ADM phases - Preliminary & Architect Vision

 👉 You are the newly appointed Enterprise Architect at the bank.

Your assignment: lead the Retail Bank’s Digital Transformation using TOGAF 10 ADM.

I’ll walk you through your role, responsibilities, decisions, documents, and conversations for each of the first two phases (Preliminary + A).
This way you can see yourself in the EA chair and know exactly what to do.

---

🏛 Phase P — Preliminary (you set up the “rules of the game”)

Your Role:

• You are setting up the Enterprise Architecture function.

• No transformation starts without principles, governance, and structure.

---

🎯 Objectives (your mandate)

• Establish the EA capability for the bank.

• Define how decisions will be made (governance).

• Document guiding principles.

• Prepare repository & tools.

---

👣 What You Actually Do

1. Meet Executives (CIO, COO, CISO, Head of Retail, Compliance):

   • You ask: “What are the bank’s strategic priorities for the next 5 years?”

   • CIO replies: “We must go digital, reduce cost-to-serve, and meet regulator demands.”

   • Compliance adds: “Data residency rules require local hosting.”

2. Scope EA Coverage:

   • You decide transformation will start with retail banking (savings, loans, credit cards).

   • Corporate & treasury are out of scope for now.

3. Define Architecture Principles:

   • You run a workshop and document:

     • Customer-First → every project must improve CX.

     • Cloud-First but Compliant → use cloud if regulator allows.

     • Security by Design → controls baked into every design.

     • Data as an Asset → single customer view across products.

4. Establish Architecture Governance:

   • Create Architecture Board chaired by CIO.

   • Define that all solution designs must go through a compliance review checkpoint.

   • Tailor TOGAF ADM to align with the bank’s Agile program.

5. Set Up EA Repository & Tools:

   • Choose ArchiMate for modeling.

   • Create folders/templates in the repository: Principles, Capability Maps, Definition Docs.

---

📤 Deliverables You Produce

• EA Organizational Model: org chart of EA roles & responsibilities.

• Architecture Principles Document.

• Governance Framework (Architecture Board charter, compliance checks).

• Tailored ADM Process for bank’s Agile context.

• Request for Architecture Work → official trigger for Phase A.

---

📸 Picture Yourself

• You’re at a principles workshop with sticky notes on the wall:

  • “Cloud-First”

  • “Security by Design”

  • “Data as an Asset”

• You moderate the session, then consolidate into a Principles Document and circulate to execs for approval.

---

🏛 Phase A — Architecture Vision (you set the direction & get buy-in)

Your Role:

• Paint the vision of the future bank.

• Get everyone to agree on scope, KPIs, and approval to proceed.

---

🎯 Objectives (your mandate)

• Develop a compelling vision for retail digital transformation.

• Identify stakeholders and secure buy-in.

• Define scope, risks, KPIs.

• Publish the Statement of Architecture Work (SoW).

---

👣 What You Actually Do

1. Stakeholder Analysis:

   • List: Retail Head, CIO, CTO, CISO, Compliance, Call Center Manager, Customers.

   • Document their concerns:

     • Customers → “I want to open an account instantly.”

     • Compliance → “KYC/AML rules must be followed.”

     • CIO → “Costs must go down.”

   • Map concerns in a Stakeholder Matrix.

2. Confirm Business Drivers & KPIs:

   • Goal: Reduce branch traffic by 30%.

   • KPI: 40% increase in active mobile users in 2 years.

   • KPI: Onboarding in <10 minutes.

3. Baseline vs Target (high-level):

   • Baseline: Branch-heavy onboarding, siloed apps.

   • Target: Mobile-first onboarding, API-driven integration, cloud hosting.

4. Scope & Constraints:

   • Scope: Retail banking only (savings, loans, credit cards).

   • Excluded: Corporate banking, treasury.

   • Constraint: Data residency (customer data must stay on local servers).

5. Readiness Assessment:

   • IT: Has partial cloud capability.

   • Business: Staff not trained for digital customer support yet.

   • Customers: 60% already using online channels.

6. Risks & Mitigations:

   • Risk: Regulator may delay cloud approval → Mitigation: hybrid model.

   • Risk: Staff resist change → Mitigation: training + incentives.

7. Create Vision Artifacts:

   • Architecture Vision Document: describes baseline, target, KPIs, risks.

   • Statement of Architecture Work (SoW): defines scope, timeline, resources.

   • Communication Plan: how you’ll update executives, staff, and regulator.

8. Present to Architecture Board:

   • You say: “Our vision is Mobile-First Retail Banking. Customers onboard in under 10 minutes. Here’s the roadmap to start.”

   • You get signatures on the SoW.

---

📤 Deliverables You Produce

• Approved SoW (signed by CIO + Board).

• Architecture Vision Document.

• Stakeholder Matrix & Concerns.

• Draft high-level Architecture Definition Document (baseline/target conceptual).

• Communication Plan.

---

📸 Picture Yourself

• You’re in a boardroom presentation with a slide deck:

  • Slide 1: Vision → “Mobile-First Retail Banking.”

  • Slide 2: Baseline vs Target (branch vs mobile).

  • Slide 3: Stakeholder Concerns (customers, compliance, CIO).

  • Slide 4: Risks & Mitigations.

• CIO nods and signs off the Statement of Architecture Work.

---

🧠 How to Recall for Exam

• Preliminary = You set up the rules of the game (Principles, Governance, Repository).

• Phase A = You set the direction of the game (Vision, Stakeholders, SoW).