RFC1625 - WAIS over Z39.50-1988

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　　Network Working Group M. St. Pierre
Request for Comments: 1625 WAIS, Inc.
Category: Informational J. Fullton
CNIDR
K. Gamiel
CNIDR
J. Goldman
Thinking Machines Corp.
B. Kahle
WAIS, Inc.
J. Kunze

UC Berkeley
H. Morris
WAIS, Inc.
F. Schiettecatte
FS Consulting
June 1994

WAIS over Z39.50-1988

Status of this Memo

This memo provides information for the Internet community. This memo
does not specify an Internet standard of any kind. Distribution of
this memo is unlimited.

1. Introduction

The network publishing system, Wide Area Information Servers (WAIS),
is designed to help users find information over a computer network.
The principles guiding WAIS development are:

1. A wide-area networked-based information system for searching,
browsing, and publishing.
2. Based on standards.
3. Easy to use.
4. Flexible and growth oriented.

From this basis, a large group of developers, publishers, standards
bodies, libraries, government agencies, schools, and users have been
helping further the WAIS system.

The WAIS software architecture has four main components: the client,
the server, the database, and the protocol. The WAIS client is a
user-interface program that sends requests for information to local
or remote servers. Clients are available for most popular desktop
environments. The WAIS server is a program that services client

requests, and is available on a variety of UNIX platforms. The
server generally runs on a machine containing one or more information
sources, or WAIS databases. The protocol, Z39.50-1988, is used to
connect WAIS clients and servers and is based on the 1988 Version of
the NISO Z39.50 Information Retrieval Service and Protocol Standard.
The goal of the WAIS network publishing system is to create an open
architecture of information clients and servers by using a standard
computer-to-computer protocol that enables clients to communicate
with servers.

WAIS development began in October 1989 with the first Internet
release occurring in April 1991. From the beginning, WAIS committed
to use the Z39.50-1988 standard as the information retrieval protocol
between WAIS clients and servers. The implementation is still in use
today by existing WAIS clients and servers resulting in over 50,000
users of Z39.50-1988 on the Internet.

2. Purpose

The purpose of this memo is to initiate a discussion for a migration
path of the WAIS technology from Z39.50-1988 Information Retrieval
Service Definitions and Protocol Specification for Library
Applications [1] to Z39.50-1992 [2] and then to Z39.50-1994 [3]. The
purpose of this memo is not to provide a detailed implementation
specification, but rather to describe the high-level design goals and
functional assumptions made in the WAIS implementation of Z39.50-
1988. WAIS use of Z39.50-1992 and Z39.50-1994 standards will be the
subject of future RFCs.

3. Historical Design Goals of WAIS

As an aid to understanding the original WAIS implementation and its
use of Z39.50-1988, the historical design goals of WAIS are presented
in this section. Included with each goal is a brief description of
the assumptions used to meet these design goals.

1. Provide users access to bibliographic and non-bibliographic
information, including full-text and images.

Because Z39.50-1988 grew out of the bibliographic community,
additional assumptions with the protocol were required to serve non-
bibliographic information. They were also necessary to serve
documents existing in multiple formats (e.g., rtf, postscript, gif,
etc.).

2. Keep the client/server interface simple and independent of
changes in the functionality of the server.

To achieve this, the text string entered by the user was transmitted
to the server without parsing the string into a Type-1 RPN (reverse-
polish notation) query, as is common for bibliographic applications.
Instead WAIS defined a new Type-3 query containing the text string.
In this way, knowledge of the Z39.50 Attributes supported by the
server was no longer required by the client or the user, as is true
of many existing Z39.50 implementations. In addition, the client
software did not require modification to support the evolving
functionality of the server.

3. Provide relevance feedback capability.

Relevance feedback is the ability to select a document, or portion of
a document, and find a set of documents similar to the selection.
WAIS included documents used in relevance feedback as part of the
Type-3 query.

4. Permit the server to operate in a stateless manner.

A WAIS server was designed to be "stateless", meaning that search
result sets were not stored by the server. In Z39.50 terms, the
server exercised its right to unilaterally delete a result set as
soon as it sent the search response. For this reason, the Present
Facility of Z39.50 was not used, and retrievals were performed using
the Search Facility. Relaxing this constraint in future
implementations may prove the most prudent path.

5. Provide the ability for a client to retrieve documents in
pieces.

Because retrieval of a portion of a document could be done several
ways with Z39.50-1988, specific assumptions were made to implement
this functionality. Accessing a portion of a document was required
for both retrieval and for relevance feedback.

6. Run over TCP.

The Z39.50-1988 standard was designed to run in the application layer
using the presentation services provided by the Open Systems
Interconnection (OSI) Reference Model. Due to the popularity of
TCP/IP and the Internet, WAIS was designed to run over TCP. Use of
Z39.50 over TCP is described in [4].

4. WAIS Implementation of Z39.50-1988

By working with the Z39.50 Implementors Group (ZIG), the WAIS
developers used a recommended subset of Z39.50-1988 and specific
assumptions to fulfill its requirements. Over time, many of these

requirements have then gone into the definition of subsequent
versions of Z39.50. As new requirements become apparent, WAIS will
document any additional assumptions and work with the ZIG in
developing extensions.

