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| whats a guestbook without a comment???: | Reference Linking the Web’s Scholarly Papers
Donna Bergmark∗ and Carl Lagoze† Cornell Digital Library Research Group November 7, 2000 Abstract Along with the explosive growth of the Web has come a great increase in online scholarly literature. This literature comes in many forms. Informal online archives are repositories for papers and technical reports. Proceedings are more and more commonly published on the web. The collection of online journals is growing. Thus the web is becoming an efficient resource for up-to-date information for the scienti fic researcher, and more and more researchers are turning to their computers to keep current on results in their field. Not only is Web retrieval usually faster than a walk to the library, but the information obtained from the Web is potentially more current than what appears in printed publications. The increasing proportion of online scholarly literature makes it possible to implement functionality desirable to all researchers – the ability to access cited documents immediately from the citing paper. Implementing this direct access is called “reference linking”. This paper describes the object oriented approach the Digital Library Research Group at Cornell has taken to help solve the reference linking problem. This approach employs value-added surrogates to enhance Web documents with reference-linking behavior. Given the URL of an online paper, a Surrogate object is constructed for that paper. The Surrogate fetches the content of the document and parses it to automatically extract reference linking data. User applications can then use the surrogate to access this reference, encoded in XML, via a well-defined API. We use this API to reference link the D-Lib magazine, an online journal of technical papers relating to digital library research. Currently we are (automatically) extracting reference linking information from the papers in this journal with a rate of near 80% accuracy. 1 Background and Motivation Reference Linking is actually an old idea. Classical reference linking arose from a desire to study citation patterns among scholarly articles. The Science Citation Index, founded by Eugene Garfield in the ∗DARPA/CNRI Grant #2057/57-02 †NSF Grant # IIS-9907892 1 70’s, was invented to do just that, and was a spectacular success. It was, however, based on human labor. For every paper examined, the staff captured that paper’s metadata, and then went to the reference section and did the same for each reference there, or at least for those references to journals covered by the SCI. As a result, one could look up links using the Science Citation Index and build a graph as shown in Figure 1. From this graph we can observe that Paper C has 4 references, that Papers C, D, and G have been analyzed, that Paper A has two citations, and that Papers C and G are bibliographically coupled (i.e. they have a reference in common). The links in the graph are explicitly contained in the Science Citation Index. A B C D E F G H CLASSICAL REFERENCE LINKING Observations: 4. Papers C and G are bibliographically coupled. 2. Papers C, D, and G have been analyzed. 1. Paper C has 4 references. 3. Paper A has 2 citations. Figure 1: Classical Reference Linking We then fast-forward some 25 years to the current time, where there is a growing amount of scholarly literature online. Much of this has HTML links to other works on the web. As in classical reference linking, the references are inserted by authors. Some references are accompanied by URLs, but not all. Unlike SCI and classical reference linking, citations cannot be directly discovered from the Web. It is a daunting task to analyze items on the web to find out who might have cited a paper of interest. Figure 2 shows how interlinked papers on the Web might exist. The graph is implicit, defined by links between papers. It is likely to be quite large. From the fragment shown here, we can deduce the HTML page C has four links in it to other HTML pages; page A has at present two links to it; and papers C and G are linked to a common page. But, discovering this fragment from traveling the web is nearly impossible. The graph exists implicitly on the Web. In our reference linking project we are aiming somewhere between the classical view and what exists today on the web. We wish to make the graph in Figure 2 explicit, as well as supply additional links where possible. We hope to augment the work currently being done by CrossRef (which grew out of the DOIX project described by Atkins [1]) to link together the online copies of a group of scientific and technical journals. Our work is directed at online work not covered by the DOI initiative, and is in partnership with ECS at Southampton University which is reference linking arXhiv, the technical report repository at Los Alamos. 2 A B C D E F G H Observations: 3. Paper A has 2 links to it (at present) 2. Links just happen - no analysis required. 1. HTML page C has 4 links on it 4. Papers C and G are linked to a common page Figure 2: Linking on the Web By making the links between online papers explicit, new applications are possible. Figure 3 is just one example of a reference linking application. If GET is successful, the popup window is replaced by a copy of Mitchell’s seminal work. while reading A) (user clicks on "[10]" Document A -3- ........................................... ........................................... ........................................... ........................................... ........................................... ........................................... ........................................... ........................................... ........................................... ........................................... ........................................... "...........Mitchell’s seminal work on on thunks [10]." ..................... Popup Window Status: retrieving.... [cancel] [.ps] [.ps][.pdf] 10. Mitchell, A. Thunks and Algo. JACM, March... Figure 3: A Reference Linking Application Imagine sitting in front of a computer screen, reading Document A (or hearing it on your speakers, etc.) and you come across an intriguing reference: “...Mitchel’s seminal work on thunks[10].” If there is a copy of this work somewhere online, the “[10]” would be turned into a clickable live link, so that the user could start fetching that copy while continuing to read the original paper. One interface that would support this goal might be a JavaScript popup window that looks something like the one on the right side of Figure 3; the complete reference string is shown along with some choices of format (PostScript, pdf) in which the document might be retrieved; the user can retrieve one of these or cancel. Implementing the functionality shown in Figure 3 requires solving at least two problems: 1) Figuring out that “[10]” is a reference and that it matches the reference string, [10] Mitchell, A. Thunks and Algol...; then parsing the reference string to decide what work it is and whether it is linkable (this is a tough problem!) and whether it is something we’ve seen before so we can credit Mitchell with a citation. 