Preliminary Phase Objectives

TOGAF 10 Foundation: Preliminary Phase Objectives - Complete Guide

Understanding the Preliminary Phase Objectives

The Preliminary Phase is the starting point of the TOGAF Architecture Development Method (ADM) cycle. It establishes the organizational context, secures commitment, and prepares the groundwork for the entire architecture engagement. Understanding the objectives of this phase is critical for TOGAF Foundation certification.

Why the Preliminary Phase is Important

The Preliminary Phase serves as the foundation for all subsequent architecture work. Without proper preliminary activities, the entire architecture engagement may lack direction, organizational support, or clear scope. This phase is important because it:

• Establishes the business context and drivers for the architecture work
• Secures organizational commitment and sponsorship
• Defines the scope and constraints of the architecture engagement
• Identifies key stakeholders and their concerns
• Establishes governance and organizational structures
• Prepares the organization for change management
• Allocates necessary resources and budgets

What Are the Preliminary Phase Objectives?

The Preliminary Phase has eight key objectives that must be accomplished:

1. Establish the Architecture Capability

This involves determining what level of architecture maturity currently exists in the organization and what improvements are needed. It includes assessing existing architecture resources, skills, and tools.

2. Establish the Architecture Governance

Governance structures, decision-making frameworks, and approval processes must be clearly defined. This ensures that architecture decisions have appropriate authority and accountability.

3. Confirm Business Goals, Business Drivers, and Constraints

A clear understanding of why the architecture work is being undertaken is essential. This includes understanding the strategic direction, competitive pressures, regulatory requirements, and organizational constraints.

4. Confirm and Prioritize Architecture Work Statements

Define what architecture work will be performed. This may include multiple architecture projects or iterations of the ADM cycle.

5. Secure Architecture Sponsorship and Funding

Executive and financial commitment must be obtained for the architecture initiative. Without proper sponsorship and budget allocation, the engagement cannot proceed effectively.

6. Define and Organize the Architecture Team

The right team composition is critical. This includes identifying roles, responsibilities, and ensuring the team has necessary skills and authority.

7. Define the Architecture Principles

Establish principles that will guide architectural decisions throughout the engagement. These principles provide consistency and alignment with business objectives.

8. Define the Architecture Vision

Although detailed in Phase A, a preliminary vision of what the architecture will achieve helps guide the more detailed work that follows.

How the Preliminary Phase Works

The Preliminary Phase operates in a systematic way:

Step 1: Understand the Organization

Begin by understanding the organizational structure, culture, and current state. Conduct interviews with key stakeholders and leadership to understand their perspectives and concerns.

Step 2: Define Scope and Constraints

Work with stakeholders to clearly define what is in and out of scope for the architecture work. Identify any constraints such as budget, timeline, or technology limitations.

Step 3: Secure Sponsorship

Present the business case to executive leadership. Demonstrate the value and necessity of the architecture work. Secure formal sponsorship and commitment from senior management.

Step 4: Allocate Resources

Determine what resources (people, budget, tools) are needed and ensure they are allocated. Identify the architecture team members and define their roles.

Step 5: Establish Governance

Set up the governance structure. Define decision-making processes, approval authorities, and oversight mechanisms.

Step 6: Define Principles and Policies

Develop architecture principles that will guide decision-making. These should be aligned with business goals and organizational culture.

Step 7: Prepare for Change

Begin planning for change management. Identify potential resistance and develop strategies to manage organizational change.

Step 8: Plan Detailed Architecture Work

Create a detailed plan for the architecture work that will follow. This becomes the baseline for subsequent phases.

Key Outputs of the Preliminary Phase

Successful completion of the Preliminary Phase produces several important outputs:

• Architecture Charter: Formal authorization for the architecture work
• Architecture Principles: Guiding rules for architectural decisions
• Business Goals and Drivers: Clear statement of why the work is being done
• Stakeholder Map: Identification of key stakeholders and their interests
• Architecture Team Definition: Roles, responsibilities, and team structure
• Architecture Governance: Decision-making structures and processes
• Request for Architecture Work: Formal request or mandate for the architecture engagement

How to Answer Exam Questions on Preliminary Phase Objectives

Question Type 1: Identifying the Correct Objective

Example: Which of the following is a primary objective of the Preliminary Phase?

Strategy: The question is asking you to identify one of the eight objectives listed above. Look for answers that relate to establishing foundations, securing commitment, or defining scope. Eliminate answers that focus on detailed architecture design, as that happens in later phases.

