TOGAF 9 Training

ADM - Preliminary Phase

Version 1.1
 Preliminary Phase
Module Structure

Overview of the Preliminary Phase

Who & Where
Sponsor and Stakeholders
Architecture Team and Organisation
What & How
Tailored Architecture Framework
Repository and Governance
Organisational Integration
Why
Initial Principles and Objectives

Note: Many of these topics are revisited in more depth later in the course.

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 Preliminary Phase
Module Description

Aim: The preliminary phase is about defining ‘‘where, what, why, who, and
how we do architecture’’.
An enterprise architecture practice must be run like any other operational
unit within a business.
The Preliminary phase therefore involves doing any necessary work to
initiate and adapt the ADM to define an organization-specific framework.
The overall significance is that the enterprise architect applying TOGAF
cannot narrowly focus on the IT implementation, but be aware of the
impact that the architecture has on the entire enterprise.
The definition of architecture principles is fundamental to the development
of an enterprise architecture. However this need only be an initial pass.
More detail will be added in the phase A of the ADM cycle.

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 Preliminary Phase
Overview
Aim: The preliminary phase is about defining ‘‘where, what, why, who, and how we do
architecture’’.

• The preliminary phase describes the

preparation and initiation activities
required in order to prepare to meet the
business directive for a new enterprise
architecture, including the definition of an
organization-specific architecture
framework and the definition of principles.
• The main aspects are as follows:
• Defining the enterprise.
• Understanding 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
Tip: When using an iterative process for maturity.
architecture development, the activities
within the Preliminary phase may be
revisited a number of times.

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 Preliminary Phase
Who & Where - Sponsor and Stakeholders

“IT is a business function that horizontally cuts across all parts of the enterprise. The CIO
mandate and the ever-increasing criticality of IT require a strategic perspective from the outset”.

Stakeholders
Sponsor Determine those stakeholders
who will derive most benefit from
the enterprise architecture.
Ensure that all stakeholders are
included in some part in the
resultant architecture work,
definitions, and work products.

Enterprise scope / impact

It is imperative that a
sponsor is appointed at this The enterprise may
stage to ensure that the encompass many
resultant activity has organizations.
resources to proceed and Scope the enterprise
the clear support of the organizations impacted.
business management.

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 Preliminary Phase
Who & Where - Architecture Team and Organisation
“In order to carry
out architectural
activity effectively
within an
enterprise, it is
necessary to put in
place an
appropriate
business capability
for architecture,
through
organization
structures, roles,
responsibilities,
skills, and
processes”.

An enterprise
architecture practice
must be run like any
other operational
unit within a
business.

© 2009 Capgemini - All rights reserved 6

 Preliminary Phase
What & How - Tailored Architecture Framework
“As a generic method, the ADM is intended to be used by enterprises in a wide variety of
different geographies and applied in different vertical sectors / industry types. As such, it may be
tailored to specific needs”

Content Tailoring
Using the TOGAF architecture content framework as a basis,
tailoring of content structure and classification approach allows
for customization of the framework to support organization-
specific requirements.

Example:
• The enterprise is very large and complex,
comprising many separate but interlinked
‘‘enterprises’’ within an overall collaborative
business framework.
• The enterprise is a small-to-medium enterprise,
and wishes to use a ‘‘cut-down’’ method more
attuned to the reduced level of resources and
system complexity typical of such an
environment.
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 and to align the
ADM processes to external process frameworks and
touchpoints.
Terminology Tailoring
As much as is possible, architecture practitioners should use
terminology that is generally understood across the
enterprise.

The Preliminary phase therefore involves doing any necessary work to initiate and adapt the
ADM to define an organization-specific framework.
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 Preliminary Phase
What & How - Repository and Governance
“The management of all architectural artefacts, governance, and related processes should be
supported by a managed environment. Typically this would be based on one or more repositories
supporting versioned object and process control and status”.

Tools
Repository
Reference architectures,
Models
Patterns
Architectural work
Partitioning
Architecture teams
Processes
Deliverables.
Governance
Governance repository characteristics
Relationships and status recording
Governance process (dispensation,
compliance, take-on, retirement, etc.)
Ownership of architectural artefacts.