2) Turning the “[10]” into a live link. In HTML and PDF you can 3 turn this into an anchor that can be clicked. For other formats some kind of auxiliary display is needed. In any case the first problem is one of analysis and the second is a presentation problem. Our work has been concentrating on the analysis problem, which is the extraction of reference linking data from online literature. An API, to be described in this paper, is responsible for supplying this data to client applications. 2 Definitions The previous section was a quick introduction to reference linking. In this section we present some basic terms and definitions, so that we can explore the problem in more detail. 2.1 Items and Works There are two different documents contained in Figure 3: there is Document A which the user is reading, and there is thing B, a work by Mitchell, which is referred to by A. There is a subtle, but important, difference between A and B. A is an Item, something that has a format type, is online, and can be analyzed by a computer program. B is a Work, or an abstraction of a paper. This work will also exist in the form of zero or more items. Some of them may even be online. We say that B is one of A’s references. It probably even shows up in a section of A titled References. The words we just defined - Work for the abstract paper and Item for a concrete instance of that paper – is taken from the IFLA model [8, 10], shown in an abbreviated form in Figure 4. Since in dealing with online literature one only cares aboutWorks and Items, we ignore the middle two levels. In our experience with scholarly and scientific publications, the reference is usually to the Work (rather than to, say, a specific instance of that work held in a particular collection, in a particular format or manifestation). See Svenonius [11] for a good philosophical discussion of what a work is. ITEM WORK Manifestations & Expressions Figure 4: IFLA Model In the rest of this report, we drop the capitalization of work and item, but continue to distinguish between the two terms. 4 2.2 References and Citations Going back to Figure 3, item A references work B, an abstraction of a paper by Mitchell. If in fact, a copy of Mitchell’s work can be found online, then it is a linkable reference. A citation is the inverse of reference. Here, the abstract paper of which A is an instance is a citation of B. Tracking citations is not immediately needed for reference linking, but is a valuable addition to any reference linking service. There is, of course, a subtle difference in tractability of making, for an item, its list of references and its list of citations. The labor involved in finding the citations is what made the SCI a huge success. The main thing to note here is that like references, citations are works. In the remainder of this paper, the term reference will refer to the reference in the text of the paper being analyzed, e.g. [10] in Figure 3, the context will be the sentence containing that reference, and the reference string will be complete description of the work, e.g. 10. Mitchell. A. Thunks .... 2.3 Repository A repository, also known sometimes as an archive, is any collection of online items, e.g. an online journal, a department’s technical reports, or a person’s online bibliography. A repository has some sort of special identifier. This project does not build repositories; it only analyzes them for a variety of reference linking information. 2.4 Intralink and Interlink If we analyzed every item in a repository, then we can intralink that repository, since if one item references a work that is itself an item in the repository, we have a linkable reference. If we analyze several repositories, then we can interlink items in these repositories. The extreme limit of this work, as more and more items are analyzsed, is to interlink the Web, at least the scholarly side of it. 3 The Reference Linking API The reference linking architecture developed at Cornell is unique in several respects. First, because we are aiming to link online literature which has not been indexed by hand or accompanied by authorsupplied metadata, we are taking an automatic approach to parsing document source in order to extract the item’s metadata as well as the item’s references’ metadata. Secondly, we have a different approach to collecting and storing reference linking data. Most other reference linking projects (e.g. Open Journals[5] and ResearchIndex[6]) use databases to store information about works and do a lot of “database crunching”. For example, there would be one database of all the titles, and perhaps another database of all the authors, and a third with references. Instead of 5 using databases to store this information, we use item surrogates. A surrogate is a digital object that encapsulates reference linking information ??and behaviors?? relating to one item ??in a repository.?? Reference linking data is thus distributed across the collection of surrogate objects, and all the data relating to one item is grouped together within a single surrogate. This use of surrogates for reference linking is consistent with our overall architectural approach in digital library research at Cornell. We make use of “value-added surrogates” [9] as a vehicle for endowing digital objects with a wide variety of extensible behaviors (e.g. preservation, access management). A third unusual aspect of reference linking at Cornell is that we do not put together one monolithic reference linking service. Rather, we provide an API on top of which such services can be built. Such an approach has been quite successful in other, unrelated endeavors (see, for example, [2]). Having an API specifies the operational semantics of reference linking; it also allows us to cleanly separate the analysis phase of reference linking from the presentation phase. The advantage of creating an API is that no decision is made in advance of what the data should be used for. 3.1 How the API Works The combination of surrogates and an API essentially allows us to walk up to a paper and ask it “what are your references” and “what is your metadata?” One surrogate is instantiated for each repository item, and can answer questions about that item. In fact, the API includes a set of methods, where each method is simply one of the questions or requests that can be directed at the surrogate. Each surrogate answers the same set of questions (to the best of its ability). A typical use of the API would be to analyze all the papers in some collection or repository. This architecture is depicted in Figure 5. The central column represents some repository of network-accessible documents. The items listed in this column are linkable (they are online) and therefore analyzable (we have their bits). open archive, D-Lib, etc. other copies bibliographic data dissemination Other Work : : Item Item surrogate surrogate Work repository repository Figure 5: An Architecture for Reference Analysis On the left are drawn the works that the items represent. Any work might have several copies spread across several archives. All of these copies are “items” corresponding to that work. If more than one copy of a work is encountered, we could pool the information collected 6 so that both