General Introduction

This file documents the networking features in GNU Awk (gawk) version 3.1 and later.

Table of Contents

Preface

In May of 1997, Jürgen Kahrs felt the need for network access from awk, and, with a little help from me, set about adding features to do this for gawk (GNU Awk). At that time, he wrote the bulk of this web page.

The code and documentation were added to the gawk 3.1 development tree, and languished somewhat until I could finally get down to some serious work on that version of gawk. This finally happened in the middle of 2000.

In the meantime, Jürgen wrote an article about the Internet special files and |& operator for Linux Journal, and made a networking patch for the production versions of gawk available from his home page. In August of 2000, for gawk 3.0.6, this patch also made it to the main GNU ftp distribution site.

For release with gawk, I edited Jürgen's prose for Texinfo usage, as well as for English grammar and style, as he is not a native English speaker. (In general, this wasn't major work.) I also rearranged the material somewhat for what I felt was a better order of presentation, and (re)wrote some of the introductory material.

The majority of this document and the code are his work, and the high quality and interesting ideas speak for themselves. It is my hope that these features will be of significant value to the awk community.

Arnold Robbins
Nof Ayalon, ISRAEL
November, 2000

Networking Concepts

This chapter provides a (necessarily) brief intoduction to computer networking concepts. For many applications of gawk to TCP/IP networking, we hope that this will be enough. For more advanced tasks, you will need deeper background, and it may be necessary to switch to lower-level programming in C, C++, or perl.

There are two real-life models for the way computers send messages to each other over a network. While the analogies are not perfect, they are close enough to convey the major concepts. These two models are the phone system (reliable byte-stream communications), and the postal system (best-effort datagrams).

Reliable Byte-streams (Phone Calls)

When you make a phone call, the following steps occur:

  1. You dial a number.
  2. The phone system connects to the called party, telling them there is an incoming call. (Their phone rings.)
  3. The other party answers the call, or, in the case of a computer network, refuses to answer the call.
  4. Assuming the other party answers, the connection between you is now a duplex (two-way), reliable (no data lost), sequenced (data comes out in the order sent) data stream.
  5. You and your friend may now talk freely, with the phone system moving the data (your voices) from one end to the other. From your point of view, you have a direct end-to-end connection with the person on the other end.

The same steps occur in a duplex reliable computer networking connection. There is considerably more overhead in setting up the communications, but once it's done, data moves in both directions, reliably, in sequence.

Best-effort Datagrams (Mailed Letters)

Suppose you mail three different documents to your office on the other side of the country on two different days. Doing so entails the following.

  1. Each document travels in its own envelope.
  2. Each envelope contains both the sender and the recipient address.
  3. Each envelope may travel a different route to its destination.
  4. The envelopes may arrive in a different order from the one in which they were sent.
  5. One or more may get lost in the mail. (Although, hopefully, this does not occur very often.)
  6. In a computer network, one or more packets may also arrive multiple times. (This doesn't happen with the postal system!)

The important characteristics of datagram communications, like those of the postal system are thus:

The price the user pays for the lower overhead of datagram communications is exactly the lower reliability; it is often necessary for user-level protocols that use datagram communications to add their own reliabilty features on top of the basic communications.

The Internet Protocols

The Internet Protocol Suite (usually referred as just TCP/IP)1 consists of a number of different protocols at different levels or "layers." For our purposes, three protocols provide the fundamental communications mechanisms. All other defined protocols are referred to as user-level protocols (e.g., HTTP, used later in this web page).

The Basic Internet Protocols

IP
The Internet Protocol. This protocol is almost never used directly by applications. It provides the basic packet delivery and routing infrastructure of the Internet. Much like the phone company's switching centers or the Post Office's trucks, it is not of much day-to-day interest to the regular user (or programmer). It happens to be a best effort datagram protocol.
UDP
The User Datagram Protocol. This is a best effort datagram protocol. It provides a small amount of extra reliability over IP, and adds the notion of ports, described in TCP and UDP Ports.
TCP
The Transmission Control Protocol. This is a duplex, reliable, sequenced byte-stream protocol, again layered on top of IP, and also providing the notion of ports. This is the protocol that you will most likely use when using gawk for network programming.

All other user-level protocols use either TCP or UDP to do their basic communications. Examples are SMTP (Simple Mail Transfer Protocol), FTP (File Transfer Protocol) and HTTP (HyperText Transfer Protocol).

TCP and UDP Ports

In the postal system, the address on an envelope indicates a physical location, such as a residence or office building. But there may be more than one person at the location; thus you have to further quantify the recipient by putting a person or company name on the envelope.

In the phone system, one phone number may represent an entire company, in which case you will need a person's extension number in order to reach that individual directly. Or, when you call a home, you have to say, "May I please speak to ..." before talking to the person directly.

IP networking provides the concept of addressing. An IP address represents a particular computer, but no more. In order to reach the mail service on a system, or the FTP or WWW service on a system, you have to have some way to further specify which service you want. In the Internet Protocol suite, this is done with port numbers, which represent the services, much like an extension number used with a phone number.

Port numbers are 16-bit integers. Unix and Unix-like systems reserve ports below 1024 for "well known" services, such as SMTP, FTP, and HTTP. Numbers above 1024 may be used by any application, although there is no promise made that a particular port number will always be available.

Making TCP/IP Connections (And Some Terminology)

Two terms come up repeatedly when discussing networking: client and server. For now, we'll discuss these terms at the connection level, when first establishing connections between two processes on different systems over a network. (Once the connection is established, the higher level, or application level protocols, such as HTTP or FTP, determine who is the client and who is the server. Often, it turns out that the client and server are the same in both roles.)

The server is the system providing the service, such as the web server or email server. It is the host (system) which is connected to in a transaction. For this to work though, the server must be expecting connections. Much as there has to be someone at the office building to answer the phone2, the server process (usually) has to be started first and waiting for a connection.

The client is the system requesting the server. It is the system initiating the connection in a transaction. (Just as when you pick up the phone to call an office or store.)

In the TCP/IP framework, each end of a connection is represented by a pair of (address, port) pairs. For the duration of the connection, the ports in use at each end are unique, and cannot be used simultaneously by other processes on the same system. (Only after closing a connection can a new one be built up on the same port. This is contrary to the usual behavior of fully developed web servers which have to avoid situations in which they are not reachable. We have to pay this price in order to enjoy the benefits of a simple communication paradigm in gawk.)

Furthermore, once the connection is established, communications are synchronous. I.e., each end waits on the other to finish transmitting, before replying. This is much like two people in a phone conversation. While both could talk simultaneously, doing so usually doesn't work too well.

In the case of TCP, the synchronicity is enforced by the protocol when sending data. Data writes block until the data have been received on the other end. For both TCP and UDP, data reads block until there is incoming data waiting to be read. This is summarized in the following table.

TCP X X
UDP X
RAW X

gawk Networking Mechanisms

The |& operator introduced in gawk 3.1 for use in communicating with a co-process is described in Two-way I/O. It shows how to do two-way I/O to a separate process, sending it data with print or printf, and reading data with getline. If you haven't read it already, you should detour there to do so.

gawk transparently extends the two-way I/O mechanism to simple networking through the use of special file names. When a "co-process" is started that matches the special files we are about to describe, gawk creates the appropriate network connection, and then two-way I/O proceeds as usual.

At the C, C++ (and perl) level, networking is accomplished via sockets, an Application Programming Interface (API) originally developed at the University of California at Berkeley, and now used almost universally for TCP/IP networking.

Socket level programming, while fairly straightforward, requires paying attention to a number of details, and using binary data. It is not well-suited for use from a high-level language like awk. The special files provided in gawk hide the details from the programmer, making things much simpler and easier to use.

The special file name for network access is made up of several fields, all of them mandatory, none of them optional:

/inet/protocol/localport/hostname/remoteport

The /inet/ field is of course constant when accessing the network. The localport and remoteport fields do not have a meaning when used with /inet/raw because "ports" only apply to TCP and UDP. So, when using /inet/raw the port fields always have to be 0.

The Fields of the Special File Name

Here, we will explain the meaning, the range of values and the defaults for all other fields.

