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Introduction to Phase A

Architecture Vision: Set and confirm the expectations for an enterprise architecture project

Goals: Preliminary
Develop Architecture Vision
The main goal of phase A is to set and confirm the expectations for an enterprise
architecture project. You need to build consensus with the sponsoring organization and
gain their approvals before you can continue to subsequent phases.

Define Stakeholders A
You need to identify the key stakeholders and their concerns,
and define the key requirements to be addressed. H B

Create Communications Plan


Effective communication to the stakeholders at the right time is a
critical success factor for enterprise architecture. Development of a
Requirements
Communications Plan for architecture allows for this communication G Management C
to be carried out within a planned and managed process.

Perform Capability Assessment


Its valuable to understand the capabilities of a business, their level of
maturity and the gap between the current and the desired level of maturity. F D
Create the Statement of Architecture
defines the scope and approach that will be used to complete an architec-
E
ture development cycle. In the preliminary phase the Request for Architec-
ture Work was issued from the Sponsoring Organization. In phase A, you
have to submit a statement of architecture work and secure the approval.
Copyright 2017 Visual Paradigm | All Rights Reserved 1
Develop Architecture Vision

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Phase A - Architecture Vision

Vision Mission
Principles &
Capabilities
Policies

Enterprise
Strategy Functions Processes Architecture

Technology Information
Objectives Goals

Architecture strategies deliver business-driven priorities which impact business processes, people
and technology.

Architecture principles and practices guide Provides a fast-track process for planning,
enterprise through the business, information, analysing, and executing the entire EA process
process, and technology changes necessary to to meet desired organizational objectives.
execute their strategies.

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Identify Stakeholders in Architecture Development
Find out the key stakeholders of the architecture activities as well as their key concerns:
Typically, stakeholder are people who are affected by the architecture, who have influence or power over it, or have an interest in its
successful or unsuccessful conclusion.
It might include senior executives, project organization roles, client organization roles, system developers, alliance partners,
suppliers, IT operations, customers, etc.

CIO Enterprise Architects Business Architects

System Architects Technology Architects Domain Representatives

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State their Concerns
Stakeholder Key Concerns Class Deliverables

High-level business drivers, goals, and


objectives.

CIO

Enterprise Architects

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Describe the Kind and Level of Involvement
Stakeholder Key Concerns Class Deliverables

High-level business drivers, goals, and Keep Informed


objectives.

CIO

Enterprise Architects

Keep Satisfied Key Players


Power

Minimal Effort Keep Informed

Level of Interest

Describe the kind and level of involvement for each stakeholder by specifying their classes:
Some of the stakeholders may have the power either to block or advance. Some may be interested in knowing whats going on;
others may not be so interested.
By stating the class, the team can easily see which stakeholders have the power and the authority to request changes or to stop any
initiatives, and which stakeholders are likely to support the initiative.
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State Stakeholders Interests
Stakeholder Key Concerns Class Deliverables

High-level business drivers, goals, and Keep Informed Architecture Principles


objectives.

CIO

Enterprise Architects

Select views for stakeholders:


Throughout the development cycle, different deliverables will be produced. You need to state the deliverables that the stakeholders
are interested in.

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List and Describe the Issues / Scenarios

Once youve identified the stakeholders, lets move on to ...

Project Background Issues to be addressed

Describe the project background Describe the issues and scenarios to


be addressed by the architecture
activities

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Project Background An Example

ArchiSurance was formed to take advantage of numerous synergies between the three
organizations. While the three pre-merger companies sold different types of insurance, they had
similar business models. All three sold direct to consumers and businesses through the web, email,
telephone, and postal mail channels. Although based in different cities, each was completely
housed in a modern office complex in a major metropolitan area. Each had loyal customer bases
and strong reputations for integrity, value, service, and financial stability. All three companies
were privately held by interlocking groups of institutional and individual investors.

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List of Issues An Example

The lead investors of the three companies began merger talks after they noticed that lower-cost
competitors were entering their markets, that there were new opportunities in high-growth
regions, and that each company required significant new IT investments to remain competitive.
They realized that only a larger, combined company could simultaneously control its costs,
maintain its customer satisfaction, invest in new technology, and take advantage of emerging
markets with high growth potential. The merger negotiations and regulatory approvals took 18
months, but two years ago the papers were signed and the merger was complete. The new
company offers all the insurance products of the three pre-merger companies, and intends to
frequently adjust its offerings in response to changing market conditions. Like its three
predecessors, ArchiSurance sells directly to customers via web, email, telephone, and postal mail
channels, and indirectly via intermediaries.

An important technique that may be used at various stages of the enterprise architecture,
principally the Architecture Vision and the Business Architecture phase.

They are used to help identify and to understand business needs, and thereby to derive the
business requirements that the architecture development has to address.

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Discover the Driver of Changes
by deriving them from stakeholders Improve Competitiveness

Board Customer

Sales Target Stakeholder Satisfaction Customer Satisfaction Product Portfolio Price

Profitability
Stakeholders
Represent (groups of) persons or organizations that
influence, guide, or constrain the enterprise.
Revenue Costs Drivers
Represent internal or external factors which influence the
plans and aims of an enterprise.