surrogates have consistent data, but this requires either that the surrogates be able to find and communicate with each other, or that there be a central database. Arranging for the surrogates to communicate among themselves is an interesting research problem; for now we keep a small database of works seen so far which at least allows sketchy information to be updated. To the right of the archive items are the surrogates, shown as “blobs”. They know how to disseminate bibliographic data about the item, and indirectly, about the work. As stated above, client applications ask the questions and then display or otherwise use the results. The API supplies the data. 4 Two-PhaseArchitecture Up to this point, we have discussed the API: its methods and outputs. However, recall that the application shown in Figure 3 requires solving two very difficult problems: analysis, to find the references; and presentation of the live references. Figure 6 shows this two-phased architecture with structured data – XML – at the interface. Suppose in this case that the XML is in response to “getLinkedText”. XML Item, with links Rep of item ............... ARCHIVE .ps .tex .dvi .txt .htm : batch processor browser/renderer XSL ... .............. ..... .............. [10] ........... ........... .......... .......... .......... (Work metadata) databases . . . (other disseminations - see API) ANALYSIS DISPLAY Surrogates Figure 6: Overall Reference Linking Architecture . The “links” contained in the XML output of getLinkedText() are elements of our own devising. They can be translated (by a xslt processor) into “actionable links”, such as HREF’s, XLinks, or OpenURLS. Our link elements, <reflink>, are sufficiently rich to point to various on-line copies of the reference, to retrieve the reference string itself, and so on. Figure 7 shows an example <reflink> element, along with how it might look after being converted into an XLink of type simple. 4.1 Components of the API Surrogates could answer a number of different questions, but the four primary questions in the Cornell reference linking API are: 7 Original Text: ... it was said [5] that ... Linked Text with custom tag: <reflink ord="5" author="last-name-of-first-author" title="title of this work" year="1999" url="http://www.some.org/filename">[5]</reflink> Linked Text with XLink: <ref-xl xmlns:xlink="http://www.w3.org/1999/xlink" xlink:type="simple" xlink:href="http://www.some.org/filename">[5]</ref-xl> that... Figure 7: A linked XML Item, first with reflink then with XLink. 8 • getLinkedText – contents of the paper (as data) augmented with reference linking information. This method would be invoked by browsers that wanted to display the document with some of its references turned into anchors of live links, as in Figure 3. • getReferenceList – this interface would be used by applications that wish to know what references are contained in this paper. For example, if one were building the SCI, this would be the question to ask, along with the next one. • getMyData - this returns that paper’s own metadata. This is not directly related to reference linking, but is required for building up citation relationships. It could have other uses; for example, one client might have a button labeled “get BibTeX”; when the button is pushed, the client invokes getMyData on the surrogate, and reformats the results into something suitable for cutting and pasting into a LaTeX bibliography. • getCurrentCitationList – the list of works citing this paper to the best of the surrogate’s knowledge. As stated before, this function is not strictly required for reference linking, but would be very useful to client applications that want to know what other documents cite this one, as they might be related or provide more current information. If online, we have a linkable citation. In addition to these API methods, surrogates can be told to save themselves and they can be resurrected from stored data. 4.2 Output from the API Figure 5 showed the surrogates disseminating bibliographic information about their items, in response to a particular method in the API being invoked. Each method returns a byte-stream of structured data coded in XML, to permit further processing. For example, one method in the API is getReferenceList, which returns harvested metadata for each reference contained in a repository item, such as its title, publication, context in which it was cited, year and authors. This data, encoded in XML, is suitable for further processing by other applications. Figure 8 shows what part of the XML information disseminated by getReferenceList might look like. This component is the second referenced (ord="2") of this surrogate’s item. First comes bibliographic data related to the reference work. We are using Dublin Core for convenience, so for example, dates must be in CCYY-MM-DD format. Next comes item-related information, such as the reference string exactly as it appeared in the item (enclosed in a <literal> element and entified), and all the contexts in which the work was cited. The context is usually one complete sentence, as shown near the bottom of Figure 8. Note the “[2]” in the context. Since the Maly paper does have a URL, this may become the anchor of a live link in any text returned by a call to this surrogate’s getLinkedText method. 9 <api:reference_list length="17" xmlns:api="http://www.cs.cornell.edu/cdlrg/..." xmlns:dc="http://purl.org/DC"> <api:reference ord="1"> : : <api:reference ord="2"> <dc:title> Smart Objects, Dump Archives: A User-Centric, Layered Digital Library Framework </dc:title> <dc:date>1999-03-01</dc:date> <dc:identifier>10.1045/march99-maly</dc:identifier> <dc:creator>K Maly</dc:creator> <api:displayID> http://www.dlib.org/dlib/march99-maly/03maly.html </api:displayID> <api:literal tag="2."> Maly K, "Smart Objects, Dumb Archives: A User-Centric, Layered Digital Library Framework" in D-Lib Magazine, March 1999, <http://www.dlib.org/dlib/march99-maly/03maly.html>. </api:literal> <api:context list> <api:context> The need for standards to support the interoperation of digital library systems has been reported on before in D-Lib[1],[2] as have efforts to discover common ground in related standard processes(Dublin Core and INDECS[3]). </api:context> </api:context list> </api:reference> : : </api:reference_list> Figure 8: XML for a Reference Object 10 5 A Java Implementation of the API The API can be easily implemented in Java, Perl, or even as part of a larger protocol. Our Java implementation will briefly be discussed in this section. Readers uninterested in implementation details may skip directly to Section 4. The API is implemented as three packages, only one of which (Linkable.API) is needed by client applications. The other packages include one for parsing of source documents (Linkable.Analysis) and another for helper routines (Linkable.Utility). Only one parameter is required for constructing a surrogate object, the URL of the item to be parsed. The surrogate invokes one or another analyzer depending on the item’s format. Typically the item is translated to XML before further analysis. Formatting hints are retained in the XML version, to enable decomposition of the item into header, body, and reference sections. When the