Skunkware 5/Skunkware 5.iso/src/X11/wais/doc/wais-corp.txt

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 An Information System for Corporate Users: Wide Area Information Servers


                  Brewster Kahle
               Thinking Machines Corporation
                [e-mail]
            245 First Street Cambridge MA 02142

                Art Medlar
            Scolex Information Systems
                   8 April 1991
       Version 3, TMC Tech Report TMC199, original in MSword


To explore text-based information systems for corporate executives,
four companies have jointly developed a prototype which gives flexible
access to full-text documents.  The four participating companies are
Dow Jones & Co., with its premier business information sources;
Thinking Machines Corporation, with its high-end information retrieval
engines; Apple Computer, with its user interface expertise; and KPMG
Peat Marwick, with its information-hungry user base.

One of the primary objectives of the project is to allow a user to retrieve
personal, corporate, and wide area information through one easy-to-use
interface.  For example, instead of using Lotus Magelleanfor personal
information, Verity Topic for corporate data, and Dialog for published
text, one application can access all three categories of information. The
user isn't required to become familiar with several entirely different
systems.  In addition, since the interface consolidates data from many
different sources, they can be manipulated effortlessly, virtually without
regard to their origins.

The Wide Area Information Server (WAIS, pronounced "ways") project is an
experimental venture seeking to determine whether current technologies can
be used to make profitable end-user full-text information systems.  Fifteen
users have been actively using the system for over three months.  They have
integrated it into their workday routine in much the same way as they have
previously integrated spreadsheets and word processors.  This preliminary
success has convinced us that a WAIS-like system can be a valuable tool for
corporate information retrieval.  This paper discusses the design and
implementation of the prototype system.


Introduction

Electronic publishing is the distribution of textual
information over electronic networks.  It has been emerging as a
viable alternative to traditional print publishing as the necessary
underlying technologies develop.  Among the more essential of these
are:

    High Resolution Display Screens
    Reliable, High-Speed Data Communications
    Desktop Publishing Systems
    Inexpensive Data Storage Media

While these technologies have been developed for uses other than
electronic publishing, they are the necessary precursors for full-text
retrieval systems.

From the users point of view, there are several problems to be
overcome.  First, there must be some way of finding and selecting
databases from a potentially unlimited pool.  Second, although these
databases my be organized in different ways, the user should not need
to become familiar with the internal configuration of each one.
Finally, there must be some practical way of organizing responses on
the users machine in order to maintain control over what may become a
vast accumulation of data.

In addition, developers are faced with a number of architectural
issues.  The system must be scalable; that is, it must allow for the
future growth of both the complexity and number of clients and
servers.  It must be secure; each server's data must be protected from
corruption, and the privacy of the users must be ensured.  Lastly,
since an unreliable source is useless in a corporate environment,
access must be thoroughly robust.


System Overview

The prototype WAIS system takes advantage of current state-of-the-art
technology, and presents solutions to all of the above problems.  The system
is composed of three separate parts:  Clients, Servers, and the Protocol
which connects them.

The Client is the user interface, the server does the indexing and
retrieval of documents, and the protocol is used to transmit the
queries and responses, The client and server are isolated from each
other through the protocol.  Any client which is capable of
translating a users request into the standard protocol can be used in
the system.  Likewise, any server capable of answering a request
encoded in the protocol can be used.  In order to promote the
development of both clients and servers, the protocol specification is
public, as is its initial implementation.

On the client side, questions are formulated as English language
questions.  The client application then translates the query into the
WAIS protocol, and transmits it over a network to a server.  The
server receives the transmission, translates the received packet into
its own query language, and searches for documents satisfying the
query.  The list of relevant documents are then encoded in the
protocol, and transmitted back to the client.  The client decodes the
response, and displays the results.  The documents can then be
retrieved from the server.


