2 BASIC ASSUMPTIONS AND
CONCEPTS
This section presents the basic assumptions made in
this paper and introduces the different concepts used
such as functionality, legacy systems and BPs to-
gether with a selected application domain. The as-
sumptions and concepts discussed are based on sev-
eral architectural analysis, benchmarking studies, and
e-business applications development such as (Rabhi
et al., 2003) that have been conducted on a number of
legacy systems.
2.1 Review of notation
A functionality in the context of this research refers to
an identified autonomous task that resides within an
“encapsulating entity”. A functionality corresponds
to an activity within a BP which performs a specific
job (i.e. in part of the business logic). A functionality
can be either automated or new (i.e. non-automated).
If it is automated then the encapsulating entity can
be a legacy system. On the other hand, if it is new
functionality then the encapsulating entity can be a
human process. We use the notion F
all
= {f
i
: 1 ≤
i ≤ |F
all
|} to represent the set of all functionalities
(automated and not automated) that belong to a par-
ticular domain. The definition of the set F
all
does not
tell anything about the automation of any function-
ality. We also use the concept of “equivalent func-
tionalities” to refer to a group of functionalities that
have similar business logic each of which resides in
a different encapsulating entity. We use the notion
Q = {q
i
: 1 ≤ i ≤ |Q|} to represent the set of all
groups of equivalent functionalities. Each q
i
⊆ F
all
is the ı
th
set of a number of equivalent functionali-
ties such that |q
i
| ≥ 1 and q
a
∩ q
b
= φ : a 6= b and
q
i=1
q
i
= F
all
Two assumptions related to the legacy systems are
made. The first one is that each legacy system is
owned by one company within the domain of study
and their development teams are not related to the
BPs development team. The second one is that the
development team for the BPs can only interact with
these legacy systems through their defined interfaces
(e.g. in the form of APIs) and has no access permis-
sion to the corresponding source code. Therefore, we
assume that different functionalities within the same
legacy system have similar interfacing mechanism.
We use the notation F
au
⊆ F
all
to represent the
set of all automated functionalities contained in the
legacy systems of a particular domain. Let LG = {l
i
:
1 ≤ i ≤ |LG|} be the set of key legacy systems iden-
tified in that particular domain. Every l
i
⊆ F
au
and
l
a
∩ l
b
= φ when a 6= b . It is also important to note
that in practice there is no instance of two equivalent
functionalities within the same legacy system mean-
ing that if f
x
∈ l
i
and, f
y
∈ l
i
then {f
x
, f
y
} * q∀q ∈ Q.
We also consider a fixed number of BPs in a par-
ticular domain referred to by the set BP = {bp
i
: 1 ≤
i ≤ |BP |}. We assume that these BPs may have ac-
tivities that correspond to existing functionalities in
the legacy systems. The business logic of each bp
i
is expressed in terms of an activity diagram whose
nodes are the activities (i.e. functionalities) and the
arcs determines the execution flow between the func-
tionalities. We use the function activ ities(bp) ⊆ F
all
to identify the set of functionalities that are required
by the BP bp (i.e. it returns the set of all nodes in a
bp’s activity diagram).
In the context of this research we assume that
every f ∈ F
all
has at least one corresponding bp ∈
BP such that f ∈ activities(bp). In other words,
b
i=1
activities(bp
i
) = F
all
.
2.2 Selected application domain
Within the e-finance domain, we focus on capital
markets which are places where financial instruments
such as equities, options and futures are traded (Har-
ris, 2003). The trading cycle in capital markets com-
prises a a number of phases which are: pre- trade an-
alytics, trading, post-trade analytics, settlement and
registry. At each phase of this cycle, one or more
legacy systems may be involved. Therefore, a vast
number of BPs exist within this domain involving a
number of activities that span through different stages
of the trading cycle. Many of these activities can
be automated by utilising functionalities of existing
legacy systems. The automation of these BPs is chal-
lenging for two reasons. The first one is that it may
involve a number of legacy systems that are owned by
different companies. The latter one is that these BPs
are normally used by business users who are not tied
to any of these companies (e.g. finance researchers).
The application domain presented in this paper cor-
responds to one problem context that comprises four
legacy systems encapsulating 12 automated function-
alities, five non-automated functionalities and five
BPs that leverages the 17 functionalities in conduct-
ing the business logic. We focus on four legacy sys-
tems that have been customised around Australian
Stock Exchange (ASX) practices. Theses systems are
FATE, SMARTS, XSTREAM, and AUDIT Explorer.
Each of these systems supports a number of func-
tionalities accessible through APIs. In this paper, we
consider a few functionalities in each system that are
shown in figure 1. These functionalities have been re-
ported in (Yu et al., 2004; Dabous et al., 2003). We
also consider five BPs in this paper which are: ASX
trading data processing, visualisation of ASX trad-
ing data, reporting surveillance alerts, trading strategy
formalisation, and trading strategy execution. Figure
A FRAMEWORK FOR IDENTIFYING ARCHITECTURAL PATTERNS FOR E-BUSINESS APPLICATIONS
89