surrogate is returned to the client application, the item has been parsed and preliminary reference data has been stored into data fields within the surrogate. Invoking one of the four methods on the surrogate, e.g. getLinkedText(), causes further analysis of the reference data and culminates in an XML byte array. The surrogates can be constructed and used on the fly and then discarded, or they may be stored in a repository for further use. This allows for a wide range of applications, from constructing a database of citation information to providing a completely dynamic reference linking service. The Java implementation consists of less than 6000 lines of code and uses both dom and sax parsing of XML data. 6 Applications The reference linking API can be used for a large variety of applications. This section briefly sketches two of them. 6.1 A Simple Display Application handle server DLIB Surrogate XML file DOI some URL Figure 9: A Simple Reference Linking Application In Figure 9, the client application is given the URL of some online item. (Alternatively, the application might instead be handed a DOI, and then use a handle server[4, 7] to get a URL.) In the case of Java, the application instantiates a surrogate object, passing it that URL. Instantiation of a surrogate is what causes an item to be analyzed. All further interactions with the reference linking API are via this surrogate. 11 The right-hand side of Figure 9 shows the client application invoking various methods on the surrogate. Here is a sample snippet of Java code that might appear in such an application: Surrogate s = new Surrogate ( url ); clientDisplay ( s.getLinkedText() ); This application uses the API to obtain the linked text for the item located at the specified url; the result of this request is a XML byte array, which is then passed to a routine, clientDisplay(), which will display the linked text to a user. For a display similar to that shown in Figure 3, the steps in the presentation would be as follows: 1. Run xslt or a similar translator to convert the API’s <reflink> elements into an “actionable link”, such as a URL, an XLink, an OpenURL, or JavaScript code. 2. Display the translated XML object to the user. 3. When the user clicks on a reference that has a live link, bring up the retrieving... dialogue, showing the complete reference string, and show what formats exist for this work. 4. If the user clicks on the cancel button, quit. Otherwise retrieve the format selected by the user and display it in a separate window. This example has shown how the reference linking API would be used on the fly to display to a user an online item with live links to linkable references. 6.2 Reference Linking the D-Lib Magazine We are currently using the Java implementation of the reference linking API in batch mode to analyze D-Lib articles. D-Lib is an online journal that has been appearing eleven times a year since July 1995; it makes an excellent test bed for automatic extraction software because there is little editorial imposition on the format of the papers submitted to the journal, and therefore provides a wide selection of paper layouts. All D-Lib articles are written in HTML. Figure 10 illustrates the major steps in analyzing a D-Lib paper. The application, running from the command line, (1) inputs a file of D-Lib URLs. (The file was automatically generated from D-Lib table of contents pages.) For each URL, the application (2) constructs a surrogate object, which proceeds to extract reference linking information, and (3) returns itself to the application; the application simply (4) stores the surrogate. The Java code to perform this processing is as follows: Surrogate s = new Surrogate ( url ); s.save(); (The reference linking API contains save() and restore() surrogate methods). At some future date, that surrogate can be used to respond 12 urls application D-Lib surrogates surrogate read (1) (3) a surrogate for this item (4)save (2) construct a surrogate for this url Figure 10: The application to intralink D-Lib. to Open Archive requests, to provide data for a reference linking application, to build a citation database, etc. The next section evaluates the accuracy of parsing D-Lib papers. If more accuracy is needed, it is certainly possible to run an offline “upgrade” procedure which allows a human to edit private surrogate data. When an edited surrogate is resurrected, it will have the upgraded information. Currently, however, we see no need to do this for D-Lib. 7 Results Because our approach extracts all reference linking and bibliographic data automatically, it cannot be expected that the data will be 100% accurate. Fortunately (unlike for library services) a reference linking service for online documents does not have to be completely accurate. Rather, one aims for the “sweet spot” where at least one copy of the reference can be retrieved (so recall is not that important), and where there are not too many false links (precision has to be good enough). We believe that an 80% accuracy level is sufficient for most applications. Our current results show that we are very near to achieving this desired level. The accuracy of our parsing has improved considerably as more and more papers have been parsed. There are two categories of parsing errors: incorrectly extracting bibliographic data about the item being analyzed; and incorrectly parsing the reference strings contained in the analyzed items. We therefore devised a performance metric based on both of these inputs. For each item analyzed, the item accuracy is the number of elements parsed correctly, divided by the total number of elements in the item. Specifically, some of the elements used are: the item’s title, the item’s authors (each author counts as one element), the item’s year of publication, the reference contexts (each contex counts as one element) and the average reference accuracy times the number of references. The reference accuracy for one reference string is the per centage of its elements that are correctly parsed. These elements include: title, each author, year, contexts, and URL (if present). To give a concrete feeling for how the metric is calculated, Figure 11 shows a hypothetical item, the parsing results, and calcluation of the item accuracy. 13 Reference Accuracy (16 items) Number Number Reference Number Number Reference Ordinal Elements correct Accuracy Ordinal Elements correct Accuracy 1 7 4 57 9 4 3 75 2 5 1 20 10 5 5 100 3 5 5 100 11 5 5 100 4 5 5 100 12 8 6 75 5 7 7 100 13 5 2 40 6 5 5 100 14 6 6 100 7 4 1 25 15 5 1 20 8 7 6 86 16 4 1 25 Total Reference Accuracy = 1123; Average = 1123/16 = 70.19 Item Accuracy How Many What How Many Correct % title 1 1 authors 2 0 year 1 1 contexts 8 8 references 16 11 Totals 28 21 75% Figure 11: Example of Item Accuracy for hypothetical item with 2 authors, 16 references and 8 reference contexts. First calculate the average Reference Accuracy (top figure, 70%). Then in the bottom table, use 70% of 16 (11) references as the average accuracy of reference parsing. The Item Accuracy metric is then 21 divided by 28, or 75%. 