Phase A Objectives and Approach - TOGAF 10 Foundation Guide

Phase A Objectives and Approach - Complete Guide

Why Phase A Objectives and Approach is Important

Phase A Objectives and Approach forms the foundation of the entire Enterprise Architecture engagement. Understanding this phase is critical because:

• Sets the Direction: It establishes clear goals and scope for the architecture work, ensuring stakeholders have aligned expectations.
• Ensures Governance: It defines how the architecture effort will be governed, managed, and controlled throughout the ADM cycle.
• Manages Risks: Early identification of constraints, assumptions, and risks prevents costly rework later.
• Stakeholder Alignment: Getting buy-in and agreement on objectives ensures organizational support for architecture initiatives.
• Resource Planning: Clear objectives help determine what resources, skills, and budget are needed.
• Exam Requirement: This is a fundamental concept tested extensively in TOGAF 10 Foundation exams.

What is Phase A Objectives and Approach?

Phase A is the Preliminary Phase of the TOGAF ADM (Architecture Development Method). It is the starting point before the architecture development formally begins. Phase A Objectives and Approach specifically refers to:

The definition of:

• Why the architecture work is being undertaken
• What the business problem or opportunity is
• How the architecture engagement will be conducted
• Who the stakeholders are
• What constraints and assumptions exist
• What resources and governance structures are required

This phase answers fundamental questions like:

• What is the business case for this architecture work?
• What are the success criteria?
• How will we measure effectiveness?
• What is the scope of the architecture engagement?
• What organizational framework supports this work?

How Phase A Objectives and Approach Works

Key Activities:

1. Establish the Architecture Engagement

• Define and document the scope of the architecture work
• Identify the business problem or driver
• Establish high-level business objectives
• Identify key stakeholders and their concerns

2. Identify the Approach

• Select the appropriate ADM method (full cycle, iterative, etc.)
• Determine the phase-in approach
• Establish governance and decision-making structures
• Define how stakeholder input will be gathered and managed

3. Define Assumptions and Constraints

• Document technical constraints (legacy systems, technology standards)
• Record business constraints (budget, timeline, organizational structure)
• List assumptions about the business and technology environment
• Identify risks that might impact the engagement

4. Establish the Architecture Framework

• Select the architecture framework to be used (TOGAF ADM is the primary one)
• Define tailoring of the framework
• Establish architecture governance
• Define the architecture repository

Key Inputs:

• Business strategy and objectives
• Organizational context and structure
• External business environment
• Request for Architecture Work (RfAW)
• Architecture governance framework

Key Outputs:

• Approved Statement of Architecture Work
• Refined business objectives
• Architecture Principles
• Tailored ADM and framework documentation
• Architecture project plan
• Stakeholder management plan
• Compliance assessment

Core Concepts in Phase A Objectives and Approach

Statement of Architecture Work (SoAW):

• The primary output of Phase A Preliminary
• Formally documents the scope, objectives, and constraints
• Must be approved by key stakeholders and sponsors
• Serves as the contract for the architecture engagement

Architecture Principles:

• High-level statements of intent and direction
• Guide decision-making throughout the architecture effort
• Should be derived from business objectives
• Examples: modularity, reusability, interoperability

Architecture Governance:

• Describes how architecture decisions will be made
• Establishes the board or committee structure
• Defines roles and responsibilities
• Sets escalation procedures

Stakeholder Management:

• Identifying all parties affected by or interested in the work
• Understanding their concerns and priorities
• Planning communication and engagement strategies
• Maintaining engagement throughout the engagement

How to Answer Questions About Phase A Objectives and Approach

Common Question Types and Approaches

Type 1: Definition and Purpose Questions

Example: "What is the primary purpose of defining Phase A Objectives and Approach?"

Approach:

• Look for keywords like "establish," "define," "set direction"
• Remember this is about alignment and agreement before work starts
• The answer should focus on preparation and planning
• Typical correct answer: To establish the scope, objectives, and governance of the architecture engagement

Type 2: Content and Components Questions

Example: "Which of the following is NOT a typical component of the Statement of Architecture Work?"

Approach:

• Know what goes into the SoAW: scope, objectives, constraints, assumptions, resources needed, governance
• Exclude items that belong in later phases (like detailed technical specifications)
• Remember SoAW is high-level and strategic, not tactical

Type 3: Process and Activities Questions

Example: "In Phase A, when would stakeholders be identified?"

Approach:

• Stakeholder identification happens early in Phase A
• This allows their concerns to be incorporated into planning
• The answer typically is "at the beginning of Phase A Preliminary"

Type 4: Output and Deliverable Questions

Example: "Which document must be approved before the architecture engagement can proceed?"

Approach:

• The Statement of Architecture Work (SoAW) is the critical gate
• Must have stakeholder and sponsor approval
• This is the formal authorization to proceed

Type 5: Governance and Decision-Making Questions

Example: "How are architecture decisions governed according to the approach defined in Phase A?"

