06-Preliminary Phase

Preliminary Phase

..”where , what , why, who and how” EA is done ..

Forewords ..

As an architect once you enter into actually architecting the two companies that you would be looking for is 1. Requester / Customer : who has requested your company to look into architecting, sometimes you could be architecting your own company that makes things more easier, I personally would Evaluate Organization Context for conducting EA ask WHY , Identify and get right people involved from the customer side, look for necessary architecture documents , start identifying people who can take you to right people, set up communication channel 2. Parent Company : Your parent company is the one who has been requested by the customer , from here you might request for additional resources / architects, QA teams , Procurement Teams , work place , Travel plans etc …

When is it right time to enter Preliminary Phase

  1. Request for Architecture work
  2. Or Starting to create Architecture Capability with in Organization
  3. Or an Existing Architecture Capability is not able to address the Request of work
  4. Or Phase H , has gone through major changes and it needs re look at the entire architecture

Goals of Preliminary Architecture Phase

  • Identify the framework to be used such as TOGAF / ZACHMAN/ DODAF
  • Identify Architects, work locations, and their responsibilities
  • To define the scope and assumptions
  • Identify all the stakeholders to the Architectural Process
  • Understand and document each stakeholders Concerns, Goals and Objectives
  • Evaluate architecture tools, repositories.
  • Repository management processes to capture and maintain architecture docs
  • Identify Business Strategy, Principles, Goals and business drivers which can influence Architectural Principles
  • Architecture Principles are general rules and guidelines, and seldom amended
  • Architecture principles are a subset of IT principles that relate to architecture

Non – Architectural Inputs

  • Board strategies and board business plans, business strategy, business principles, business goals, and business drivers
  • Major frameworks operating in the business; e.g., portfolio/project management
  • Governance and legal frameworks, including architecture governance strategy
  • Budget for scoping project
  • Partnership and contract agreements
  • IT strategy

Existing Architectural Inputs

  • Scope of the organizations impacted
  • Maturity assessment, gaps, and resolution approach
  • Roles and responsibilities for architecture team(s)
  • Budget requirements
  • Governance and support strategy
  • Existing Architecture Framework
  • Existing Architecture method
  • Existing Architecture content (deliverables and artifacts)
  • Existing Architecture Principles
  • Existing Architecture Repository
  • Existing Target Architecture descriptions


  1. Scope Impact : Identify existing governance, people , organizational units and communities who are directly and indirectly impacted by the architecture process
  2. Confirm Governance : Have Governance in place, Ensure that Impacts are understood by the stake holders and agreed upon
  3. Define and set up team : Set up Team , work environment , ensure there is adequate budget for this, and this must be agreed by stake holders
  4. Establish Principles : Get principles and get this agreed by stake holders
  5. Tailor framework : Ensure that the framework is identified and agreed upon, if some one  in the stakeholder is not sure about why TOGAF then appraise them about this and get their buying in, If required see if any alterations need to be done to the proposed framework as long as it makes sense in time and effort and business goals
  6. Implementation Tools : There is no single tool to do TOGAF and architecture work , start identifying them and also the process to get it procured and budgeted


  • Scope of organizations impacted
  • Org Model – to Include Maturity assessment, gaps, and resolution approach
  • Roles and responsibilities for architecture team(s)
  • Constraints on architecture work
  • Re-use requirements
  • Budget requirements
  • Requests for change
  • Governance and support strategy
  • Tailored Architecture Framework, including:
  • Tailored architecture method, TOGAF can be chosen one as its proven to work in real life arch scenarios, it might be required to tailor it to suite the business.
  • Tailored architecture content (deliverables and artifacts)
  • Architecture Principles
  • Configured and deployed tools, including evaluation report if conducted
  • Initial Architecture Repository, populated with framework content
  • Restatement of, or reference to, Business Principles, Business Goals, and Business Drivers
  • Request for Architecture Work
  • Governance Framework

Architecture Principles – Major Deliverable

Team = Lead Architect + CIO + Architecture Board + Key Business Stake holders 1. Gather and Re-Define Enterprise Missions and Plans 2. SWOT Analysis – Strength , Weakness, Opportunities and Threat 3. External Constraints – eg Legislations or Existing Business contacts that can be constraints 4. Current Industry Trends 5. Current Systems and Technologies Used Principles = Enterprise Principles + IT Principles [IT Principles include Architecture Principles] Each Architecture Principle must have Name , Statement, Rationale , Implications Important Reference : 

Example 1. The federal government focuses on citizens Citizens’ needs determine how government functions are defined and delivered.Functions include direct services and regulating society to serve the public. Rationale The federal government exists to serve the American public who want simpler,faster, better and cheaper access to government services and information. Implications • Agencies will design and apply their business processes and services to benefit citizens, even when the services cross lines of business and agency missions • The federal government offers citizens a single, “unified” face, reducing duplicate, needlessly complex, inconsistent ways of using government services. • Citizens can access government services through various means.

Example 2: The federal government is a single, unified enterprise The federal government operates as a single enterprise with decision-making flexibility at the agency level. Rationale A single enterprise with shared strategic objectives, common governance,integrated management processes and consistent policies improves the implementation of government-wide strategies and the coordination of the delivery of agency citizen services. Implications • Government optimizes resource allocations across the enterprise to achieve common goals. • Government optimizes information across the enterprise to support services and processes. • Architectural designs integrate services for efficiency and keep autonomy of operations for effectiveness. • Architectural designs identify and accommodate distinctive (non-homogeneous) approaches to maintain important policy objectives.

Request for Architecture Work – Major Deliverable

  1. Org Sponsors, Budget Information Allocated , Available , Org Mission Statement
  2. Business Goals, Strategic Business plans
  3. Time limits
  4. Org Constraints , External Constraints
  5. Current Business and IT Systems
  6. Developing Organization and Resources available to them

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