14 Figure 12: Item Accuracies for a set of 28 D-Lib papers Figure 13: Reference Accuracies for a set of 26 D-Lib papers We have processed a set of 29 D-Lib papers. Of this number, 3 were not able to be converted to XML (i.e. XHTML) and so were discarded. NOTE: RESULTS HERE ARE NOT YET COMPLETE. Plots 12 and 13 will be extended as more D-Lib papers are analyzed. For the remainder, item accuracies were determined by human inspection of the data contained by stored surrogates; the item accuracy is plotted in Figure 12. As can be seen, most of the items lie above our desired 80% level of accuracy. The collection of references is much larger and varied than the items in a single repository. Figure 13 shows the accuracy of parsing the references in the same set of D-Lib papers. Again the majority of the references parse to the desired degree of accuracy, with a surprising number parsed perfectly. In fact the overall level of accuracy is above 80%. While the overall averages are acceptable, it is harder to get accu- 15 D-Lib 1995 to August 2000: Metadata Extraction Subsample Description Number % of Total Number % of Total Number of D-Lib papers: 280 100 29 100 Converted to XHTML: 220 79 26 90 Extraction is Perfect 5 19 Good (70% or more) 13 50 Poor (below 70%) 8 31 Table 1: Number of D-Lib items whose bibliographic data was correctly extracted. The rightmost 2 columns are the subset of D-Lib papers processed to date. The bottom 3 rows are a per centage of row 2, that is, of the items that could be turned into XHTML. D-Lib 1995 though August 2000 Subsample Description Number % of Total Number % of Total Number of References: 100 266 100 Parsing is Perfect 149 56 Good (70% or more) 55 21 Poor (below 70%) 62 23 Table 2: Number of correctly parsed references in D-Lib Papers. This table is incomplete. The two right-most columns show the results for 28 D-Lib papers that contain 266 references racy concentrated into one place – that is, all the item’s metadata and each of the item’s references gets parsed correctly. We therefore look at how often it was possible to perfectly extract a paper’s metadata, which would correspond to the number of times the user would get a perfect answer in response to the getMyData() method. We also looked at how often references in a paper are perfectly parsed, which corresponds to the quality of the response to the getReferenceList request. The results are contained in Tables 1 and 2. NOTE: RESULTS HERE ARE NOT YET COMPLETE. Tables 1 and 2 will be filled in as more D-Lib papers are analyzed. 8 Conclusions This project shows that automatic extraction of reference linking information is very difficult to get right. The extraction of reference linking data is difficult mainly because parsing text produced by many different authors in many different formats with many different conventions is problematical. However, we have found that there are a relatively limited set of variations in format, and have successfully developed grammars to handle most of them. A separate paper [3] discusses this problem in more detail, and presents some algorithms for extracting reference linking information. At this point we are analyzing papers, examining the errors, patch- 16 ing up the Java API, and then analyzing new papers. As each additional paper gets processed, the implementation improves a little. If we look at the proportion of elements that can be correctly extracted from an item or from a reference, we have 79% item accuracy and more than 80% reference accuracy. Of course, using any available metadata would improve this accuracy. But because such metadata has only recently begun to be available, we extract this information ourselves. It should be noted that the Open Archives initiative asks authors to submit metadata along with their papers. A tool like that described in this paper would be helpful in providing an initial data set which could then be refined by the author during the submission procedure. ResearchIndex also automatically extracts data from items discovered online, and does a remarkably good job. Its main strength lies in applying clustering methods and other artificial intelligence techniques to the analyzed material. Our software does not incorporate AI methods, but does almost as well. The work done so far indicates that the architecture and design for the reference linking API are sound. The object-oriented API makes it exceptionally easy to build new reference linking applications. 17 References [1] H. Atkins, C. Lyons, H. Ratner, C. Risher, C. Shillum, D. Sidman, and A. Stevens. Refererence linking with DOIs: A case study. D-Lib Magazine, 6(2), February 2000. <http://www.dlib.org/dlib/february00/02risher.html> [2] D. Bergmark and S. Keshav. Building blocks for IP telephony. IEEE Communications Magazine, 38(4):88–94, April 2000. [3] Donna Bergmark. Automatic extraction of reference linking information from online documents. Technical report, Cornell Computer Science Department, October 2000. in preparation. [4] Priscilla Caplan and William Arms. Reference linking for journal articles. D-Lib Magazine, 5(7/8), July/August 1999. <http://www.dlib.org/dlib/july99/caplan/07caplan.html> [5] Steve Hitchcock, Les Carr, Wendy Hall, Stephen Harris, S. Probets, D. Evans, and D. Brailsford. Linking electronic journals: Lessons from the Open Journal project. D-Lib Magazine, December 1998. [6] Steve Lawrence, C. Lee Giles, and Kurt Bollacker. Digital libraries and autonomous citation indexing. IEEE Computer, 32(6):67–71, 1999. <http://www.researchindex.com> [7] Norman Paskin. DOIs and reference linking, February 1999. A presentation to the NISO/NFAIS/SSP Linking Workshop, available online at http://www.niso.org/paskin.html [8] Norman Paskin. E-citations: actionable identifiers and scholarly referencing, 1999. <http://www.doi.org/citations.pdf> [9] Sandra Payette and Carl Lagoze. Value-added surrogates for distributed content. D-Lib Magazine, 6(6), June 2000. [10] K. G. Saur. Functional requirements for bibliographic records, 1998. UBCIM Publications - New Series Vol. 19. [11] Elaine Svenonius. The Intellectual Foundation of Information Organization. M.I.T. Press, 2000. 18 |
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| Homepage URL: | http://www.dougmeade.com |
| where am I???: | accidents do happen
|
| whats a guestbook without a comment???: | Nice Site... I was just surfing Yahoo! and dropped in. :) |
| what your parents call you: | Hey you |
| what planet are you from??: | This one |
| so i can reach you: | huh? |
| Homepage URL: | http://www.ps2-dir.com |
| where am I???: | word of mouth |
| whats a guestbook without a comment???: | Hmm... |
| what your parents call you: | Carrie |
| what planet are you from??: | Earth? |
| Homepage URL: | http://www.123scrapbook.com |
| where am I???: | magiclly appeared |
| whats a guestbook without a comment???: | Hi! |
| what your parents call you: | 1 |
| what planet are you from??: | 1 |
| so i can reach you: | 1 |
| Homepage URL: | http://1 |
| where am I???: | accidents do happen
|
| whats a guestbook without a comment???: | <!-- BEGIN EasyTAF REFERRAL CODE -->
<A HREF="http://www.EasyTAF.com/cgi-bin/taf/referrals/referral.cgi?userid=xxxxx" TARGET="_blank"> <IMG SRC="http://www.EasyTAF.com/taf/images/easytaf1.gif" BORDER="1"> </A> <!-- END EasyTAF REFERRAL CODE--> |
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| what planet are you from??: | helios |