WAIS supported the Init and Search Facilities of Z39.50-1988. Both
search and retrieval were implemented using the Search Facility, as
described in this section.

Search was initiated by the client with a Search Request APDU
(Application Protocol Data Unit) using a Type-3 query. The query
contained two main fields:

1. The "seed words", or text, typed by the user.
2. A list of document objects, where a document object is a
full document, or portion thereof, to be used in relevance
feedback. Each document object contains a document
identifier (Doc-ID) [5], type, chunk-code, and start and
end locations. The Doc-ID and type specify the location and
format, respectively, of the document. The chuck-code
determines the unit of measure for the start and end
locations. Examples of chunk-codes used include
byte, line, paragraph, and full document. If the chunk code
is a full document, the start and end locations are ignored.

A Search Response APDU returned by the server contained a relevance
ranked list of records, or WAIS Citations. A WAIS Citation refers to
a document on the server. Each WAIS Citation contains the following
fields:

1. Headline - a set of words that convey the main idea of the
document.
2. Rank - the numerical score of the document based on its
relevance to the query, normalized to a top score of 1000.
3. List of available formats - e.g. text, postscript, tiff, etc.
4. Doc-ID - the location of the document.
5. Length - the length of the document in bytes.

The number of WAIS Citations returned was limited by the preferred
message size negotiated during the Init.

Retrieval of a document was initiated by the client with a Search
Request APDU using a Type-1 query. The query contained up to four
terms:

1. Term: Doc-ID
Use Attribute: system-control-number code = "un"
Relation Attribute: equal code = "re"

2. Term: the requested document format
Use Attribute: data-type code = "wt"
Relation Attribute: equal code = "re"
3. Term: the start location
Use Attribute: paragraph, line, byte code = "wp", "wl",
"wb"
Relation Attribute: greater-than-or-equal code = "ro"
4. Term: the end location
Use Attribute: paragraph, line, byte code = "wp", "wl",
"wb"
Relation Attribute: less-than code = "rl"

Because full-text and images were often larger in size than the
receive buffer of the client, clients were designed to optionally
retrieve documents in chunks, specifying the start and end positions
of the chunk in the query. An example of a fully-specified retrieval
query is:

query = ( ( use = "un", relation = "re", term = <Doc-ID> )
AND
( use = "wt", relation = "re", term = postscript )
AND
( use = "wb", relation = "ro", term = 0 )
AND
( use = "wb", relation = "ro", term = 2000 )
)

A retrieval response was issued by the server with a Search Response
APDU. In this case a single record corresponding to the requested
document, or portion thereof, was returned in the specified format.

5. Security Considerations

Security issues are not discussed in this memo.

6. References

[1] National Information Standards Organization (NISO). American
National Standard Z39.50, Information Retrieval Service
Definition and Protocol Specifications for Library Applications,
New Brunswick, NJ, Transaction Publishers; 1988.

[2] ANSI/NISO Z30.50-1992 (version 2) Information Retrieval Service
and Protocol: American National Standard, Information Retrieval
Application Service Definition and Protocol Specification for
Open Systems Interconnection, 1992.

[3] Z39.50 Version 3: Draft 8", October 1993. Maintenance Agency
Reference: Z39.50MA-034.

[4] Lynch, C., "Using the Z39.50 Information Retrieval Protocol
in the Internet Environment", Work in Progress, November 1993.

[5] "Document Identifiers, or International Standard Book Numbers
for the Electronic Age", Brewster Kahle, Thinking Machines
Corporation, see URL=<ftp://wais.com/pub/class/doc-ids.txt>,
September 1991.

7. Authors' Addresses

Margaret St. Pierre
WAIS Incorporated
1040 Noel Drive
Menlo Park, California 94025

Phone: (415) 327-WAIS
Fax: (415) 327-6513
EMail: saint@wais.com

Jim Fullton
Clearinghouse for Networked Information
Discovery & Retrieval
3021 Cornwallis Road
Research Triangle Park, North Carolina 27709-2889

Phone: (919)-248-9247
Fax: (919)-248-1101
EMail: jim.fullton@cnidr.org

Kevin Gamiel
Clearinghouse for Networked Information
Discovery & Retrieval
3021 Cornwallis Road
Research Triangle Park, North Carolina 27709-2889

Phone: (919)-248-9247
Fax: (919)-248-1101
EMail: kevin.gamiel@cnidr.org

Jonathan Goldman
Thinking Machines Corporation
1010 El Camino Real, Suite 310
Menlo Park, California 94025

Phone: (415) 329-9300 x229
Fax: (415) 329-9329
EMail: jonathan@think.com

Brewster Kahle
WAIS Incorporated
1040 Noel Drive
Menlo Park, California 94025

Phone: (415) 327-WAIS
Fax: (415) 327-6513
EMail: brewster@wais.com

John A. Kunze
UC Berkeley
289 Evans Hall
Berkeley, California 94720

Phone: (510) 642-1530
Fax: (510) 643-5385
EMail: jak@violet.berkeley.edu

Harry Morris
WAIS Incorporated
1040 Noel Drive
Menlo Park, California 94025

Phone: (415) 327-WAIS
Fax: (415) 327-6513
EMail: morris@wais.com

Francois Schiettecatte
FS Consulting
435 Highland Avenue
Rochester, New York 14620

Phone: (716) 256-2850

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