Approach:

• Phase A establishes the governance structure
• Look for answers related to boards, committees, and decision-making authority
• Remember governance is defined but detailed decisions come in later phases

Exam Tips: Answering Questions on Phase A Objectives and Approach

Tip 1: Remember TOGAF Terminology

• Use exact terminology: "Statement of Architecture Work" not "architecture charter"
• Use "Architecture Principles" not just "principles"
• Use "ADM" when referring to the method, not "the process"
• Familiarize yourself with TOGAF-specific terms and use them consistently

Tip 2: Focus on Purpose Over Process

• Exam questions often ask "why" more than "how"
• Understand that Phase A is about preparation and alignment
• Don't confuse Phase A activities with Phase B (Business Architecture) activities
• The focus is setting the stage, not building the architecture

Tip 3: Understand the Approval Gate

• The Statement of Architecture Work must be approved to proceed
• Questions often ask what triggers progression to Phase B
• The answer is usually "approval of the SoAW" or "stakeholder agreement"
• Remember this is a formal gate, not informal agreement

Tip 4: Know the Stakeholder Management Aspect

• Phase A heavily emphasizes stakeholder identification and engagement
• Questions about "who decides" or "whose input is needed" are likely
• The architecture board or similar governance structure makes decisions
• Sponsors and stakeholders approve high-level direction

Tip 5: Distinguish Between Preliminary and Vision Phases

• Phase A Preliminary is about establishing the engagement (general and foundational)
• Phase A Vision develops the target architecture vision
• Preliminary is broader and foundational; Vision is more specific to the architecture
• Don't mix up outputs from these two sub-phases

Tip 6: Remember the Architecture Principles

• These are derived from business objectives
• They're established in Phase A, not created in later phases
• They guide all subsequent architecture decisions
• Questions might ask what principles do or where they fit

Tip 7: Constraint vs. Assumption vs. Risk

• Constraints: Fixed limitations (budget, timeline, technology already in place)
• Assumptions: Things believed to be true but not verified (market growth, technology stability)
• Risks: Things that might go wrong (key personnel leaving, budget cuts)
• Questions may ask you to classify items correctly

Tip 8: Know What Phase A Does NOT Do

• Phase A does NOT develop detailed business, information, or technical architectures
• Phase A does NOT finalize all stakeholder input (ongoing process)
• Phase A does NOT make all tactical decisions
• Phase A sets the stage for these activities in later phases

Tip 9: Governance Framework Understanding

• Questions may ask about governance structure defined in Phase A
• Know that this includes architecture board, steering committee, working groups
• Remember governance applies to the architecture effort itself, not just to IT
• Governance oversees the entire ADM cycle

Tip 10: Connect to Business Strategy

• Phase A objectives must be tied to business strategy
• Questions often ask how business drivers translate to architecture objectives
• The answer involves understanding business context first
• Don't answer with purely technical solutions; connect to business value

Tip 11: Read for Scope and Exclusion

• Questions about scope may include what's in and what's out
• Understand that scope defines boundaries of the architecture work
• Scope might be organization-wide, division-wide, or project-specific
• Scope affects all subsequent phases

Tip 12: Practical Application in Exams

• When you see a scenario, identify: What is the business driver? Who are stakeholders? What constraints exist?
• Then match to Phase A activities and outputs
• Look for keywords: "establish," "define," "document," "approve," "align"
• These suggest Phase A activities

Tip 13: Practice With Real Scenarios

• Use case studies to understand how Phase A works in practice
• Think about how objectives would differ for different organizations
• Consider how constraints might affect approach selection
• This contextual understanding helps with scenario-based questions

Tip 14: Avoid Common Pitfalls

• Don't confuse Phase A Preliminary with Phase A Vision
• Don't assume detailed technical decisions are made in Phase A (they're not)
• Don't think stakeholder management ends in Phase A (it's ongoing)
• Don't forget that the SoAW must be formally approved

Tip 15: Review TOGAF Core Model

• Understand where Phase A sits in the overall ADM cycle
• Know what comes before (trigger/request) and after (Phase B)
• Understand how Phase A outputs feed into subsequent phases
• This contextual knowledge helps with many exam questions

Summary: Key Takeaways

Phase A Objectives and Approach is fundamentally about:

• Alignment: Getting stakeholder agreement on why and how the architecture work will proceed
• Planning: Establishing the roadmap, resources, and governance for the engagement
• Risk Management: Identifying and documenting constraints, assumptions, and risks upfront
• Authorization: Getting formal approval to proceed with the architecture engagement
• Foundation: Setting the direction that guides all subsequent architecture phases

To excel on exam questions about Phase A Objectives and Approach, focus on understanding the purpose, key outputs (especially the Statement of Architecture Work), and how this phase enables all subsequent architecture work. Remember that this is about preparation and strategic alignment, not detailed technical work.