Digital Researcher

The traditional information research scenario is familiar to anyone
who has ever visited a reference desk at a public or corporate
library.  The client approaches a librarian with a description of
needed information.  The librarian might ask a few background
questions, and then draws from appropriate sources to provide an
initial selection of articles, reports, and references. The client
then sorts through this selection to find the most pertinent
documents.  With feedback from these trials, the researcher can refine
the materials and even continue to supply the user with a flow of
information as it becomes available.  Monitoring which articles were
useful can help keep the researcher on-track.

The WAIS system is an attempt at automating this interaction: the user
states a question in English, and a set of document descriptions come
back from selected sources. The user can examine any of the items, be
they text, picture, video, sound, or whatever.  If the initial
response is incomplete or somehow insufficient, the user can refine
the question by stating it differently.

In addition, the user may also mark some of the retrieved documents as
being "relevant" to the question at hand, and then re-run the search.
The server recognizes the marked documents, and attempts to find
others which are similar to them.  In the present WAIS system,
"similar" documents are simply ones which share a large number of
common words; however, there is potentially no upper limit on the
intelligence of a server in determining what similarity entails.  This
method of information retrieval is called "relevance feedback."  The
idea has been around for many years1 and the first commercial system
utilizing it, DowQuest2, was voted Database of the Year by Online
Magazine in January 1989.


User Interfaces: Asking Questions

Users interact with the WAIS system through the Question interface.
The interface may appear different on various implementations: for
example, a character display terminal will have a different look than
one which is capable of displaying bit-mapped graphics.  The key,
however, is that the user need only become familiar with one interface
which provides access to all available information sources.

The WAIS system, in this first incarnation, was designed to be used by
accountants and corporate executives who are relatively untrained in
search techniques.  Consequently, to aid those users who have neither
the time nor desire to learn a special purpose query language, the
system uses English language queries augmented with relevance
feedback.  While the system's servers currently do not extract
semantic information from the English queries, they do their best to
find and rank articles containing the requested words and phrases.
Used in conjunction with relevance feedback, this method of searching
has proven to be more than adequate for the types of searches and
databases typically encountered.

The illustrations here are taken from the initial WAIStation program
produced at Thinking Machines for the Apple Macintosh.  Several other
interfaces are under development at Apple Computer, Dow Jones, and
elsewhere.


Step 1:  Sources are dragged with the mouse into the Question Window.  A
question can contain multiple sources.  When the question is run, it asks
for information from each included source.


Step 2: When a query is run, headlines of documents satisfying the query
are displayed.


Step 3: With the mouse, the user clicks on any result document to retrieve
it.

Step 4: To refine the search, any one or more of the result documents can
moved to the "Which are similar to:" box.  When the search is run again,
the results will be updated to include documents which are "similar" to the
ones selected.
Contacting Remote Sources of Information

Figure 1:  The Source description contains all the necessary information for
contacting an information server.

From the users point of view, a server is a source of information.  It
can be located anywhere that one's workstation has access to: on the
local machine, on a network, or on the other side of a modem.  The
user's workstation keeps track of a variety of information about each
server.  The public information about a server includes how to contact
it, a description of the contents, and the cost.  In addition,
individual users maintain certain private information about the
servers they use.  Users need to budget the money they are willing to
spend on information from particular servers, they need to know how
often and when each server is contacted, and they need to assess the
relative usefulness of each server.  This information helps guide the
workstation in making cost effective decisions in contacting servers.

With most current retrieval systems, complications develop as soon as
one begins dealing with more than one source of information.  The most
common problem is that of asking a particular question.  For example,
one contacts the first source, asks it for information on some topic,
contacts the next source, asks it the same questions (most likely
using a different query language, a different style of interface, a
different system of billing), contacts the next source, and so on.
One of the primary motivations behind the initial development of the
WAIS system was to replace replace all this with a single interface.

With WAIS, the user selects a set of sources to query for information,
and then formulates a question.  When the question is run, the system
automatically asks all the servers for the required information with
no further interaction necessary by the user.  The documents returned
are sorted and consolidated in a single place. to be easily
manipulated by the user.  The user has transparent access to a
multitude of local and remote databases.