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| where am I???: | accidents do happen
|
| whats a guestbook without a comment???: | I loved the virtual birthstone!! I've never seen it before, glad I got to ^_^
Do you want to live forever? Click here! http://www.alexchiu.com/affiliates/clickthru.cgi?ID=sporksoma |
| what your parents call you: | mafer |
| what planet are you from??: | earth |
| so i can reach you: | i guess |
| Homepage URL: | http://www.kleykulele.com/fercoby |
| where am I???: | accidents do happen
|
| whats a guestbook without a comment???: | nice site.. actually I haven't see all, but it seems good :) keep rockin |
| what your parents call you: | zbestoffer.com Auctions |
| what planet are you from??: | USA, New York |
| Homepage URL: | http://www.zbestoffer.com |
| where am I???: | magiclly appeared |
| whats a guestbook without a comment???: | Thanks for letting us sign your guestbook. <br>
zbestoffer.com is the hottest auction site. Lowest listing fees around with no percentages. No buying fees. Free image hosting. Bid, buy, or sell antiques, collectibles, computers, cars, trucks, automobiles, electronics, real estate, and more. Register today for free to begin enjoying the benefits of the zbestoffer.com community. Thanks and be sure to check it out! |
| what your parents call you: | hi |
| what planet are you from??: | hi |
| so i can reach you: | hi |
| where am I???: | accidents do happen
|
| whats a guestbook without a comment???: | HI!!!! |
| what your parents call you: | b |
| what planet are you from??: | b |
| so i can reach you: | b |
| where am I???: | magiclly appeared |
| whats a guestbook without a comment???: | <h3>tribe?<xmp><plaintext><-- |
| what your parents call you: | tamara |
| what planet are you from??: | earth |
| so i can reach you: | silvershadow3@hotmail.com |
| Homepage URL: | http://www.freewebs.com/420tamara420/ |
| where am I???: | wondering through |
| whats a guestbook without a comment???: | hey kool sight!!! i tryed to click on a few of your links, but they never worked...please check out my WEBPAGE, and be srue to sign my guestbook! thanx :) |
| what your parents call you: | That loser son of mine. |
| what planet are you from??: | Xinxatroxis |
| so i can reach you: | there |
| Homepage URL: | http://www.clinbrohf.netfirms.com |
| where am I???: | magiclly appeared |
| whats a guestbook without a comment???: | Nice little website, Maggie. I enjoyed visiting. |
| what your parents call you: | <asv> |
| what planet are you from??: | <asv> |
| so i can reach you: | <asv> |
| Homepage URL: | http://<asv> |
| where am I???: | word of mouth |
| whats a guestbook without a comment???: | <asv> |
| what your parents call you: | Brittany |
| what planet are you from??: | Earth |
| so i can reach you: | www.wintergoddess456@aol.com |
| where am I???: | accidents do happen
|
| whats a guestbook without a comment???: | This is stupid!!! |
| what your parents call you: | geo |
| what planet are you from??: | geo |
| so i can reach you: | geo |
| where am I???: | magiclly appeared |
| whats a guestbook without a comment???: | . Server B initiates the connection
and the transfer proceeds. The command-reply sequence is listed below where the messages are vertically synchronous but horizontally asynchronous: Postel & Reynolds [Page 44] RFC 959 October 1985 File Transfer Protocol User-PI - Server A User-PI - Server B ------------------ ------------------ C->A : Connect C->B : Connect C->A : PASV A->C : 227 Entering Passive Mode. A1,A2,A3,A4,a1,a2 C->B : PORT A1,A2,A3,A4,a1,a2 B->C : 200 Okay C->A : STOR C->B : RETR B->A : Connect to HOST-A, PORT-a Figure 3 The data connection shall be closed by the server under the conditions described in the Section on Establishing Data Connections. If the data connection is to be closed following a data transfer where closing the connection is not required to indicate the end-of-file, the server must do so immediately. Waiting until after a new transfer command is not permitted because the user-process will have already tested the data connection to see if it needs to do a "listen"; (remember that the user must "listen" on a closed data port BEFORE sending the transfer request). To prevent a race condition here, the server sends a reply (226) after closing the data connection (or if the connection is left open, a "file transfer completed" reply (250) and the user-PI should wait for one of these replies before issuing a new transfer command). Any time either the user or server see that the connection is being closed by the other side, it should promptly read any remaining data queued on the connection and issue the close on its own side. 5.3. COMMANDS The commands are Telnet character strings transmitted over the control connections as described in the Section on FTP Commands. The command functions and semantics are described in the Section on Access Control Commands, Transfer Parameter Commands, FTP Service Commands, and Miscellaneous Commands. The command syntax is specified here. The commands begin with a command code followed by an argument field. The command codes are four or fewer alphabetic characters. Upper and lower case alphabetic characters are to be treated identically. Thus, any of the following may represent the retrieve command: Postel & Reynolds [Page 45] RFC 959 October 1985 File Transfer Protocol RETR Retr retr ReTr rETr This also applies to any symbols representing parameter values, such as A or a for ASCII TYPE. The command codes and the argument fields are separated by one or more spaces. The argument field consists of a variable length character string ending with the character sequence <CRLF> (Carriage Return, Line Feed) for NVT-ASCII representation; for other negotiated languages a different end of line character might be used. It should be noted that the server is to take no action until the end of line code is received. The syntax is specified below in NVT-ASCII. All characters in the argument field are ASCII characters including any ASCII represented decimal integers. Square brackets denote an optional argument field. If the option is not taken, the appropriate default is implied. Postel & Reynolds [Page 46] RFC 959 October 1985 File Transfer Protocol 5.3.1. FTP COMMANDS The following are the FTP commands: USER <SP> <username> <CRLF> PASS <SP> <password> <CRLF> ACCT <SP> <account-information> <CRLF> CWD <SP> <pathname> <CRLF> CDUP <CRLF> SMNT <SP> <pathname> <CRLF> QUIT <CRLF> REIN <CRLF> PORT <SP> <host-port> <CRLF> PASV <CRLF> TYPE <SP> <type-code> <CRLF> STRU <SP> <structure-code> <CRLF> MODE <SP> <mode-code> <CRLF> RETR <SP> <pathname> <CRLF> STOR <SP> <pathname> <CRLF> STOU <CRLF> APPE <SP> <pathname> <CRLF> ALLO <SP> <decimal-integer> [<SP> R <SP> <decimal-integer>] <CRLF> REST <SP> <marker> <CRLF> RNFR <SP> <pathname> <CRLF> RNTO <SP> <pathname> <CRLF> ABOR <CRLF> DELE <SP> <pathname> <CRLF> RMD <SP> <pathname> <CRLF> MKD <SP> <pathname> <CRLF> PWD <CRLF> LIST [<SP> <pathname>] <CRLF> NLST [<SP> <pathname>] <CRLF> SITE <SP> <string> <CRLF> SYST <CRLF> STAT [<SP> <pathname>] <CRLF> HELP [<SP> <string>] <CRLF> NOOP <CRLF> Postel & Reynolds [Page 47] RFC 959 October 1985 File Transfer Protocol 5.3.2. FTP