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TOGAF Preliminary Phase

Establishes the architecture capability, principles, and governance framework before starting the ADM cycle.

Purpose

The Preliminary Phase prepares the organization for successful architecture work by:

  • Framework Tailoring: Adapting TOGAF to organizational context
  • Architecture Principles: Defining guiding principles for decisions
  • Governance Structure: Establishing architecture governance
  • Capability Assessment: Evaluating current architecture maturity
  • Stakeholder Buy-In: Securing commitment to architecture practice

This phase runs once to set up the architecture capability, then Phase A begins.

When to Use

Invoke this skill when:

  • Establishing enterprise architecture practice for the first time
  • Resetting or improving architecture governance
  • Defining architecture principles for an organization
  • Setting up architecture team structure and processes
  • Needing formal architecture framework adoption

Trigger phrases: 

"Set up TOGAF for this organization"
"Define architecture principles"
"Establish architecture governance"
"Prepare for TOGAF ADM"
"Create architecture capability framework"

How This Skill Works

This is a foundation-setting skill. When invoked:

Option 1: Quick Setup (Code-Focused)

For software projects wanting lightweight architecture governance: 1. Define 5-7 core architecture principles 2. Document decision-making process 3. Skip formal governance structure

Option 2: Full Enterprise Setup

For organizations establishing formal architecture practice: 1. Complete capability assessment 2. Full governance framework 3. Tailored TOGAF methodology 4. Stakeholder engagement plan

Deliverables

Artifact Purpose Required
Architecture Principles Guiding principles for architecture decisions Yes
Tailored Architecture Framework Adapted TOGAF methodology for context Optional
Architecture Governance Framework Decision-making and compliance processes Optional
Architecture Capability Assessment Current maturity and gaps Optional
Architecture Repository Structure How artifacts are organized and stored Optional

Key Concepts

Architecture Principles

Principles guide architecture decisions consistently. Good principles are:

  • Understandable: Clear to all stakeholders
  • Robust: Apply across many situations
  • Complete: Cover key concerns
  • Consistent: Don't contradict each other
  • Stable: Don't change frequently

Categories: | Category | Focus | |----------|-------| | Business Principles | Alignment with business strategy | | Data Principles | Data ownership, quality, sharing | | Application Principles | Application design and integration | | Technology Principles | Infrastructure and platform choices |

Governance Framework

Architecture governance ensures: - Decisions align with principles - Exceptions are formally handled - Compliance is monitored - Architecture evolves appropriately

Architecture Repository

Where architecture artifacts live: - Principles and standards - Reference architectures - Architecture decisions (ADRs) - Current and target state models - Compliance records

Integration with Other Skills

Skill Integration
arch-analysis Provides baseline for capability assessment
software-design Principles feed into design decisions
tech-stack-decisions Technology principles guide evaluations
All TOGAF phases Preliminary outputs guide all phases

Workflow Position

Preliminary Phase (once)
    ↓
[Architecture Capability Established]
    ↓
Phase A: Vision (per initiative)
    ↓
Phase B-H: Architecture Development

When to Skip

Skip formal Preliminary Phase when:

  • Small team/project (< 10 engineers)
  • No enterprise-wide architecture concerns
  • Principles already well-established
  • Focus is on single system, not enterprise

Instead, define lightweight principles directly in Phase A.

Outputs Feed Into

  • All ADM Phases: Principles guide decisions
  • Phase A (Vision): Scope governance applies
  • Phase G (Governance): Compliance framework used
  • Phase H (Change): Change management processes

Quick Start

For lightweight setup: 1. See templates.md for Architecture Principles template 2. Define 5-7 core principles 3. Document in project's docs/architecture/ folder 4. Proceed to Phase A

For full enterprise setup: 1. Complete Architecture Capability Assessment 2. Define comprehensive principles (all categories) 3. Establish governance framework 4. Set up architecture repository 5. Get stakeholder approval 6. Proceed to Phase A

References