An understanding of strengths, weaknesses, opportunities, and threats in relation to these drivers will
help the formation of plans and aims to appropriately address these issues. Stakeholder

Driver

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Assess the Drivers to Identify the Challenges
by deriving them from stakeholders Improve Competitiveness

Profitability

Revenue Costs

Profitability
Customers Choose our
Competitors that Provide High Personnel Costs
Digital Customer Experiences

Revenue Costs

Customers Choose our High Application


Competitors with Lower
Premium Costs Maintenance Costs

E.g., using a SWOT analysis, in order to respond in the best way.


Drivers
Can originate from either inside or outside the enterprise. Internal drivers, also called concerns, are
associated with stakeholders.
Assessment

Examples of such internal drivers are customer satisfaction, compliance to legislation, or profitability.
Driver
It is common for enterprises to undertake an assessment of these drivers

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Identify Goals based on the Result of Assessments
Profitability
Customers Choose our
Competitors that Provide High Personnel Costs
Digital Customer Experiences

Revenue Costs

Customers Choose our High Application


Competitors with Lower
Premium Costs Maintenance Costs

Increase Revenue Reduce Costs Goals can also be decomposed


e.g., increase profit can be decomposed into the
goals reduce cost and increase sales.

Improve Customer Reduce


Increase Market Share Reduce Personnel Costs
Retention Maintenance Costs

Improve Customer
Introduce the Common Use of Applications
Retention

Goals represent some desired result that a stakeholder


wants to achieve
Improve Customer e.g., increasing customer satisfaction by 10%.
Driver
Retention
Goals are generally expressed using qualitative words
e.g., increase, improve, or easier.
Assessment

Improve Customer Interaction with Collected Data


Goal

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Identify High Level Requirements
Profitability
Customers Choose our
Competitors that Provide High Personnel Costs
Digital Customer Experiences

Revenue Costs

Customers Choose our High Application


Competitors with Lower
Premium Costs Maintenance Costs

Increase Revenue Reduce Costs

Improve Customer Reduce


Increase Market Share Reduce Personnel Costs
Retention Maintenance Costs

Provide Competitive
Introduce the Common Use of Applications
Premium Services

Requirement is defined as a statement of


Integrate with need that must be realized by capability,
Smart Device
a system or application components.

Improve Customer Interaction with Collected Data


Goal

Support for Smart Utilize the Insights Maintain Establish a Shared Back
Requirement
Device Integration of Customer Behaviors CRM Data Centrally Office for All Products

Capability
Digital Customer Support for Policy Support for Financial
Data Driven Insurance Administration
Management Transactions

Application Service
CRC Data Policy
Business goal must be realized by a plan or concrete change Administration Services Financial Services
Access
goal, which may or may not require a new system or Application
changes to an existing system. Component
General CRM ArchiSurance Back
System Office Suite
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Examine the Goals
Ensure that they do align with the principles. (Update of principles is allowed)

Reduce
Reduce Personnel Costs
Maintenance Costs

Introduce the Common Use of Applications

! !
Single System of Record Common Use of Applications
for Each Data Element

Principles are general rules and guidelines, intended to be enduring. Principles are strongly related to goals and requirements.

A principle is motivated by some goal.


For example, the aforementioned principle may be motivated by the goal to maintain a good reputation and/or the goal to avoid penalties.

The principle provides a means to realize its motivating goal, which is generally formulated as a guideline.

Goal

!
Principles

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Develop Communications Plan

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Developing Communication Plan

Enterprise architectures contain large volumes of


complex and inter-dependent information. Effective
communication of targeted information to the right
stakeholders at the right time is a critical success factor
for enterprise architecture. Development of a
Communications Plan for architecture allows for this
communication to be carried out within a planned and
managed process.

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Identify Stakeholders
grouped by communication requirements

Project Manager Project Lead Project Team

In order to develop an enterprise


Development of a Communications
Plan is to ensure communication
Stakeholders Project Sponsors architecture with success, effective
communication of targeted
will be carried out within a planned information, to the right stakeholders
and managed process. at the right time is very important.

First off, identify the stakeholders who


will take part in information sharing.
Enterprise architectures contain
They are typically people or groups of
large volumes of complex and
people who initiates communications,
inter-dependent information.
be accountable, be informed or be
consulted.

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Describe each type of the Communication Type
Type of Comm. Purpose Presenter Audience Time/Freqency Documentation

Kickoff Meeting Introduction of project Project Manager Project Team Start of iteration Meeting minutes
team and project. Review Team Lead
the goal of iteration.

1 List out and describe each of the communication type.

2 State the purpose of communication. In this case its to introduce

3 State the stakeholder who will present the information. Communication need not to be a face to face
conversation, or meeting. It can be a report of

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status or progress. So in such case, documents like
And state who will receive the information. progress report, project log will be created.

5 Time and frequency. When will the communication take place?

6 Documentation, which is the deliverables of communication.

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Identify the Responsibilities of Stakeholders
Once the types of communication are listed, state the responsibilities of the stakeholders.