All of the fields are mandatory. If you wish the system to pick a value, or the field doesn't apply to the protocol, specify it as 0.

protocol
Determines which member of the TCP/IP family of protocols will be selected to transport the data across the network. There are three possible values (always written in lowercase): tcp, udp and raw. The exact meaning of each is explained below. There is no default to this field.
localport
Determines which port on the local machine will be used to communicate across the network. It has no meaning with /inet/raw and must therefore be 0. Application level clients usually use 0 to indicate they do not bother which local port is used. Instead they specify a remote port to connect to. It is vital for application level servers to use a number different from 0 here because their service has to be available at a specific publicly known port number. It is possible to use a name from /etc/services here. No default value is assumed. The value 0 means "any".
hostname
Determines which remote host has to be at the other end of the connection. Application level servers must fill this field with a 0 to indicate their being open for all other hosts to connect to and enforce connection level server behavior this way. It is not possible for an application level server to restrict its availability to one remote host by entering a host name here. Application level clients must enter a name different from 0 here. The name can be either symbolic (e.g., jpl-devvax.jpl.nasa.gov) or numeric (e.g., 128.149.1.143). No default value is assumed. The value 0 means "any" and enforces server behavior.
remoteport
Determines which port on the remote machine will be used to communicate across the network. It has no meaning with /inet/raw and must therefore be 0. Application level clients must use a number different from 0 here to indicate which port on the remote machine they want to connect to. Application level servers must fill this field with a 0. Instead they specify a local port for clients to connect to. It is possible to use a name from /etc/services here. No default value is assumed. The value 0 means "any" and enforces server behavior.

Experts in network programming will notice that the usual client/server asymmetry found at the level of the socket API is not visible here. This is for the sake of simplicity of the high level concept. If you really miss this, use another language like C, C++, or perl. For gawk it is more important to enable users to write a client program with a minimum of code. What happens when first accessing a network connection can be seen in the following pseudo-code:

if ((name of remote host given) && (other side accepts connection)) {
  rendez-vous successful; transmit with getline or print
} else {
  if ((other side did not accept) && (localport == 0))
    exit unsuccessful
  if (TCP) {
    set up a server accepting connections
    this means waiting for the client on the other side to connect
  } else {
    ready
  }
}

The exact behavior of this algorithm depends on the values of the fields of the special file name. When in doubt, use the following table that gives you the combinations of values and their meaning. If you think this table is too complicated, restrict yourself to the three lines printed in bold letters. All the examples in Using Networking from gawk, use only the patterns printed in bold letters.

PROTOCOL LOCAL PORT HOST NAME REMOTE PORT RESULTING CONNECTION LEVEL BEHAVIOR
tcp 0 x x dedicated client, fails if immediately connecting to a server on the other side fails
udp 0 x x dedicated client
raw 0 x 0 dedicated client, works only as root
tcp, udp x x x client, switches to dedicated server if necessary
tcp, udp x 0 0 dedicated server
raw 0 0 0 dedicated server, works only as root
tcp, udp, raw x x 0 invalid
tcp, udp, raw 0 0 x invalid
tcp, udp, raw x 0 x invalid
tcp, udp 0 0 0 invalid
tcp, udp 0 x 0 invalid
raw x 0 0 invalid
raw 0 x x invalid
raw x x x invalid

Comparing Protocols

Now we will develop a pair of programs (sender and receiver) that do nothing but send a time stamp from one machine to another. We will implement the sender and the receiver with each of the three protocols available and discover the differences between them.

/inet/tcp

Once again, you should always use TCP. There are few circumstances that justify the use of UDP or RAW. We can take as an example the sender program, which is described in detail in Setting Up a Service.

# Server
BEGIN {
  print strftime() |& "/inet/tcp/8888/0/0"
  close("/inet/tcp/8888/0/0")
}

The receiver is almost identical to the first example in Establishing a TCP Connection. If you want this pair of scripts to exchange data, proceed as described there.

# Client
BEGIN {
  "/inet/tcp/0/localhost/8888" |& getline
  print $0
  close("/inet/tcp/0/localhost/8888")
}

TCP guarantees that the bytes at the receiving end arrive in exactly the same order that they were sent. No byte will be lost (except for broken connections), no byte doubled, no byte out of order. Some overhead is necessary to accomplish this but this is the price we pay for a reliable service.

It does matter which side starts first. The sender/server has to be started first and will wait for the receiver to read a line.

/inet/udp

Both programs are almost identical to their TCP counterparts. Only the protocol has changed. As before, it does matter which side starts first. The receiving side will block and wait for the sender. So, in this case, the receiver/client has to be started first.

# Server
BEGIN {
  print strftime() |& "/inet/udp/8888/0/0"
  close("/inet/udp/8888/0/0")
}

The receiver is almost identical to the first example of this chapter:

# Client
BEGIN {
  "/inet/udp/0/localhost/8888" |& getline
  print $0
  close("/inet/udp/0/localhost/8888")
}

UDP cannot guarantee that the datagrams at the receiving end arrive in exactly the same order that they were sent. Some datagrams could be lost, some doubled, and some out of order. But no overhead is necessary to accomplish this. This unreliable behavior is good enough for tasks like data acquisition, logging and even stateless services like NFS.

/inet/raw

This is an IP level protocol. Only root is allowed to access this special file. It is meant to be the basis for implementing and experimenting with transport level protocols.3 In the most general case, the sender has to supply the encapsulating header bytes in front of the packet and the receiver has to strip the additional bytes from the message.

RAW receivers cannot receive packets sent with TCP or UDP because the operating system will not deliver the packets to a RAW receiver. The operating system knows about some of the protocols on top of IP and will decide on its own which packet to deliver to which process. (d.c.) See Richard Stevens' home page and books. Therefore we have to use the UDP receiver for receiving UDP datagrams sent with the RAW sender. This is a dark corner, not only of gawk, but also of TCP/IP implementations.

If you are interested in playing with protocols, you will benefit from the approach implemented in a tool called SPAK, see. This tool reflects the hierarchical layering of protocols (encapsulation) in the way data streams are piped out of one program into the next one. You can see which protocol is based on which other (lower level) protocol by looking at the command line ordering of the program calls. Cleverly thought out, SPAK will serve you much better than gawk's /inet if you want to learn the meaning of each and every bit in the protocol headers.

We will use the RAW protocol to emulate the behavior of UDP. The sender program is the same as above but with some additional bytes that fill the places of the UDP fields.

BEGIN {
  Message = "Hello world\n"
  SourcePort = 0
  DestinationPort = 8888
  MessageLength = length(Message)+8
  RawService = "/inet/raw/0/localhost/0"
  printf("%c%c%c%c%c%c%c%c%s",
      SourcePort/256, SourcePort%256,
      DestinationPort/256, DestinationPort%256,
      MessageLength/256, MessageLength%256,
      0, 0, Message) |& RawService
  fflush(RawService)
  close(RawService)
}

Since we try to emulate the behavior of UDP, we will check if the RAW sender is understod by the UDP receiver but not if the RAW receiver can understand the UDP sender (see above). In a real network, the RAW receiver will hardly be of any use because it gets every IP packet that comes across the network. There will usually be so many packets that gawk would be too slow for processing them. Only on a network with little traffic can you test the IP-level receiver program. Programs for analyzing IP traffic on modem or ISDN channels should be possible.

Port numbers do not have a meaning when using /inet/raw. Their fields have to be 0. Only TCP and UDP use ports. Receiving data from /inet/raw is difficult not only because of processing speed but also because data will usually be binary and not restricted to ASCII. This implies that line separation with RS will not work as usual.

Using Networking from gawk

The awk programming language was originally developed as a pattern-matching language for writing short programs to perform data manipulation tasks. It was never meant to be used for networking purposes. awk's strength is the manipulation of textual data that is stored in files. If we want to exploit its features in a networking context, we have to use an access mode for network connections that resembles the access of files as closely as possible. Therefore we have the following three special files (listed in descending order of importance). These files let us use the protocols of the same name for establishing connections.

In this chapter, we will only demonstrate how to use the TCP protocol. The other protocols are much less important for most users (UDP) or even untractable (RAW).

awk is also meant to be a prototyping language. It is used to demonstrate feasibility and to play with features and user interfaces. This can be done with the above mentioned file-like handling of network connections. For the convenience of simple handling, we trade the lack of many of the advanced features of the TCP/IP family of protocols. Such features are available when programming in C or perl. In fact, what we do in this chapter is very similar to what is described in books like Internet Programming with Python and Advanced Perl Programming or Web Client Programming with Perl. But we do it without first having to learn object oriented ideology, underlying languages like Tcl/Tk, perl, Python, or all of the libraries necessary to extend these languages before they are ready for the Internet.

Establishing a TCP Connection

Let us observe a network connection at work. Type in the following program and watch the output. Within a second it connects via TCP (/inet/tcp) to the machine it is running on (localhost) and asks the service daytime on the machine what time it is.