COMMAND ARGUMENTS The syntax of the above argument fields (using BNF notation where applicable) is: <username> ::= <string> <password> ::= <string> <account-information> ::= <string> <string> ::= <char> | <char><string> <char> ::= any of the 128 ASCII characters except <CR> and <LF> <marker> ::= <pr-string> <pr-string> ::= <pr-char> | <pr-char><pr-string> <pr-char> ::= printable characters, any ASCII code 33 through 126 <byte-size> ::= <number> <host-port> ::= <host-number>,<port-number> <host-number> ::= <number>,<number>,<number>,<number> <port-number> ::= <number>,<number> <number> ::= any decimal integer 1 through 255 <form-code> ::= N | T | C <type-code> ::= A [<sp> <form-code>] | E [<sp> <form-code>] | I | L <sp> <byte-size> <structure-code> ::= F | R | P <mode-code> ::= S | B | C <pathname> ::= <string> <decimal-integer> ::= any decimal integer Postel & Reynolds [Page 48] RFC 959 October 1985 File Transfer Protocol 5.4. SEQUENCING OF COMMANDS AND REPLIES The communication between the user and server is intended to be an alternating dialogue. As such, the user issues an FTP command and the server responds with a prompt primary reply. The user should wait for this initial primary success or failure response before sending further commands. Certain commands require a second reply for which the user should also wait. These replies may, for example, report on the progress or completion of file transfer or the closing of the data connection. They are secondary replies to file transfer commands. One important group of informational replies is the connection greetings. Under normal circumstances, a server will send a 220 reply, "awaiting input", when the connection is completed. The user should wait for this greeting message before sending any commands. If the server is unable to accept input right away, a 120 "expected delay" reply should be sent immediately and a 220 reply when ready. The user will then know not to hang up if there is a delay. Spontaneous Replies Sometimes "the system" spontaneously has a message to be sent to a user (usually all users). For example, "System going down in 15 minutes". There is no provision in FTP for such spontaneous information to be sent from the server to the user. It is recommended that such information be queued in the server-PI and delivered to the user-PI in the next reply (possibly making it a multi-line reply). The table below lists alternative success and failure replies for each command. These must be strictly adhered to; a server may substitute text in the replies, but the meaning and action implied by the code numbers and by the specific command reply sequence cannot be altered. Command-Reply Sequences In this section, the command-reply sequence is presented. Each command is listed with its possible replies; command groups are listed together. Preliminary replies are listed first (with their succeeding replies indented and under them), then positive and negative completion, and finally intermediary Postel & Reynolds [Page 49] RFC 959 October 1985 File Transfer Protocol replies with the remaining commands from the sequence following. This listing forms the basis for the state diagrams, which will be presented separately. Connection Establishment 120 220 220 421 Login USER 230 530 500, 501, 421 331, 332 PASS 230 202 530 500, 501, 503, 421 332 ACCT 230 202 530 500, 501, 503, 421 CWD 250 500, 501, 502, 421, 530, 550 CDUP 200 500, 501, 502, 421, 530, 550 SMNT 202, 250 500, 501, 502, 421, 530, 550 Logout REIN 120 220 220 421 500, 502 QUIT 221 500 Postel & Reynolds [Page 50] RFC 959 October 1985 File Transfer Protocol Transfer parameters PORT 200 500, 501, 421, 530 PASV 227 500, 501, 502, 421, 530 MODE 200 500, 501, 504, 421, 530 TYPE 200 500, 501, 504, 421, 530 STRU 200 500, 501, 504, 421, 530 File action commands ALLO 200 202 500, 501, 504, 421, 530 REST 500, 501, 502, 421, 530 350 STOR 125, 150 (110) 226, 250 425, 426, 451, 551, 552 532, 450, 452, 553 500, 501, 421, 530 STOU 125, 150 (110) 226, 250 425, 426, 451, 551, 552 532, 450, 452, 553 500, 501, 421, 530 RETR 125, 150 (110) 226, 250 425, 426, 451 450, 550 500, 501, 421, 530 Postel & Reynolds [Page 51] RFC 959 October 1985 File Transfer Protocol LIST 125, 150 226, 250 425, 426, 451 450 500, 501, 502, 421, 530 NLST 125, 150 226, 250 425, 426, 451 450 500, 501, 502, 421, 530 APPE 125, 150 (110) 226, 250 425, 426, 451, 551, 552 532, 450, 550, 452, 553 500, 501, 502, 421, 530 RNFR 450, 550 500, 501, 502, 421, 530 350 RNTO 250 532, 553 500, 501, 502, 503, 421, 530 DELE 250 450, 550 500, 501, 502, 421, 530 RMD 250 500, 501, 502, 421, 530, 550 MKD 257 500, 501, 502, 421, 530, 550 PWD 257 500, 501, 502, 421, 550 ABOR 225, 226 500, 501, 502, 421 Postel & Reynolds [Page 52] RFC 959 October 1985 File Transfer Protocol Informational commands SYST 215 500, 501, 502, 421 STAT 211, 212, 213 450 500, 501, 502, 421, 530 HELP 211, 214 500, 501, 502, 421 Miscellaneous commands SITE 200 202 500, 501, 530 NOOP 200 500 421 Postel & Reynolds [Page 53] RFC 959 October 1985 File Transfer Protocol 6. STATE DIAGRAMS Here we present state diagrams for a very simple minded FTP implementation. Only the first digit of the reply codes is used. There is one state diagram for each group of FTP commands or command sequences. The command groupings were determined by constructing a model for each command then collecting together the commands with structurally identical models. For each command or command sequence there are three possible outcomes: success (S), failure (F), and error (E). In the state diagrams below we use the symbol B for "begin", and the symbol W for "wait for reply". We first present the diagram that represents the largest group of FTP commands: 1,3 +---+ ----------->| E | | +---+ | +---+ cmd +---+ 2 +---+ | B |---------->| W |---------->| S | +---+ +---+ +---+ | | 4,5 +---+ ----------->| F | +---+ This diagram models the commands: ABOR, ALLO, DELE, CWD, CDUP, SMNT, HELP, MODE, NOOP, PASV, QUIT, SITE, PORT, SYST, STAT, RMD, MKD, PWD, STRU, and TYPE. Postel & Reynolds [Page 54] |
| what your parents call you: | geo |
| what planet are you from??: | geo |
| so i can reach you: | geo |
| where am I???: | magiclly appeared |
| whats a guestbook without a comment???: | RFC 959 October 1985
