial Architecture Repository: A starting point for EA artifacts.
- Restatement of Business Principles/Goals: Aligned business directives.
- Request for Architecture Work: Formal initiation document.
- Architecture Governance Framework: Processes for oversight.
- Architecture of the EA Capability: Blueprint for EA operations.
Example: A retailer outputs a governance framework with a five-person EA team and a repository in Visual Paradigm Online.
Step-by-Step Process with Examples
Step 1: Scope the Enterprise Organizations Impacted
Process: Map affected units and stakeholders.
Example: A telecom scopes its customer service, network ops, and billing teams for a new CRM architecture.
Tip: Use org charts to visualize impacted areas quickly.
Step 2: Confirm Governance and Support Frameworks
Process: Review policies and compliance needs.
Example: An insurer aligns with HIPAA and internal audit frameworks for data security.
Tip: Engage legal teams early to avoid compliance roadblocks.
Step 3: Define and Establish the EA Team
Process: Assign roles like Chief Architect, domain architects, and support staff.
Example: A university sets up a team with a CIO, IT manager, and academic reps.
Tip: Include cross-functional members for broader buy-in.
Step 4: Identify and Establish Architecture Principles
Process: Brainstorm and document principles tied to business goals.
Example: A logistics firm adopts “Cost Efficiency” and “Customer-Centric Design.”
Tip: Limit to 5-7 principles for clarity and focus.
Step 5: Tailor the TOGAF Framework
Process: Adapt TOGAF phases and integrate other frameworks as needed.
Example: A tech firm tweaks TOGAF’s ADM to emphasize agile sprints with Scrum elements.
Tip: Test tailoring in a pilot project before full adoption.
Step 6: Develop Strategy and Implementation Plans for Tools
Process: Select tools (e.g., ArchiMate, Visual Paradigm) and plan deployment.
Example: A healthcare provider opts for Visual Paradigm to animate EA concepts for training.
Tip: Choose cloud-based tools for flexibility and collaboration.
Practical Examples Across Industries
Retail
Scenario: Launching an omnichannel platform.
How: Scope sales and IT teams, confirm e-commerce regulations, establish a four-person EA team, set “Customer Experience” as a principle, tailor TOGAF for agility, and use Visual Paradigm Online.
Result: A tailored EA Capability ready for Phase A.
Healthcare
Scenario: Modernizing patient records.
How: Scope clinical and IT units, align with HIPAA, form a team with a Chief Architect, define “Data Security” principle, integrate ITIL, and deploy Visual Paradigm for visuals.
Result: A compliant, efficient EA foundation.
Finance
Scenario: Enhancing digital banking.
How: Scope banking and compliance teams, confirm GDPR, set up a governance board, establish “Scalability,” tailor with COBIT, and use ArchiMate tools.
Result: A robust EA Capability for digital transformation.
Manufacturing
Scenario: Optimizing supply chain.
How: Scope production and logistics, review trade laws, create a lean EA team, set “Efficiency” principle, adapt TOGAF for lean principles, and implement Visual Paradigm.
Result: Streamlined EA readiness.
Government
Scenario: Smart city initiative.
How: Scope public works and IT, align with national standards, form a cross-agency team, define “Sustainability,” blend with Zachman, and use cloud tools.
Result: A scalable EA framework.
Tips and Tricks for Success
- Start Small: Focus on a pilot area (e.g., one department) to test the EA Capability before scaling.
Example: A retailer pilots with its online team before full rollout. - Engage Stakeholders Early: Involve leaders to secure buy-in and align with business goals.
Example: A bank briefs its CEO upfront for strategic alignment. - Leverage Existing Assets: Reuse current frameworks or tools to save time.
Example: A telecom repurposes its ITIL processes. - Keep Principles Actionable: Phrase principles as clear directives (e.g., “Prioritize Cloud Solutions”).
Example: A startup uses “Embrace Innovation” to guide tech choices. - Test Tools Early: Pilot tools like Visual Paradigm to ensure they meet team needs.
Example: A university tests Visual Paradigm for collaboration ease.
Why the Preliminary Phase Matters
The Preliminary Phase is critical because it:
- Aligns EA with business strategy, ensuring relevance.
- Establishes a governance backbone, reducing risks.
- Tailors TOGAF 10’s flexibility to your organization, enhancing adoption.
- Sets a clear path for subsequent phases, avoiding rework.
Skipping or rushing this phase risks misalignment, poor governance, or tool mismatches—costly errors in complex EA initiatives.
Conclusion
The Preliminary Phase in TOGAF 10 is your launchpad for a successful Enterprise Architecture Capability, blending preparation, customization, and strategic alignment. With its structured steps—scoping organizations, confirming governance, establishing teams, defining principles, tailoring frameworks, and planning tools—it ensures your EA journey starts strong. The examples and tips in this guide, from retail to government, demonstrate how to apply this phase practically and effectively. Ready to build your EA foundation? Dive into TOGAF 10’s Preliminary Phase and set the stage for transformative architecture today!