Rerunning Questions - A Personal Newspaper

In addition to providing interactive access to a vast quantity of
information, the WAIS system can also be used as a rudimentary
personal newspaper.  A virtually unlimited number of queries can be
saved, and updated at periodic intervals.  To do this, the user's
workstation is directed to contact each server at certain set times.
When a source of information is contacted, any questions referencing
that source are updated with new documents.  The users can then easily
browse through the results the next morning.

To make the ideal electronic personal newspaper, a system designer
would need certain technologies which are not available today.  Most
computer screens are too small to allow efficient browsing of large
amounts of text.  Additionally, current data transmission speeds do
not allow fast enough scanning if the text is not resident on the
user's machine.

Despite current limitations, the WAIS system employs a number of
features which will be found in the personal newspaper of the future:

    Clear displays of which questions have new documents.
    Searches performed at night to hide communications delays.
    Documents stored on disk for future reference.
    Tools provided to quickly view stored documents.

With these techniques, we have established a foundation of user
support and acceptance.


Servers

The WAIS system was designed to be used by those who wish to sell
information, as well as those who want to buy it.  It provides a
straightforward mechanism for indexing large amounts of data, making
it available, and advertising the availability.

The system is flexible enough to provide for a variety of billing
methods.  A small database maintainer might make the information
available through a telephone connection.  Using a 900 number, the
billing would be taken care of by the phone company.  A slightly more
sophisticated site might have a password and credit card billing
system.  High volume servers might want to set up flat fee contracts
with customers.  Other methods will certainly emerge as use increases.
The system was designed to be as adaptable as possible to future
financial arrangements.

As the dissemination of information becomes easier, questions of
ownership, copyright, and theft of data must be addressed.  These
issues confront the entire information processing field, and are
particularly acute here.  The WAIS system is designed to keep control
of the data in the hands of the servers.  A server can choose to whom
and when the data should be given.  Documents are distributed with an
explicit copyright disposition in their internal format.  This is not
to say that theft can not occur, but if a client starts to resell
another's data, standard copyright laws can be invoked.


The Directory of Servers

As the WAIS system develops, sources of information will proliferate,
making it impossible for any user to keep track of all servers that
may be available at any one time.  To help solve this problem,
Thinking Machines is maintaining a Directory of Servers in a widely
accessible location.  The Directory of Servers contains
indexed textual descriptions of all known servers.  It is queried just
like any other source.  Instead of text documents, however, it returns
source structures, specially formatted files which can be plugged into
a question and used for queries.

For example, suppose you needed information concerning the current
gross national product of Mali, but had no idea where to find it.  You
might first ask the directory of servers for "information about the
current economic condition of Mali." The directory would would return
several documents, among them might be a source for the World
Factbook, an on- line almanac maintained by the CIA.  You would then
use this document as the source field of a question, and re-run the
query.  This time, the system would contact the almanac, ask for the
information, and return a document with the data you need.

Additionally, the Directory of Servers provides a means for
information providers to advertise the availability of their data.
When a new source becomes available, the developers can submit a
textual description, along with the necessary information for
contacting the server.  This information is added to the directory,
and becomes available to the public.


A Common Protocol for Information Retrieval

One of the most far reaching aspects of this project is the
development of an open protocol.  The four companies have jointly
specified a standard protocol for information retrieval.  Creating a
market where new servers can be readily established requires an open,
publicly available protocol.  Ideally this protocol would be an
internationally standardized, yet flexible enough to adapt to new
ideas and technologies; functioning over any electronic network, from
the highest speed optical connections to phone lines.

The use of an open and versatile protocol fosters hardware
independence.  This not only provides for a much wider base of users,
it allows the system to seamlessly evolve over time as hardware
technology progresses.  It provides incentive to produce the best
components possible.  For example, the protocol provides for the
transmission of audio and video as well as text, even though at
present most workstations are unable to handle them.  However, they
are free to ignore pictures and sound returned in response to
question, and to display and retrieve only text.  This inability,
though, does not hinder higher-end platforms from exploiting their
greater processing power and network bandwidth.