BEGIN {
  "/inet/tcp/0/localhost/daytime" |& getline
  print $0
  close("/inet/tcp/0/localhost/daytime")
}

Even experienced awk users will find the second line strange in two respects:

Arnold Robbins introduced the |& operator in order to overcome the crucial restriction that access to files and pipes in awk is always uni-directional. It was formerly impossible to use both access modes on the same file or pipe. Instead of changing the whole concept of file access, he decided to introduce the |& operator which behaves exactly like the usual pipe operator except for two additions:

What happens in this program? The operator |& tells getline to read a line from the special file /inet/tcp/0/localhost/daytime. We could also have printed a line into the special file. But instead we just read a line with the time, printed it and closed the connection. (While we could just let gawk close the connection by finishing the program, in this web page we are pedantic, and always explicitly close the connections.)

It may well be that for some reason the above program does not run on your machine. When looking at possible reasons for this you will learn much about typical problems that arise in network programming. First of all your implementation of gawk may not support network access because it is a pre 3.1 version or you do not have a network interface in your machine. Perhaps your machine uses some other protocol like DECnet or Novell's IPX. For the rest of this chapter we will assume you work on a Unix machine that supports TCP/IP. If the above program does not run on such a machine, it may help to replace the name localhost with the name of your machine or its IP address. If it does, you could replace localhost with the name of another machine in your vicinity. This way, the program connects to another machine. Now you should see the date and time being printed by the program. Otherwise your machine may not support the daytime service. Try changing the service to chargen or ftp. This way, the program connects to other services that should give you some response. If you are curious, you should have a look at your file /etc/services. It could look like this:

# /etc/services:
#
# Network services, Internet style
#
# Name     Number/Protcol  Alternate name # Comments

echo        7/tcp
echo        7/udp
discard     9/tcp         sink null
discard     9/udp         sink null
daytime     13/tcp
daytime     13/udp
chargen     19/tcp        ttytst source
chargen     19/udp        ttytst source
ftp         21/tcp
telnet      23/tcp
smtp        25/tcp        mail
finger      79/tcp
www         80/tcp        http      # WorldWideWeb HTTP
www         80/udp        # HyperText Transfer Protocol
pop-2       109/tcp       postoffice    # POP version 2
pop-2       109/udp
pop-3       110/tcp       # POP version 3
pop-3       110/udp
nntp        119/tcp       readnews untp  # USENET News
irc         194/tcp       # Internet Relay Chat
irc         194/udp
...

Here, you find a list of services that traditional Unix machines usually support. If your GNU/Linux machine does not do so, it may be that these services are switched off in some startup script. Systems running some flavor of Microsoft Windows usually do not support such services. Nevertheless, it is possible to do networking with gawk on Microsoft Windows. The first column of the file gives the name of the service, the second a unique number and the protocol that one can use to connect to this service. The rest of the line is treated as a comment. You see that some services (echo) support TCP as well as UDP.

Interacting with a Network Service

The next program makes use of the possiblity to really interact with a network service by printing something into the special file. It asks the so-called finger service if a user of the machine is logged in. When testing this program, you should also try to change localhost to some other machine name in your local network.

BEGIN {
  NetService = "/inet/tcp/0/localhost/finger"
  print "name" |& NetService
  while ((NetService |& getline) > 0)
    print $0
  close(NetService)
}

After telling the service on the machine which user it is looking for, the program repeatedly reads lines that come as a reply. When no more lines are coming (because the service has closed the connection), the program also closes the connection. Try replacing "name" by your login name or the name of someone else logged in. If you want a list of all users currently logged in, replace name by an empty string "".

You could safely delete the final close command from the above script because the operating system closes any open connection by default when a script reaches the end of execution. In order to avoid portability problems, we always close connections explicitly. With the Linux kernel, for example, proper closing results in flushing of buffers, while letting the close happen by default may result in discarding buffers.

In the early days of the Internet (until around 1992), you could use such a program to check if some user in another country was logged in on a specific machine. RFC 1288 will give you the exact definition of the finger protocol. Every contemporary Unix system also has a command named finger, which functions as a client for the protocol of the same name. Still today, some people maintain simple information systems with this ancient protocol. For example, by typing

finger quake@seismo.unr.edu

[...]

DATE-(UTC)-TIME   LAT    LON      DEP   MAG    COMMENTS
yy/mm/dd hh:mm:ss   deg.   deg.    km

98/12/14 21:09:22  37.47N 116.30W   0.0 2.3Md  76.4 km   S of WARM SPRINGS, NEVA
98/12/14 22:05:09  39.69N 120.41W  11.9 2.1Md  53.8 km WNW of RENO, NEVADA
98/12/15 14:14:19  38.04N 118.60W   2.0 2.3Md  51.0 km   S of HAWTHORNE, NEVADA
98/12/17 01:49:02  36.06N 117.58W  13.9 3.0Md  74.9 km  SE of LONE PINE, CALIFOR
98/12/17 05:39:26  39.95N 120.87W   6.2 2.6Md 101.6 km WNW of RENO, NEVADA
98/12/22 06:07:42  38.68N 119.82W   5.2 2.3Md  50.7 km   S of CARSON CITY, NEVAD

you get the latest Earthquake Bulletin for the state of Nevada. It contains time, location, depth, magnitude and a short comment about the earth quakes registered in that region during the last 10 days. In many places today the use of such services is restricted because most networks have firewalls and proxy servers between themselves and the Internet. Most firewalls are programmed to not let finger requests go beyond the local network.

Another (ab)use of the finger protocol are several Coke machines that are connected to the Internet. There is a short list of such Coke machines. You can access them either from the command line or with a simple gawk script. They will usually tell you about the different flavors of Coke and Beer available there. If you have an account there, you can even order some drink this way.

When looking at /etc/services you may have noticed that the daytime service is also available with udp. In the example above change tcp to udp and finger to daytime. After starting the example, you will see the expected day and time message and then the program hangs because it waits for more lines coming from the service, but they never come. This behavior is a consequence of the differences between TCP and UDP. When using UDP, neither party is automatically informed about the other closing the connection. When continuing to experiment this way you will experience many other subtle differences between TCP and UDP. To avoid such trouble one should always remember the advice Comer and Stevens give in Volume III of their series Internetworking With TCP (page 14):

When designing client-server applications, beginners are strongly advised to use TCP because it provides reliable, connection-oriented communication. Programs only use UDP if the application protocol handles reliability, the application requires harware broadcast or multicast, or the application cannot tolerate virtual circuit overhead.

Setting Up a Service

The preceding programs behaved as clients which connected to a server somewhere on the Internet and requested a certain service. Now we will set up such a service ourselves which mimics the behavior of the daytime service. Such a server does not know in advance who is going to connect to it over the network. Therefore we cannot insert a name for the host to connect to in our special file name.

Start the following program in one window. Notice that our service does not have the name daytime but the number 8888. From looking at /etc/services you know that names like daytime are just mnemonics for predetermined 16 bit integers. Only the system administrator (root) could enter our new service into /etc/services with an appropriate name. Also notice that the service name has to be entered into a different field of the special file name because here we set up a server, not a client.

BEGIN {
  print strftime() |& "/inet/tcp/8888/0/0"
  close("/inet/tcp/8888/0/0")
}

Now open another window (on the same machine). Copy the client program given as the first example (see Establishing a TCP Connection) to a new file and edit it, changing the name daytime to 8888. Then start the modified client. You should get a reply like this:

Sat Sep 27 19:08:16 CEST 1997

Both programs will explicitly close the connection.

Now we will intentionally make a mistake to see what happens when the name 8888 (the so called port) is already used by another service. Start the server program in both windows. The first one will work, but the second one will complain that it could not open the connection. Each port on a single machine can only be used by one server program at a time. Now terminate the server program and change the name 8888 to echo. After restarting it, the server program will not run any more and you know why: There already is an echo service running on your machine. But even if there was no echo service already running, on a Unix machine you would not get your own echo server running, because the ports with numbers smaller than 1024 (echo is at port 7) are reserved for root. On machines running some flavor of Microsoft Windows, there is no restriction that reserves ports 1 to 1024 for a privileged user and hence you can start one echo server there.

Turning this short server program into something really useful is simple. Imagine a server that first reads a file name from the client through the network connection, then does something with the file of that name and finally sends the result back to the client. The server side processing could be

BEGIN {
  NetService = "/inet/tcp/8888/0/0"
  NetService |& getline
  CatPipe    = ("cat " $1)
  while ((CatPipe | getline) > 0)
    print $0 |& NetService
  close(NetService)
}

and we would have a remote copying facility. Such a server reads the name of a file from any client that connects to it and transmits the contents of the named file across the net. The server side processing could also be the execution of a command that was transmitted across the network. From this example you can see how simple it is to open up a security hole on your machine. If you really allowed clients to connect to your machine and execute arbitrary commands, anyone would be free to do rm -rf *.