Kickoff Meeting

Meeting Minutes R
Internal Project Status Meeting

Meeting Minutes R
Notes of Keywork items C RA
Issue Log

Issue Log A R
Project Status Reporting

Meeting Minutes

Project Status Report I I C I R


Monthly Newsletter

Newsletter I I C I R

R - Responsible A - Accountable C - Consulted I - Informed


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Confirm Business Principles, Goals, and Drivers

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Confirm the Principles, Goals, and Drivers

Business
Principles

Business Business
Goals Drivers

In the Preliminary Phase you have identified a set of business principles, goals and drivers.
Now in phase A, you have a deeper understanding about the architecture activities to be performed, you may now revise and confirm
the business principles, goals and drivers before continue.

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Develop Capability Assessment

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What is a Capability?

TOGAF defines a capability as An ability that an Organization, Person, or System Possesses.


Here are some examples of business capabilities.

Customer Care Financial Management Strategic Management

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Strategic Planning
In strategic planning it is valuable to understand the capabilities within the enterprise, especially the business and IT
capabilities, because you want to know if any capabilities needs to strengthen or add to implement the strategic and
operational changes envisages.

Here are some examples of business and IT capabilities.

For business you may have business management as a capability, which can be split further into capabilities like the
management of strategic, fiscal and accounting, risk and compliance, and performance.

From this example you can also see the difference between business functions and capabilities, which are often
confused because something an organization deliver, must be something its capable to do.

But as you can see, when considering capabilities we focus on the expertise and capacity, instead of describing pieces
of works done by an organization.

Lets also take a look at some of the IT capabilities.

We have applications and management, which involves application design and architecture, development, testing
and quality assurance and change management.

Again, capabilities are not any services or functions or development unit but the expertise it has in achieving certain
strategic needs.

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Business and IT Capabilities - Examples

Business Capabilities IT Capabilities

Business Management Applications & Management


Strategic Management Application Design & Architecture
Fiscal & Accounting Management Application Development
Risk & Compliance Management Testing & QA
Performance Management Change Management

Product Management Data Management


Product Definition Storage & Backup Services
Product Engineering
IT Planning & Service Delivery
Marketing Security & Risk Management
Market Development Innovation Management
Campaign Management Program & Project Management
Training

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Model Capabilities with ArchiMate Diagram
Business Management

Fiscal & Accounting Risk & Compliance Performance


Strategic Management
Management Management Management

Project Management Martketing Sales & Distrubtion Customer Care

Distribution Channel Customer Relation


Product Definition Market Development Customer Service
Management Management

Service Channel Customer Data


Product Engineering Campaign Management Sales Execution
Management Management

Assest Management Money Management Customer Care

Investment Strategy Investment Contract Lifecycle


Banking Management Accounts Management Claim Settlement
Management Performance Management Management

Investment Portfolio Assest Inventory Cash Flow Money Market


Contract Administration Claim Administration
Management Maintenance Management Management

Business Support

Organizational
HR Management Process Management Office Management Facility Management IT Management
Development

This is the capability map viewpoint of ArchiMate. It allows business architect to create a structured overview of the capabilities of the
enterprise.
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Specify the Risks for Business Transformation
For each capability, evaluate the following: Maturity. Is the capability mature enough to satisfy the
Business risk. Will there be any business issues arised causing by a proposed target?
target capability after the transformation?
Mitigation activities. What measures will be taken to mitigate
IT and infrastructure risk. If its an IT capability, will there be any the risks?
outstanding system or infrastructure issues caused by this
capability after the transformation?

Migration risk. Is there any risk during the transformation process?

Business Risk: High / Medium / Low

IT & Infrastructure Risk High / Medium / Low

Migration Risk: High / Medium / Low

Maturity: High / Medium / Low


Strategic Management

Migration Activities

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Develop Statement of Architecture Work

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Request for Architecture Work

The Request for Architecture Work was issued from the Sponsoring Organization in the
Preliminary Phase.

Request for
Architecture Work

Sponsoring Organization Architecture Organization

By the end of the preliminary phase, which is the previous phase, the sponsoring organization has
issued the Request for Architecture Work that states the needs of architecture development.

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Statement of Architecture Work

In this phase, you need to submit a Statement of Architecture Work based on the Principles set by
the Project Sponsors and the findings in this phase

Sponsoring Organization Architecture Organization

Statement of
Architecture Work

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Approval of This Document

As a response, you now need to submit a statement of


architecture work based on the principles set by the project
sponsors and the findings in this phase.

Review and agree the plans with the sponsors, and secure
formal approval of the Statement of Architecture Work under
the appropriate governance procedures

Gain sponsor's sign-off to proceed.

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Statement of Architecture Work - Content

Architecture project request and background

Architecture project description and scope

Stakeholders and their concerns

Communications plan

Acceptance criteria and procedures

Project plan and schedule

Approvals
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f P h a s e A
Resu l t o

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Results

Production of Deliverables: Formal approval of the Statement


of Architecture Work
Gained sponsors sign-off to
Print proceed

Architecture Vision Communication Plans

Business Principles Capability Statement for


Goal Drivers Assessment Architecture Work
Confirmation

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