The WAIS protocol is an extension of the existing Z39.50 standard from
NISO3.  It has been augmented where necessary to incorporate many of
the needs of a full- text information retrieval system4.  To allow
future flexibility, the standard does not restrict the query language
or the data format of the information to be retrieved.  Nonetheless, a
query convention has been established for the existing servers and
clients.  The resulting WAIS Protocol is general enough to be
implemented on a variety of communications systems.

The success of a WAIS-like system depends on a critical mass of users
and information services.  In order to encourage development and use,
Thinking Machines is not only publishing a specification for the
protocol, but is also making the source code for a WAIS Protocol
implementation freely available.  While this software is available at
no cost, it comes with no support.  We hope that it will facilitate
others in developing servers and clients.


Future

In developing the WAIS system, the participating companies have
demonstrated that current hardware technology can be effectively used
to provide sophisticated information retrieval services to novice
end-users.  How this might effect information providers is not yet
completely understood.  The users at Peat Marwick found the technology
useful for day-to-day tasks such as researching potential new accounts
and finding resources within their own organization.  Since these
tasks are not restricted to the accounting and management consulting
industries, we are optimistic that this type of technology can be
fruitful and productive in many corporate settings.

The future of this system, and others like it, depends upon finding
appropriate niches in the electronic publishing domain.  Potential
uses include making current online services more easily accessible to
end-users; or allowing large corporations to access their own internal
word processor files more efficiently.  It is also possible that
near-term development will focus on a single professional field such
as patent law or medical research.


Summary

A unique alliance of four companies with complementary interests in
the field of information retrieval have jointly developed a prototype
which gives versatile access to full-text documents.  The system
allows users to retrieve personal, corporate, and wide area
information through one easy-to-use interface.  The WAIS project has
shown that current technologies can be used to make useful,
profitable, and convenient wide area information systems. The success
of the project has convinced us that a WAIS-like system can be a
valuable tool for corporate information retrieval.


Acknowledgements

The design and development of the WAIS Project has been a collective
effort, with contributions and ideas coming from many people.  Among
them:

Apple Computer: Charlie Bedard, David Casseras, Steve Cisler, Tom
Erickson, Ruth Ridder, Eric Roth, John Thompson-Rohrlich, Kevin Tiene,
Gitta Soloman, Oliver Steele, Janet Vratny-Watts.  Dow Jones
News/Retrieval: Clare Hart, Rod Wang, Roland Laird.  Thinking
Machines: Dan Aronson, Franklin Davis, Jonathan Goldman, Chris Madsen,
Harry Morris, Patrick Bray, Danny Hillis, Gary Rancourt, Tracy Shen,
Craig Stanfill, Steve Swartz, Ephraim Vishniac, David Waltz.  KPMG
Peat Marwick: Chris Arbogast, Mark Malone, Tom McDonough, Robin
Palmer.  Scolex Information Systems: Art Medlar. Thanks also to
Advanced Software Concepts for TCPack software.

For More Information

Brewster Kahle            Thinking Machines Corporation
Thinking Machines Corporation    245 First Street
1010 El Camino Real, Suite 310    Cambridge, MA  02142
Menlo Park, CA  94025        617-234-1000
415-329-9300 X228
[e-mail]


1 Salton, Gerald; McGill, Micheal.  Introduction to Modern Information
Retrieval.  McGraw-Hill, 1983.

2 DowQuest promotional literature available from Dow Jones & Co. Inc.,
200 Liberty Street, New York, NY 10281.

3 Z39.50-1988: Information Retrieval Service Definition and Protocol
Specification for Library Applications.  National Information
Standards Organization (Z39), P.O. Box 1056, Bethesda, MD 20817.
[phone].  Available from Document Center, Belmont, CA.
Telephone [phone].

4 Franklin Davis et al.  WAIS Interface Protocol Prototype Functional
Specification, Thinking Machines.  Available from Franklin Davis
([e-mail]) or Brewster Kahle ([e-mail]).