Reading Email

Have you ever wondered what your email client does when it retrieves your email from the email server? In this section we will see.

The distribution of email is usually done by dedicated email servers that communicate with your machine using special protocols. To receive email, we will use the Post Office Protocol (POP) which is defined in RFC 1939. Sending can be done with the much older Simple Mail Transfer Protocol (SMTP) which is defined in RFC 821, see RFCs in HTML.

When you type in the following program, replace the emailhost by the name of your local email server. Ask your administrator if the server has a POP service and then replace its name or number in the program below. Now the program is ready to connect to your email server but it will not succeed in retrieving your mail because it does not yet know your login name and your password. Replace them in the program and the program will show you the first email the server has in store.

BEGIN {
  POPService  = "/inet/tcp/0/emailhost/pop3"
  RS = ORS = "\r\n"
  print "user name"             |& POPService
  POPService                    |& getline
  print "pass password"         |& POPService
  POPService                    |& getline
  print "retr 1"                |& POPService
  POPService                    |& getline
  if ($1 != "+OK") exit
  print "quit"                  |& POPService
  RS = "\r\n.\r\n"
  POPService |& getline
  print $0
  close(POPService)
}

The record separators RS and ORS are redefined because the protocol (POP) requires CR-LF to separate lines. After identifying yourself to the email service, the command retr 1 instructs the service to send the first of all your emails in line. If the service replies with something other than +OK, the program exits; maybe there is no email. Otherwise the program first announces that it intends to finish reading email and finally redefines RS in order to read the entire email as multiline input in one record. From RFC 1939 we know that the body of the email always ends with a single line containing a single dot. You can invoke this program as often as you like; it will not delete the message it reads, but instead leaves it on the server.

Reading a Web Page

Could it be that retrieving a web page from a web server is as simple as retrieving an email from an email server? Yes, it is. We only have to use a similar but not identical protocol and a different port. The name of the protocol is HyperText Transfer protocol (HTTP) and the port number usually is 80. As in the preceding section, ask your administrator about the name of your local web server or proxy web server and its port number for HTTP requests.

More detailed information about HTTP can be found at the home of the web protocols including the specification of HTTP in RFC 2068. The protocol specification in RFC 2068 is concise and you can get it for free. If you need more explanation and you are willing to pay for a book, you might be interested in one of these books:

  1. When we started writing web clients and servers with gawk, the only book available with details about HTTP was the one by Paul Hethmon called Illustrated Guide to HTTP. Hethmon not only describes HTTP, he also implements a simple web server in C++.
  2. Since July 2000, O'Reilly offers the book by Clinton Wong called HTTP Pocket Reference. It only has 75 pages but its focus definitely is HTTP. This pocket reference is not a replacement for the RFC, but I wish I had had it back in 1997 when I started writing scripts to handle HTTP.
  3. Another small booklet about HTTP is the one by Toexcell Incorporated Staff, ISBN 1-58348-270-9, called Hypertext Transfer Protocol Http 1.0 Specifications

The following program employs a rather crude approach toward retrieving a web page because it uses the prehistoric syntax of HTTP 0.9 which almost all web servers still support. The most noticeable thing about it is that the program directs the request to the local proxy server whose name you insert in the special file name (which in turn calls www.yahoo.com).

BEGIN {
  RS = ORS = "\r\n"
  HttpService = "/inet/tcp/0/proxy/80"
  print "GET http://www.yahoo.com"     |& HttpService
  while ((HttpService |& getline) > 0)
     print $0
  close(HttpService)
}

Here, again, lines are separated by a redefined RS and ORS. The GET request that we send to the server is the only kind of HTTP request that existed when the web was created in the early 1990's. HTTP calls this GET request a "method" that tells the service to transmit a web page (here the home page of the Yahoo search engine). Version 1.0 (RFC 1945) added the request methods HEAD and POST. The current version of HTTP is 1.15 and knows the additional request methods OPTIONS, PUT, DELETE, and TRACE. You can fill in any valid web address and the program will print the HTML code of that page to your screen.

Notice the similarity between the responses of the POP and HTTP services. First you get a header that is terminated by an empty line and then you get the body of the page in HTML. The lines of the headers also have the same form as in POP. First there is the name of a parameter, then a colon and finally the value of that parameter.

You can also retrieve images (.png or .gif files) this way, but then you will get binary data that should be redirected into a file. Another application is calling a CGI (Common Gateway Interface) script on some server. CGI scripts are used when the contents of a web page are not constant but generated instantly at the moment you send a request for the page. For example, to get a detailed report about the current quotes of Motorola stock shares, call a CGI script at Yahoo with:

get = "GET http://quote.yahoo.com/q?s=MOT&d=t"
print get |& HttpService

You could also call for weather reports this way. A good book to go on with is the HTML Source Book. There are also some books on CGI programming like the one by Thomas Boutell and this one. Another good source is The CGI Resource Index.

A Primitive Web Service

Now we know enough about HTTP to set up a primitive web service that just says "Hello world" when someone connects to it with a web browser. Compared to the situation in the preceding section, our program changes the role. It tries to behave just like the server we have observed. Since we are setting up a server here, we have to insert the port number in the localport field of the special file name. The other two fields (hostname and remoteport) have to contain a 0 because we do not know in advance which host will connect to our service.

In the early 1990's all a server had to do was send an HTML document and close the connection. Here we will adhere to the modern syntax of HTTP. The steps are:

  1. Send a status line telling the web browser that everything is OK.
  2. Send a line to tell the browser how many bytes follow in the body of the message. This was not necessary in the early 1990's because both parties knew that the document ended when the connection closed. Nowadays it is possible to stay connected after the transmission of one web page. This is to avoid the network traffic necessary for repeatedly establishing TCP connections for requesting several images. Therefore the need to tell the receiving party how many bytes will be sent. The header is terminated as usual with an empty line.
  3. Send the "Hello world" body in HTML. The useless while loop swallows the request of the browser. We could actually omit the loop and on most machines the program would still work.

To check this one out, first start the following program.

BEGIN {
  RS = ORS = "\r\n"
  HttpService = "/inet/tcp/8080/0/0"
  Hello = "<HTML><H1>Hello world</H1></HTML>"
  Len = length(Hello) + length(ORS)
  print "HTTP/1.0 200 OK"          |& HttpService
  print "Content-Length: " Len ORS |& HttpService
  print Hello                      |& HttpService
  while ((HttpService |& getline) > 0)
     continue;
  close(HttpService)
}

Now (on the same machine) start your favorite browser and let it point to <http://localhost:8080>. You see, the browser needs to know on which port our server is listening for requests. If this does not work, the browser probably tries to connect to a proxy server which does not know your machine. Then, change the browser's configuration so that the browser will not try to use a proxy to connect to your machine.

A Web Service with Interaction

Setting up a web service that allows user interaction is more difficult and leads us to the limits of network access in gawk. In this section, we develop a main program (a BEGIN pattern and its action) that will become the core of event-driven execution controlled by a graphical user interface (GUI). Each HTTP event that the user triggers by some action within the browser will be received in this central procedure. Parameters and menu choices are extracted from this request and an appropriate measure is taken according to the user's choice.

BEGIN {
  if (MyHost == "") {
     "uname -n" | getline MyHost
     close("uname -n")
  }
  if (MyPort ==  0) MyPort = 8080
  HttpService = "/inet/tcp/" MyPort "/0/0"
  MyPrefix    = "http://" MyHost ":" MyPort
  SetUpServer()
  while ("Perl" != "elegant") {
    RS = ORS    = "\r\n"          # header lines are terminated this way
    Status      = 200             # this means OK
    Reason      = "OK"
    Header      = TopHeader
    Document    = TopDoc
    Footer      = TopFooter
    if        (GETARG["Method"] == "GET")     { HandleGET()
    } else if (GETARG["Method"] == "HEAD")    { # not yet implemented
    } else if (GETARG["Method"] != "") { print "bad method",GETARG["Method"]
    }
    Prompt = Header Document Footer
    print "HTTP/1.0", Status, Reason                      |& HttpService
    print "Connection: Close"                             |& HttpService
    print "Pragma: no-cache"                              |& HttpService
    print "Content-length:", length(Prompt) + length(ORS) |& HttpService
    print ORS Prompt                                      |& HttpService
    while ((HttpService |& getline) > 0) ; # ignore all the header lines
    close(HttpService)                     # stop talking to this client
    HttpService |& getline                 # wait for new client request
    print systime(), strftime(), $0        # do some logging
    CGI_setup($1, $2, $3)                  # read request parameters
  }
}

This web server presents menu choices in the form of HTML links. Therefore, it has to tell the browser the name of the host it is residing on. When starting the server, the user may supply the name of the host from the command line with gawk -v MyHost="Rumpelstilzchen". If he does not do this, the server looks up the name of the host it is running on for later use as a web address in HTML documents. The same applies to the port number. These values will later be inserted into the HTML content of the web pages to refer to the home system.

