Preliminary phase describes the preparation and initiation activities required to meet the business directive for a new Enterprise Architecture, including the definition of an Organization-Specific Architecture framework and the definition of principles.

I will follow TOGAF structure to describe ADM phases:

1. Objectives
2. Inputs
3. Steps
4. Outputs
5. Approach

Preliminary Phase Objectives

The objectives of the Preliminary Phase are to:

1. Determine the Architecture Capability desired by the organization:

   • Review the organizational context for conducting Enterprise Architecture
   • Identify and scope the elements of the enterprise organizations affected by the Architecture Capability
   • Identify the established frameworks, methods, and processes that intersect with the Architecture Capability
   • Establish Capability Maturity target

2. Establish the Architecture Capability:

   • Define and establish the Organizational Model for Enterprise Architecture
   • Define and establish the detailed process and resources for Architecture Governance
   • Select and implement tools that support the Architecture Capability
   • Define the Architecture Principles

Preliminary Phase Inputs

• Reference Materials External to the Enterprise

• Non-Architectural Inputs

  • Board strategies and board business plans, business strategy, IT strategy, business principles, business goals, and business drivers, when pre-existing
  • Major frameworks operating in the business; e.g., project/portfolio management
  • Governance and legal frameworks, including Architecture Governance strategy, when pre-existing
  • Architecture capability
  • Partnership and contract agreements

• Architectural Inputs

  • Organizational Model for Enterprise Architecture, including:
    • Scope of organizations impacted
    • Maturity assessment, gaps, and resolution approach
    • Roles and responsibilities for architecture team(s)
    • Budget requirements
    • Governance and support strategy
  • Existing Architecture Framework, if any, including:
    • Architecture method
    • Architecture content
    • Configured and deployed tools
    • Architecture Principles
    • Architecture Repository

Preliminary Phase Steps

The steps within the Preliminary Phase are as follows:

1. Scope the Enterprise Organizations Impacted
2. Confirm Governance and Support Frameworks
3. Define and Establish Enterprise Architecture Team and Organization
4. Identify and Establish Architecture Principles
5. Tailor the TOGAF Framework and, if any, Other Selected Architecture Framework(s)
6. Develop a Strategy and Implementation Plan for Tools and Techniques

Preliminary Phase Outputs

The outputs of the Preliminary Phase may include, but are not restricted to:

• Organizational Model for Enterprise Architecture, including:

  • Scope of organizations impacted
  • Maturity assessment, gaps, and resolution approach
  • Roles and responsibilities for architecture team(s)
  • Constraints on architecture work
  • Budget requirements
  • Governance and support strategy

  • Tailored Architecture Framework, including:

  • Tailored architecture method

  • Tailored architecture content (deliverables and artifacts)
  • Architecture Principles
  • Configured and deployed tools

• Initial Architecture Repository, populated with framework content

• Restatement of, or reference to, business principles, business goals, and business drivers
• Request for Architecture Work (optional)
• Architecture Governance Framework

The outputs may include some or all of the following:

• Catalogs:
  • Principles catalog

Preliminary Phase Approach

Preliminary Phase is about defining "where, what, why, who, and how we do architecture" in the enterprise. The main aspects are as follows:

• Defining the enterprise
• Identifying key drivers and elements in 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 maturity

References

You can find more information in The Open Group website. Specially in TOGAF "Part II - Architecture Development Method", chapter 5 Preliminary Phase

• Architecture Principles
• Architecture Maturity Models
• TOGAF template deliverables - Set 1
• TOGAF template deliverables - Set 2