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 Preliminary Phase
What & How - Organisational Integration
“Developing the enterprise architecture is not a solitary activity and the enterprise architects
need to recognize the interoperability between their frameworks and the rest of the business”

• Identify touch-points with other

organizations, processes, roles,
and responsibilities.
• The architecture touch-points
and likely impacts should be
understood and agreed by
relevant stakeholders.
• Understand current processes
that support execution of
change and operation of IT,
including the structure of the
process and also the level of
rigor and formality applied
within the organization.

The overall significance is that the enterprise architect applying TOGAF cannot narrowly focus on
the IT implementation, but be aware of the impact that the architecture has on the entire
enterprise.
© 2009 Capgemini - All rights reserved 9
 Preliminary Phase
Why - Initial Principles and Objectives
Consider the objectives of architecture work, and begin to collate an initial set of architecture
principles.

It may be possible for the set of architecture principles to

also restate, or cross-refer to a set of:
• Business principles
• Business goals
• Strategic business drivers

Sources of
Principles
The intentions and culture of the
organization, as captured within:
• Board business directives
Strategies • Business imperatives
Governance and legal frameworks • Business strategies
• Business principles
Budgets • Business goals
Contracts • Business drivers.

The definition of architecture principles is fundamental to the development of an enterprise

architecture. However this need only be an initial pass. More detail will be added in the phase A of
the ADM cycle.
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Preliminary Phase Deliverables
 Preliminary Phase
Deliverables
Deliverables that can be produced during this phase
Deliverable Purpose Typical Contents
Name
Organizational Defines the correct organisation, roles and •Scope of organizations impacted
Model for responsibilities within the enterprise, including •Maturity assessment, gaps, and resolution
Enterprise boundaries between different enterprise
Architecture architecture practitioners and the governance •Roles and responsibilities for architecture team(s)
relationships that span across these boundaries. •Constraints on architecture work incl. budget
•Governance and support Strategy
Tailored Ensures that the TOGAF framework is tailored for •Tailored architecture method
Architecture integration into the enterprise (or project). •Tailored architecture content (deliverables and
Framework artefacts)
Ensures alignment with other contextual factors for
the enterprise, such as culture, stakeholders, •Configured and deployed tools
commercial models for EA, and the existing level of
architecture capability. •Interfaces with governance models & frameworks

Architecture Acts as a holding area for all architecture related •Architecture Framework
Repository projects. •Standards Information Base
Allows projects to manage their deliverables, locate •Architecture Landscape & Ref Architectures
re-usable assets, and publish outputs to
stakeholders and other interested parties. •Governance Log

Request for Triggers the commencement of architecture work •Organization sponsors & mission statement
Architecture within an particular context. •Strategic & Business goals (and changes)
Work
•Changes in the business environment
•Organizational, financial and external constraints
•Current business/architecture/IT descriptions
•Developing organisation/resources description
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 Preliminary Phase
Summary of Inputs & Outputs

• Governance
• Project
Management Existing Existing Business TOGAF and/or Partnership and Existing Existing Organisational
• Legal Business and IT Strategies other existing Contract Architecture Model for Enterprise
Frameworks Architecture Agreements Principles Architecture
Frameworks

Existing Building Capability KPIs and Communications

Blocks and Assessment Metrics Plan
Repository Content
Architecture
Repository
• Initial setup
A.
• Tailored Architecture Preliminary Architecture
Framework Request for Vision Approved Statement
Architecture Work of Architecture Work

Organisational Model for Business Principles, Architecture Tailored Architecture Architecture

Enterprise Architecture Goals, Drivers Principles Framework (for project) Vision

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 Preliminary Phase
Module Summary

Who and Where

Sponsor and Stakeholders
Architecture Team and Organisation

What and How

Tailored Architecture Framework
Repository and Governance
Organisational Integration

Why
Initial Principles and Objectives

© 2009 Capgemini - All rights reserved 14