Each server that we will build around this core has to initialize some application dependent variables (like the default home page) in a procedure SetUpServer, which will be called immediately before entering the infinite loop of the server. For now, we will write an instance that initiates a trivial interaction. With this home page, the client user can click on two possible choices and will get the current date either in human readable format or in seconds since 1970.

function SetUpServer() {
  TopHeader = "<HTML><title>My name is GAWK, GNU AWK</title></HEAD>"
  TopDoc    = "<h2>\
    Do you prefer your date <A HREF=" MyPrefix "/human>human</A> or\
    <A HREF=" MyPrefix "/POSIX>POSIXed</A>?</h2>" ORS ORS
  TopFooter = "</BODY></HTML>"
}

On the first run through the main loop, the default line terminators are set and the default home page is copied to the actual home page. Since this is the first run, GETARG["Method"] is not initialized yet, hence the case selection over the method does nothing. Now that the home page is initialized, the server can start communicating to a client browser.

It does so by printing the HTTP header into the network connection (print ... |& HttpService). This command blocks execution of the server script until a client connects. If you compare this server script with the primitive one we wrote before, you will notice two additional lines in the header. The first instructs the browser to close the connection after each request. The second one tells the browser that it should never try to remember earlier requests that had identical web addresses (no caching). Otherwise it could happen that the browser retrieves the time of day in the example above just once and later it takes the web page from the cache, always displaying the same time of day, although time advances each second.

Having supplied the initial home page to the browser with a valid document stored in the parameter Prompt, it closes the connection and waits for the next request. When the request comes, a log line is printed that allows us to see which request the server receives. The final step in the loop is to call the function CGI_setup which reads all the lines of the request (coming from the browser), processes them and stores the transmitted parameters. You will find the complete text of these application independent functions in A Simple CGI Library. For now we will use a simplified version of CGI_setup.

function CGI_setup(   method, uri, version, i) {
  delete GETARG;         delete MENU;        delete PARAM
  GETARG["Method"] = $1; GETARG["URI"] = $2; GETARG["Version"] = $3
  i = index($2, "?")
  if (i > 0) {             # is there a "?" indicating a CGI request?
    split(substr($2, 1, i-1), MENU, "[/:]")
    split(substr($2, i+1), PARAM, "&")
    for (i in PARAM) {
      j = index(PARAM[i], "=")
      GETARG[substr(PARAM[i], 1, j-1)] = substr(PARAM[i], j+1)
    }
  } else {             # there is no "?", no need for splitting PARAMs
    split($2, MENU, "[/:]")
  }
}

At first, the function clears all variables that are used for global storage of request parameters. The rest of the function serves the purpose of filling the global parameters with the extracted new values. To accomplish this, the name of the requested resource is split into parts and stored for later evaluation. If the request contains a ?, then the request has CGI variables seamlessly appended to the web address. Everything in front of the ? is split up into menu items and everything behind the ? is a list of variable=value pairs (separated by &) that also need splitting. This way, CGI variables are isolated and stored. This procedure lacks recognition of special characters that are transmitted in coded form (as defined in RFC 2068). Here, any optional request header and body parts are ignored. We do not need header parameters and the request body, but when refining our approach or working with the POST and PUT methods, reading the header and body will become inevitable. Header parameters should then be stored in a global array as well as the body.

On each subsequent run through the main loop, one request from a browser is received, evaluated and answered according to the user's choice. This can be done by letting the value of the HTTP method guide the main loop into execution of the procedure HandleGET which evaluates the user's choice. In this case, we have only one hierarchical level of menus, but menus are nested in the general case. The menu choices at each level are separated by / just like in file names. Notice how simple it is to construct menus of arbitrary depth.

function HandleGET() {
  if(        MENU[2] == "human") {
    Footer  =  strftime() TopFooter
  } else if (MENU[2] == "POSIX") {
    Footer  =  systime()  TopFooter
  }
}

The main disadvantage of this approach is that our server is slow and can handle only one request at a time. Its main advantage is that the server consists of just one gawk program. No need for installing an httpd, no need for static separate HTML files, CGI scripts or root privileges. This is rapid prototyping.

Start this program on the same host that runs your browser. Then let your browser point to <http://localhost:8080>.

It is also possible to include images into the HTML pages. Most browsers support the not very well-known .xbm format, which may contain only monochrome pictures but is an ASCII format. Binary images are possible but not so easy to handle. Another way of including images is to generate them with a tool like GNUPLOT by calling the tool with the system function or through a pipe.

A Simple Web Server

In the preceding section, we built the core logic for event driven GUIs. In this section, we will finally extend the core to a real application. No one would actually write a commercial web server in gawk but it is instructive to see that it is feasible in principle.

The application is ELIZA, the famous program by Joseph Weizenbaum that mimics the behavior of a professional psychotherapist when talking to you. Weizenbaum would certainly object to this description, but this is part of the legend around ELIZA. Take the site independent core logic and append the following code.

You will recognize that SetUpServer is similar to the example above, except for calling another function, SetUpEliza. You can use this approach to implement other kinds of servers. The only changes needed to do so are hidden in the functions SetUpServer and HandleGET. Perhaps you also want to implement other HTTP methods. The igawk program that comes with gawk may be useful for this process.

When extending this example to a complete application, the first thing to do is to implement the function SetUpServer that initializes the HTML pages and some variables. These initializations determine the way your HTML pages will look (colors, titles, menu items etc.).

function SetUpServer() {
  SetUpEliza()
  TopHeader = "<HTML><title>An HTTP-based System with GAWK</title>\
               <HEAD><META HTTP-EQUIV=\"Content-Type\"\
               CONTENT=\"text/html; charset=iso-8859-1\"></HEAD>\
               <BODY BGCOLOR=\"#ffffff\" TEXT=\"#000000\" LINK=\"#0000ff\"\
                     VLINK=\"#0000ff\" ALINK=\"#0000ff\"> <A NAME=\"top\">"
  TopDoc    = "\
    <h2>Please choose one of the following actions:</h2>\
    <UL>\
      <LI><A HREF=" MyPrefix "/AboutServer>About this server</A>\
      <LI><A HREF=" MyPrefix "/AboutELIZA>About Eliza</A>\
      <LI><A HREF=" MyPrefix "/StartELIZA>Start talking to  Eliza</A>\
    </UL>"
  TopFooter = "</BODY></HTML>"
}

The function HandleGET decides which page the user wants to see next. It is a nested case selection. Each nesting level refers to a menu level of the GUI. Each case implements a certain action of the menu. On the deepest level of case selection the handler essentially knows what the user wants and stores the answer into the variable that holds the HTML page contents.

function HandleGET() {
  # A real HTTP server would treat some parts of the URI as a file name.
  # We take parts of the URI as menu choices and go on accordingly.
  if(MENU[2] == "AboutServer") {
    Document    = "This is not a CGI script.\
      This is an httpd, an HTML file and a CGI script all in one GAWK script.\
      It needs no separate www-server, no installation and no root privileges.\
      <br><br>To run it, do this:<br><ul>\
      <li> start this script with \"gawk -f httpserver.awk\",<br>\
      <li> and on the same host let your www browser open location\
           \"http://localhost:8080\"\
      </ul>\<br>\ Details of HTTP come from:<br><ul>\
            <li>Hethmon:  Illustrated Guide to HTTP<br>\
            <li>RFC 2068<br></ul><br>JK 14.9.1997<br>"
  } else if (MENU[2] == "AboutELIZA") {
    Document    = "This is an implementation of the famous ELIZA program\
                  by Joseph Weizenbaum. It is written in GAWK and uses\
                  an HTML GUI."
  } else if (MENU[2] == "StartELIZA") {
    gsub(/\+/, " ", GETARG["YouSay"])
    # Here we also have to substitute coded special characters
    Document    = "<form method=GET>" \
      "<h3>" ElizaSays(GETARG["YouSay"]) "</h3>\
      <br><input type=text name=YouSay value=\"\" size=60>\
      <br><input type=submit value=\"Tell her about it\"> </form>"
  }
}