File Transfer Protocol commands, shall always be sent over the data connection, except for certain informative replies. The following commands specify FTP service requests: RETRIEVE (RETR) This command causes the server-DTP to transfer a copy of the file, specified in the pathname, to the server- or user-DTP at the other end of the data connection. The status and contents of the file at the server site shall be unaffected. STORE (STOR) This command causes the server-DTP to accept the data transferred via the data connection and to store the data as a file at the server site. If the file specified in the pathname exists at the server site, then its contents shall be replaced by the data being transferred. A new file is created at the server site if the file specified in the pathname does not already exist. STORE UNIQUE (STOU) This command behaves like STOR except that the resultant file is to be created in the current directory under a name unique to that directory. The 250 Transfer Started response must include the name generated. APPEND (with create) (APPE) This command causes the server-DTP to accept the data transferred via the data connection and to store the data in a file at the server site. If the file specified in the pathname exists at the server site, then the data shall be appended to that file; otherwise the file specified in the pathname shall be created at the server site. ALLOCATE (ALLO) This command may be required by some servers to reserve sufficient storage to accommodate the new file to be transferred. The argument shall be a decimal integer representing the number of bytes (using the logical byte size) of storage to be reserved for the file. For files sent with record or page structure a maximum record or page size (in logical bytes) might also be necessary; this is indicated by a decimal integer in a second argument field of Postel & Reynolds [Page 30] RFC 959 October 1985 File Transfer Protocol the command. This second argument is optional, but when present should be separated from the first by the three Telnet characters <SP> R <SP>. This command shall be followed by a STORe or APPEnd command. The ALLO command should be treated as a NOOP (no operation) by those servers which do not require that the maximum size of the file be declared beforehand, and those servers interested in only the maximum record or page size should accept a dummy value in the first argument and ignore it. RESTART (REST) The argument field represents the server marker at which file transfer is to be restarted. This command does not cause file transfer but skips over the file to the specified data checkpoint. This command shall be immediately followed by the appropriate FTP service command which shall cause file transfer to resume. RENAME FROM (RNFR) This command specifies the old pathname of the file which is to be renamed. This command must be immediately followed by a "rename to" command specifying the new file pathname. RENAME TO (RNTO) This command specifies the new pathname of the file specified in the immediately preceding "rename from" command. Together the two commands cause a file to be renamed. ABORT (ABOR) This command tells the server to abort the previous FTP service command and any associated transfer of data. The abort command may require "special action", as discussed in the Section on FTP Commands, to force recognition by the server. No action is to be taken if the previous command has been completed (including data transfer). The control connection is not to be closed by the server, but the data connection must be closed. There are two cases for the server upon receipt of this command: (1) the FTP service command was already completed, or (2) the FTP service command is still in progress. Postel & Reynolds [Page 31] RFC 959 October 1985 File Transfer Protocol In the first case, the server closes the data connection (if it is open) and responds with a 226 reply, indicating that the abort command was successfully processed. In the second case, the server aborts the FTP service in progress and closes the data connection, returning a 426 reply to indicate that the service request terminated abnormally. The server then sends a 226 reply, indicating that the abort command was successfully processed. DELETE (DELE) This command causes the file specified in the pathname to be deleted at the server site. If an extra level of protection is desired (such as the query, "Do you really wish to delete?"), it should be provided by the user-FTP process. REMOVE DIRECTORY (RMD) This command causes the directory specified in the pathname to be removed as a directory (if the pathname is absolute) or as a subdirectory of the current working directory (if the pathname is relative). See Appendix II. MAKE DIRECTORY (MKD) This command causes the directory specified in the pathname to be created as a directory (if the pathname is absolute) or as a subdirectory of the current working directory (if the pathname is relative). See Appendix II. PRINT WORKING DIRECTORY (PWD) This command causes the name of the current working directory to be returned in the reply. See Appendix II. LIST (LIST) This command causes a list to be sent from the server to the passive DTP. If the pathname specifies a directory or other group of files, the server should transfer a list of files in the specified directory. If the pathname specifies a file then the server should send current information on the file. A null argument implies the user's current working or default directory. The data transfer is over the data connection in type ASCII or type EBCDIC. (The user must Postel & Reynolds [Page 32] RFC 959 October 1985 File Transfer Protocol ensure that the TYPE is appropriately ASCII or EBCDIC). Since the information on a file may vary widely from system to system, this information may be hard to use automatically in a program, but may be quite useful to a human user. NAME LIST (NLST) This command causes a directory listing to be sent from server to user site. The pathname should specify a directory or other system-specific file group descriptor; a null argument implies the current directory. The server will return a stream of names of files and no other information. The data will be transferred in ASCII or EBCDIC type over the data connection as valid pathname strings separated by <CRLF> or <NL>. (Again the user must ensure that the TYPE is correct.) This command is intended to return information that can be used by a program to further process the files automatically. For example, in the implementation of a "multiple get" function. SITE PARAMETERS (SITE) This command is used by the server to provide services specific to his system that are essential to file transfer but not sufficiently universal to be included as commands in the protocol. The nature of these services and the specification of their syntax can be stated in a reply to the HELP SITE command. SYSTEM (SYST) This command is used to find out the type of operating system at the server. The reply shall have as its first word one of the system names listed in the current version of the Assigned Numbers document [4]. STATUS (STAT) This command shall cause a status response to be sent over the control connection in the form of a reply. The command may be sent during a file transfer (along with the Telnet IP and Synch signals--see the Section on FTP Commands) in which case the server will respond with the status of the operation in progress, or it may be sent between file transfers. In the latter case, the command may have an argument field. If the argument is a pathname, the command is analogous to the "list" command except that data shall be Postel & Reynolds [Page 33] RFC 959 October 1985 File Transfer Protocol transferred over the control connection. If a partial pathname is given, the server may respond with a list of file names or attributes associated with that specification. If no argument is given, the server should return general status information about the server FTP process. This should include current values of all transfer parameters and the status of connections. HELP (HELP) This command shall cause the server to send helpful information regarding its implementation status over the control connect |