"WAIS Corporate Paper version 3"
MS-Word version available for anonymouse ftp from think.com in
/pub/wais/wais-overview-docs.sit.hqx.  This file is
wais-corporate-paper.text


An Information System for Corporate Users: Wide Area Information Servers


Brewster Kahle Thinking Machines Corporation
Art Medlar Scolex Information Systems 8 April 1991


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 Magellean(tm) for personal
information, Verity Topic(tm) for corporate data, and Mead Data Dialog(tm)
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 user's 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 years (1) and the
first commercial system utilizing it, DowQuest (2), 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. [omitted in text-only version]
  
* 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 omitted] Figure 1: The Source description contains all
the necessary information for contacting an information server.


From the user's 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:

* Cleardisplays 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 universally 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
NISO (3). It has been augmented where necessary to incorporate many of the
needs of a full-text information retrieval system (4).  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.

----------------
Footnotes

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.  (301) 975-2814.
Available from Document Center, Belmont, CA. Telephone 415-591-7600.

4 Franklin Davis et al.  WAIS Interface Protocol Prototype Functional
Specification, Thinking Machines.  Available from Franklin Davis
(fad@think.com) or Brewster Kahle (brewster@think.com).