Now we are down at the heart of ELIZA. Here you can see how it works. Initially the user does not say anything; then ELIZA resets its money counter and just asks the user to tell open heartedly what comes to mind. The subsequent answers are first converted to upper case and stored for later comparison. ELIZA will present the bill when being confronted with a sentence that contains the phrase "shut up." Otherwise it looks for keywords in the sentence, conjugates the rest of the sentence, remembers the keyword for later use and finally selects an answer from the set of possible answers.

function ElizaSays(YouSay) {
  if (YouSay == "") {
    cost = 0
    answer = "HI, IM ELIZA, TELL ME YOUR PROBLEM"
  } else {
    q = toupper(YouSay)
    gsub("'", "", q)
    if(q == qold) {
      answer = "PLEASE DONT REPEAT YOURSELF !"
    } else {
      if (index(q, "SHUT UP") > 0) {
        answer = "WELL, PLEASE PAY YOUR BILL. ITS EXACTLY ... $"\
                 int(100*rand()+30+cost/100)
      } else {
        qold = q
        w = "-"                 # no keyword recognized yet
        for (i in k) {          # search for keywords
          if (index(q, i) > 0) {
            w = i
            break
          }
        }
        if (w == "-") {         # no keyword, take old subject
          w    = wold
          subj = subjold
        } else {                # find subject
          subj = substr(q, index(q, w) + length(w)+1)
          wold = w
          subjold = subj        #  remember keyword and subject
        }
        for (i in conj)
           gsub(i, conj[i], q)   # conjugation
        # from all answers to this keyword, select one randomly
        answer = r[indices[int(split(k[w], indices) * rand()) + 1]]
        # insert subject into answer
        gsub("_", subj, answer)
      }
    }
  }
  cost += length(answer) # for later payment : 1 cent per character
  return answer
}

In the long but simple function SetUpEliza you can see tables for conjugation, keywords and answers. The associative array k[] contains indices into the array of answers r[]. To choose an answer, ELIZA just picks an index randomly.

function SetUpEliza() {
  srand()
  wold = "-"
  subjold = " "

  # table for conjugation
  conj[" ARE "     ] = " AM "
  conj["WERE "     ] = "WAS "
  conj[" YOU "     ] = " I "
  conj["YOUR "     ] = "MY "
  conj[" IVE "     ] =\
  conj[" I HAVE "  ] = " YOU HAVE "
  conj[" YOUVE "   ] =\
  conj[" YOU HAVE "] = " I HAVE "
  conj[" IM "      ] =\
  conj[" I AM "    ] = " YOU ARE "
  conj[" YOURE "   ] =\
  conj[" YOU ARE " ] = " I AM "

  # table of all answers
  r[1]   = "DONT YOU BELIEVE THAT I CAN  _"
  r[2]   = "PERHAPS YOU WOULD LIKE TO BE ABLE TO _ ?"
  ...

  # table for looking up answers that fit to a certain keyword
  k["CAN YOU"]      = "1 2 3"
  k["CAN I"]        = "4 5"
  k["YOU ARE"]      =\
  k["YOURE"]        = "6 7 8 9"
}

Some interesting remarks and details (including the original source code of ELIZA) can be found on Mark Humphrys' home page. Yahoo also has a page with a collection of ELIZA-like programs. Many of them are written in Java and some even supply source code.

Network Programming Caveats

By now you have probably noticed that debugging a networked application is more complicated than debugging a single-process/single-hosted application. The behavior of a networked application sometimes looks non-causal because it is not reproducible in a strong sense. Wether your network application works or not sometimes depends on

  1. how crowded the underlying network is
  2. if the party at the other end is running or not
  3. the state of the party at the other end

The most difficult problems for a beginner arise from hidden states of the underlying network. After closing a TCP connection, you often have to wait a short while before reopening the connection. Even more difficult is the establishment of a connection that formerly ended with a "broken pipe." Those connections have to "time out" for a minute or so before you can reopen the connection. You can check this with the command netstat -a which gives you a list of still "active" connections.

Where To Go From Here

Now, you have learned enough to build your own application. You could, for example, take part in the Loebner Contest to win $100,000. The Loebner Prize is the first formal instantiation of a Turing Test. Hugh Loebner agreed with The Cambridge Center for Behavioral Studies to underwrite a contest designed to implement the Turing Test. Dr. Loebner pledged a Grand Prize of $100,000 for the first computer whose responses were indistinguishable from a human's. Each year an annual prize of $2000 and a bronze medal is awarded to the most human computer. The winner of the annual contest is the best entry relative to other entries that year, irrespective of how good it is in an absolute sense. Here is an example of a conversation with the winning program of 1997:

(c)1997 Cambridge Center For Behavioral Studies all rights reserved [CONVERSE]
[Intelligent Research Ltd.] Start at: [1997/04/29 08:59:40]
PROGRAM[10:39:20]Hi, my name is Catherine, what's yours?
JUDGE02[10:39:36]My name is Nathan.
PROGRAM[10:39:37]Well, it's nice to meet you, Nathan.
PROGRAM[10:39:45]Did you see that story on CNN last night about the lesbian
PROGRAM[10:40:03]couple who came out at a White House party on Sunday?
JUDGE02[10:40:45]No.  I'm sorry I missed that.  How did the Prez take it?
PROGRAM[10:40:47]Ellen Degeneres was one of them - she was kissing her lover
PROGRAM[10:41:08]in front of Bill Clinton. Do you think he was very
PROGRAM[10:41:21]embarrassed?
JUDGE02[10:41:37]You tell me.  I didn't see it.
PROGRAM[10:41:38]Are you still a Friend of Bill Clinton?
JUDGE02[10:42:22]Yes.  I would like to talk about something else.  Do you know anything about sculpture.
PROGRAM[10:42:24]Well, I suppose he's doing his best like most of us, but he
PROGRAM[10:42:35]does seem to attract an UNUSUAL amount of bad publicity,
PROGRAM[10:42:51]wouldnt you say--can it all be bad luck?
JUDGE02[10:43:20]I asked you if you knew anything about sculpture.
PROGRAM[10:43:21]OK, but what happens now--does it all drift on, with
PROGRAM[10:43:36]everyone waiting to see how much his friends have said about
PROGRAM[10:43:47]him under threat of lots and lots of jail-or will something
PROGRAM[10:44:01]dramatic actually happen?
JUDGE02[10:44:19]Do you know what sculpture is?
PROGRAM[10:44:20]Well, youre more a fan of his than I am I guess---though I
PROGRAM[10:44:34]cant SWEAR what Id have done in that locked hotel room, I
PROGRAM[10:44:51]must say.
JUDGE02[10:45:26]Have you ever been to the Salmagundi Club?
PROGRAM[10:45:29]Never. to go back to the original discussion Time to get
PROGRAM[10:45:43]off this one I think and onto something more down to earth!
JUDGE02[10:46:20]What is more down to earth than art?
PROGRAM[10:46:21]I don't know what -- to be honest. -
PROGRAM[10:46:30]I suppose it depends on where you're coming from, but as the
PROGRAM[10:46:46]song goes in My Fair Lady, "Why can't a woman be more like a
PROGRAM[10:47:03]man? "
JUDGE02[10:47:52]I liked that song but I prefer "Why can't children be more like we are"
JUDGE02[10:48:10]from another play the name of which I cannot remember.
PROGRAM[10:48:12]What, if anything, do you enjoy about being a man?
JUDGE02[10:49:01]I would enjoy all aspects of life no matter what my gender.
PROGRAM[10:49:02]Do you think of yourself as being attractive?

This program insists on always speaking about the same story around Bill Clinton. You see, even a program with a rather narrow mind can behave so much like a human being that it can win this prize. It is quite common to let these programs talk to each other via network connections. But during the competition itself, the program and its computer have to be present at the place the competition is held. We all would love to see a gawk program win in such an event. Maybe it is up to you to accomplish this?

Some other ideas for useful networked applications:

Some Applications and Techniques

In this chapter, we will look at some self-contained scripts that meet at least one of these criteria:

Here, the emphasis is on concise networking. The applications mentioned near the end of Where To Go From Here, do not meet this requirement because they will result in long programs that need careful examination of many special cases and in-depth knowledge of vast areas of well established fields other than networking.

We will often refer to the site-independent core of the server that we built in A Simple Web Server. This means the BEGIN part of the ELIZA program. When building new and non-trivial servers, we will always copy this building block and append new instances of the two functions SetUpServer and HandleGET.

Does it really make sense to employ this same scheme again and again with varying content? Yes, because this scheme of event-driven execution provides gawk with an interface to the most widely accepted standard for GUIs: the web browser. Now, gawk can even rival Tcl/Tk.