Question Type 2: Sequencing and Prioritization

Example: In what sequence should the preliminary phase activities typically be performed?

Strategy: Remember the logical flow: understand the organization first, then secure sponsorship, then allocate resources, then establish governance. Sponsorship must come before detailed team definition, as the sponsor confirms the team.

Question Type 3: Matching Activities to Objectives

Example: Which activity best demonstrates achievement of establishing architecture governance?

Strategy: Look for answers that mention decision-making structures, approval processes, oversight mechanisms, or governance frameworks. Activities about defining team members alone would not address governance.

Question Type 4: Stakeholder and Scope Questions

Example: Why is confirming business goals and drivers particularly important in the Preliminary Phase?

Strategy: This ensures all subsequent architecture work is aligned with business needs. Without this clarity, architecture decisions may not support business objectives.

Exam Tips: Answering Questions on Preliminary Phase Objectives

Tip 1: Remember the Eight Objectives

Memorize the eight key objectives. Create a mnemonic device or flashcards to help retention. Most exam questions will ask you to identify or explain one of these eight objectives.

Tip 2: Understand the Purpose, Not Just the Name

Don't just memorize the objective titles. Understand why each objective matters and what activities fulfill it. For example, "Establish Architecture Governance" is not just about creating a structure; it's about ensuring decisions have authority and accountability.

Tip 3: Distinguish Preliminary Phase from Phase A

A common confusion point is mixing up Preliminary Phase objectives with Phase A (Vision) objectives. Preliminary Phase is about preparation and establishing prerequisites; Phase A is about defining the target architecture vision. If a question asks about "defining detailed target architectures," that's Phase A, not Preliminary.

Tip 4: Look for Keywords in Questions

Questions on this topic often use keywords like "establish," "prepare," "secure," "confirm," and "define." These indicate foundational work rather than detailed architecture design.

Tip 5: Focus on Organizational Context

The Preliminary Phase is heavily focused on understanding and preparing the organization. If a question asks about organizational readiness, stakeholder identification, or securing commitment, you're likely dealing with Preliminary Phase objectives.

Tip 6: Remember That Preliminary Phase is Not Optional

Be aware that some questions test whether candidates understand that the Preliminary Phase must be executed for every architecture engagement. It's not a phase that can be skipped or abbreviated without significant risk.

Tip 7: Connect Objectives to Business Value

When answering questions about why specific objectives matter, frame your answer in terms of business value and organizational success. The Preliminary Phase enables better architecture outcomes by ensuring proper foundation-setting.

Tip 8: Recognize Dependencies Between Objectives

Understand that some objectives are dependent on others. For example, you cannot effectively "define the architecture team" until you have "secured sponsorship and funding." Questions may test whether you understand these logical dependencies.

Tip 9: Study Outputs and Artifacts

Familiarize yourself with the outputs of the Preliminary Phase (listed above). Questions often ask which document or artifact demonstrates achievement of a particular objective. For example, the Architecture Charter demonstrates achievement of securing sponsorship and establishing governance.

Tip 10: Practice Scenario-Based Questions

When studying, create hypothetical scenarios: "If an organization lacks executive sponsorship for architecture work, which Preliminary Phase objective has not been achieved?" This type of thinking will help you answer applied questions on the exam.

Common Misconceptions to Avoid

• Misconception: The Preliminary Phase produces a detailed target architecture. Reality: It establishes the foundation and context for architecture work; detailed target architecture is developed in Phase A and beyond.
• Misconception: Preliminary Phase objectives are the same for every organization. Reality: While the eight objectives are standard, how they're achieved varies based on organizational context and maturity.
• Misconception: Once the Preliminary Phase is complete, governance is permanently established. Reality: Governance structures may be refined as the organization gains experience with architecture practices.
• Misconception: Preliminary Phase is only about administrative setup. Reality: It's about strategic foundation-setting that determines the success of the entire architecture engagement.

Summary

The Preliminary Phase Objectives in TOGAF provide the essential foundation for successful architecture work. By understanding each of the eight objectives, how they interconnect, and why they matter, you'll be well-prepared to answer exam questions confidently. Remember that the Preliminary Phase is about preparation, establishing context, securing commitment, and creating the conditions for architecture success. Focus on the strategic and organizational dimensions, and you'll master this critical topic.