Tcl and gawk have much in common. Both are simple scripting languages that allow us to quickly solve problems with short programs. But Tcl has Tk on top of it and gawk had nothing comparable up to now. While Tcl needs a large and ever changing libray (Tk, which was bound to the X-Window environment until recently), gawk needs just the networking interface and some kind of browser on the client's side. Besides better portability, the most important advantage of this approach (embracing well established standards like HTTP and HTML) is, that we do not need to change the language. We let others do the work of fighting over protocols and standards. We can use HTML, JavaScript, VRML or whatever else comes along to do our work.

PANIC: An Emergency Web Server

Perhaps you thought the "Hello world" example in A Primitive Web Service, was useless? By adding just a few lines, we can turn it into something useful.

The PANIC program below tells everyone who connects that the local site is not working. When a web server breaks down, it makes a difference if customers get a strange "network unreachable" message or a short message telling them that the server has a problem. In such an emergency the hard disk and everything on it (including the regular web service) may be unavailable. Rebooting the web server off a diskette makes sense in this setting.

To start the PANIC program as an emergency web server, you need just the gawk executable and the program below on your diskette. By default, it will connect to port 8080. You can supply a different value from the command line.

BEGIN {
  RS = ORS = "\r\n"
  if (MyPort ==  0) MyPort = 8080
  HttpService = "/inet/tcp/" MyPort "/0/0"
  Hello = "<HTML><H1>" \
     "This site is temporarily out of service." \
     "</H1></HTML>"
  Len = length(Hello) + length(ORS)
  while ("Perl" != "elegant") {
    print "HTTP/1.0 200 OK"          |& HttpService
    print "Content-Length: " Len ORS |& HttpService
    print Hello                      |& HttpService
    while ((HttpService |& getline) > 0)
       continue;
    close(HttpService)
  }
}

GETURL: Retrieving Web Pages

GETURL is a versatile building block for shell scripts that need to retrieve files from the Internet. It takes a web address as command line parameter and tries to retrieve the contents of this address. The contents are printed to standard ouput, while the header is printed to /dev/stderr. A surrounding shell script could analyze the contents and extract the text or the links. An ASCII browser could be written around GETURL. But more interestingly, web robots are straightforward to write on top of GETURL. On the Internet, you can find several programs of the same name that do the same job. They are usually much more complex internally and at least 10 times longer.

At first, GETURL checks if it was called with exactly one web address. Then, it checks if the user chose to use a special proxy server whose name is handed over in a variable. By default, it is assumed that the local machine serves as proxy. GETURL uses the GET method by default to access the web page. By handing over the name of a different method (like HEAD) it is possible to choose a different behavior. With the HEAD method, the user will not receive the body of the page content but just the header.

BEGIN {
  if (ARGC != 2) {
    print "GETURL - retrieve web page via HTTP 1.0"
    print "IN:\n    the URL as a command line parameter"
    print "PARAM(S):\n    -v Proxy=MyProxy"
    print "OUT:\n    the page content on stdout"
    print "    the page header on stderr"
    print "JK 16.05.1997"
    print "ADR 13.08.2000"
    exit
  }
  URL = ARGV[1]; ARGV[1] = ""
  if (Proxy     == "")  Proxy     = "127.0.0.1"
  if (ProxyPort ==  0)  ProxyPort = 80
  if (Method    == "")  Method    = "GET"
  HttpService = "/inet/tcp/0/" Proxy "/" ProxyPort
  ORS = RS = "\r\n\r\n"
  print Method " " URL " HTTP/1.0" |& HttpService
  HttpService                      |& getline Header
  print Header > "/dev/stderr"
  while ((HttpService |& getline) > 0)
    printf "%s", $0
  close(HttpService)
}

You may change this program as needed, but be careful with the last lines. Make sure transmission of binary data is not corrupted by additional line breaks. Even as it is now, the byte sequence "\r\n\r\n" would disappear if it was contained in binary data. You might get caught in a trap when trying a quick fix on this one.

REMCONF: Remote Configuration of Embedded Systems

Today, you often find powerful processors in embedded systems. Dedicated network routers and controllers for all kinds of machinery are examples of embedded systems. Processors like the Intel x86 or the AMD Elan are able to run multitasking operating systems like XINU or GNU/Linux in embedded PCs.

These systems are small and usually do not have a keyboard or a display. Therefore it is difficult to set up their configuration. There are several widespread ways to set them up:

In this section, we will look at a solution that uses HTTP connections to control variables of an embedded system that are stored in a file. Since embedded systems have tight limits on resources like memory, it is difficult to employ advanced techniques like SNMP and HTTP servers. So, gawk fits in quite nicely with its single executable that needs just a short script to start working. The following program stores the variables in a file and a concurrent process in the embedded system may read the file. The program uses the site independent part of the simple web server that we developed in A Web Service with Interaction. As mentioned there, all we have to do is to write two new procedures SetUpServer and HandleGET.

function SetUpServer() {
  TopHeader = "<HTML><title>Remote Configuration</title>"
  TopDoc = "\
    <h2>Please choose one of the following actions:</h2>\
    <UL>\
      <LI><A HREF=" MyPrefix "/AboutServer>About this server</A>\
      <LI><A HREF=" MyPrefix "/ReadConfig>Read Configuration</A>\
      <LI><A HREF=" MyPrefix "/CheckConfig>Check Configuration</A>\
      <LI><A HREF=" MyPrefix "/ChangeConfig>Change Configuration</A>\
      <LI><A HREF=" MyPrefix "/SaveConfig>Save Configuration</A>\
    </UL>"
  TopFooter  = "</HTML>"
  if (ConfigFile == "") ConfigFile = "config.asc"
}

The function SetUpServer initializes the top level HTML texts as usual. It also initializes the name of the file that contains the configuration parameters and their values. In case the user supplied a name from the command line, that name is used. The file is expected to contain one parameter per line, with the name of the parameter in column one and the value in column two.

The function HandleGET reflects the structure of the menu tree as usual. The first menu choice tells the user what this is all about. The second choice reads the configuration file line by line and stores the parameters and their values. Notice that the record separator for this file is "\n" in contrast to the record separator for HTTP. The third menu choice builds up an HTML table to show the contents of the configuration file just read. The fourth choice does the real work of changing parameters and the last one just saves the configuration into a file.

function HandleGET() {
  if(MENU[2] == "AboutServer") {
    Document  = "This is a GUI for remote configuration of an\
      embedded system. It is is implemented as one GAWK script."
  } else if (MENU[2] == "ReadConfig") {
    RS = "\n"
    while ((getline < ConfigFile) > 0)
       config[$1] = $2;
    close(ConfigFile)
    RS = "\r\n"
    Document = "Configuration has been read."
  } else if (MENU[2] == "CheckConfig") {
    Document = "<TABLE BORDER CELLPADDING=5>"
    for (i in config)
      Document = Document "<TR><TD>" i "</TD>" \
        "<TD>" config[i] "</TD></TR>"
    Document = Document "</TABLE>"
  } else if (MENU[2] == "ChangeConfig") {
    if ("Param" in GETARG) {            # any parameter to set?
      if (GETARG["Param"] in config) {  # is  parameter valid?
        config[GETARG["Param"]] = GETARG["Value"]
        Document = (GETARG["Param"] " = " GETARG["Value"] ".")
      } else {
        Document = "Parameter <b>" GETARG["Param"] "</b> is invalid."
      }
    } else {
      Document = "<FORM method=GET><h4>Change one parameter</h4>\
        <TABLE BORDER CELLPADDING=5>\
        <TR><TD>Parameter</TD><TD>Value</TD></TR>\
        <TR><TD><input type=text name=Param value=\"\" size=20></TD>\
            <TD><input type=text name=Value value=\"\" size=40></TD>\
        </TR></TABLE><input type=submit value=\"Set\"></FORM>"
    }
  } else if (MENU[2] == "SaveConfig") {
    for (i in config)
      printf("%s %s\n", i, config[i]) > ConfigFile
    close(ConfigFile)
    Document = "Configuration has been saved."
  }
}

We could also view the configuration file as a database. From this point of view, the above program acts like a primitive database server. Real SQL database systems also make a service available by providing a TCP port that clients can connect to. But the application level protocols they use are usually proprietary and also change from time to time. This is also true for the protocol that MiniSQL uses.

URLCHK: Look for Changed Web Pages

Most people who make heavy use of Internet resources have a large bookmark file with pointers to interesting web sites. It is impossible to regularly check by hand if any of these sites have changed. A program is needed to automatically look at the headers of web pages and tell, which ones have changed. URLCHK does the comparison after using GETURL with the HEAD method to retrieve the header.

Like GETURL, this program first checks that it was called with exactly one command line parameter. URLCHK also takes the same variables Proxy and ProxyPort from the command line as GETURL because these variables are handed over to GETURL for each URL that gets checked. The one and only parameter is the name of a file that contains one line for each URL. In the first column we find the URL and the second and third columns hold the length of the URL's body when checked for the two last times. Now, we follow this plan:

  1. Read the URLs from the file and remember their most recent lengths
  2. Delete the contents of the file
  3. For each URL, check its new length and write it into the file
  4. If the most recent and the new length differ, tell the user

It may seem a bit peculiar to read the URLs from a file together with their two most recent lengths but this approch has several advantages. You can call the program again and again with the same file. After running the program, you can regenerate the changed URLs by extracting those lines that differ in their second and third columns.

BEGIN {
  if (ARGC != 2) {
    print "URLCHK - check if URLs have changed"
    print "IN:\n    the file with URLs as a command line parameter"
    print "    file contains URL, old length, new length"
    print "PARAMS:\n    -v Proxy=MyProxy -v ProxyPort=8080"
    print "OUT:\n    same as file with URLs"
    print "JK 02.03.1998"
    exit
  }
  URLfile = ARGV[1]; ARGV[1] = ""
  if (Proxy     != "") Proxy     = " -v Proxy="     Proxy
  if (ProxyPort != "") ProxyPort = " -v ProxyPort=" ProxyPort
  while ((getline < URLfile) > 0)
     Length[$1] = $3 + 0
  close(URLfile)      # now, URLfile is read in and can be updated
  GetHeader = "gawk " Proxy ProxyPort " -v Method=\"HEAD\" -f geturl.awk "
  for (i in Length) {
    GetThisHeader = GetHeader i " 2>&1"
    while ((GetThisHeader | getline) > 0)
      if (toupper($0) ~ /CONTENT-LENGTH/) NewLength = $2 + 0
    close(GetThisHeader)
    print i, Length[i], NewLength > URLfile
    if (Length[i] != NewLength)  # report only changed URLs
      print i, Length[i], NewLength
  }
  close(URLfile)
}

Another thing that may look strange is the way GETURL is called. Before calling GETURL, we have to check if the proxy variables need to be passed on. If so, we prepare strings that will become part of the command line later. In GetHeader we store these strings together with the longest part of the command line. Later, in the loop over the URLs, GetHeader is appended with the URL and a redirection operator to form the command that reads the URL's header over the net. GETURL always produces the headers over /dev/stderr. That is the reason why we need the redirection operator to get the header piped in.

This program is not perfect because it assumes that changing URLs result in changed lengths, which is not necessarily true. A more advanced approch would be to look at some other header line that holds time information. But as always when things get a bit more complicated, this is left as an exercise to the reader.

WEBGRAB: Extract Links From a Page

Sometimes it is necessary to extract links from web pages. Browsers do it, web robots do it and sometimes even a human being wants to extract all links in a web page. Having a tool like GETURL at hand, we can solve this problem with some help from the Bourne shell.

BEGIN { RS = "http://[#%&\+\-\./0-9\:;\?A-Z_a-z\~]*" }
RT != "" {
   command = ("gawk -v Proxy=MyProxy -f geturl.awk", RT, "> doc" NR ".html")
   print command
}

This program reads an HTML file and prints all the HTTP links that it finds. It relies on gawk's ability to use regular expressions as record separators. With RS set to a regular expression that matches links, the second action is executed each time a non-empty link has been found. We can find the matching link itself in RT.

Notice that the regular expression for URLs is rather crude. A precise regular expression would be much more complex. But the one above works rather well. One problem is that it is unable to find internal links of an HTML document. In addition, it is straightforward to also include ftp, telnet, news, mailto and other kinds of links in the regular expression if this was necessary for other tasks.

The action could use the system function to let just another GETURL retrieve the page, but here we use a different approach. Instead, we let this simple program print shell commands that can be piped into a sh for execution. This way it is possible to first extract the links, wrap shell commands around them and pipe all the shell commands into a file. After editing the file, execution of the file will retrieve exactly those files that we really need. In case we do not want to edit, we can retrieve all the pages like this:

gawk -f geturl.awk http://www.suse.de | gawk -f webgrab.awk | sh

After this, you will find the contents of all referenced documents in files named doc*.html even if they do not contain HTML code. The most annoying thing is that we always have to pass the proxy to GETURL. If you do not like to see the headers of the web pages appear on the screen, you can redirect them to /dev/null. Watching the headers appear can be quite interesting because you can see interesting details like which web server the companies use. Now, you can imagine how the robots work that tell the clever marketing people the market shares of Microsoft and Netscape in the web server market.

Port 80 of any web server is like a small hole in a repellent firewall. After attaching a browser to port 80, we will usually catch a glimpse of the bright side of the server (its home page). With a tool like GETURL at hand, we are able to discover some of the more concealed or even "indecent" (i.e. lacking conformity to standards of quality) services. It can be exciting to see the fancy CGI scripts that lie there, revealing the inner workings of the server, and ready to be called.

Although this may sound funny or simply irrelevant, we are talking about severe security holes. Try to explore your own system this way and make sure that none of the above reveals too much information about your system.

STATIST: Graphing a Statistical Distribution

In all the HTTP server examples above, we never presented an image to the browser and its user. Presenting images is one task. Generating images that reflect some user input and presenting these dynamically generated images is another. In this section we will use GNUPLOT for generating .png, .ps or .gif files. 6

The program we will develop takes the statistical parameters of two samples and computes the t-test statistics. As a result, we get the probabilities that the means and the variances of both samples are the same. In order to let the user check plausibility, the program presents an image of the distributions. The statistical computation follows Numerical Recipes by Press et al. Since gawk does not have a builtin function for the computation of the beta function, we use the ibeta function of GNUPLOT. As a side effect, we will learn how to use GNUPLOT as a sophisticated calculator. The comparison of means is done as in tutest, paragraph 14.2 page 613 and the comparison of variances as in ftest, page 611 in Numerical Recipes.

As usual, we take the site independent code for servers and append our own functions SetUpServer and HandleGET.

function SetUpServer() {
  TopHeader = "<HTML><title>Statistics with GAWK</title>"
  TopDoc = "\
    <h2>Please choose one of the following actions:</h2>\
    <UL>\
      <LI><A HREF=" MyPrefix "/AboutServer>About this server</A>\
      <LI><A HREF=" MyPrefix "/EnterParameters>Enter Parameters</A>\
    </UL>"
  TopFooter  = "</HTML>"
  GnuPlot    = "gnuplot 2>&1"
  m1=m2=0;    v1=v2=1;    n1=n2=10
}

Here, you see the menu structure that the user will see. Later, we will see how the program structure of the HandleGET function reflects the menu structure. What is missing here is the link for the image we will generate. In an event driven environment, request, generation and delivery of images are separated.

Notice the way we initialize the GnuPlot command string for the pipe. By default, GNUPLOT will output the generated image via standard output and the results of printed calculations via standard error. The redirection will cause standard error to be mixed into standard ouput, enabling us to read results of calculations with getline. By initializing the statistical parameters with some meaningful defaults, we make sure the user will get an image the first time he uses the program.

Below you find the rather long function HandleGET which implements the contents of this service by reacting to the different kinds of requests from the browser. Before you start playing with this script, make sure your browser supports JavaScript and it also has this option switched on. The script below uses a short snippet of JavaScript code for delayed opening of a window with an image. A more detailed explanation follows below.

function HandleGET() {
  if(MENU[2] == "AboutServer") {
    Document  = "This is a GUI for a statistical computation.\
      It compares means and variances of two distributions.\
      It is implemented as one GAWK script and uses GNUPLOT."
  } else if (MENU[2] == "EnterParameters") {
    Document = ""
    if ("m1" in GETARG) {     # are there parameters to compare?
      Document = Document "<SCRIPT LANGUAGE=\"JavaScript\">\
        setTimeout(\"window.open(\\\"" MyPrefix "/Image" systime()\
         "\\\",\\\"dist\\\", \\\"status=no\\\");\", 1000); </SCRIPT>"
      m1 = GETARG["m1"]; v1 = GETARG["v1"]; n1 = GETARG["n1"]
      m2 = GETARG["m2"]; v2 = GETARG["v2"]; n2 = GETARG["n2"]
      t = (m1-m2)/sqrt(v1/n1+v2/n2)
      df = (v1/n1+v2/n2)*(v1/n1+v2/n2)/((v1/n1)*(v1/n1)/(n1-1) + (v2/n2)*(v2/n2)
/(n2-1))
      if (v1>v2) { f = v1/v2;      df1=n1-1;       df2=n2-1
      } else     { f = v2/v1;      df1=n2-1;       df2=n1-1
      }
      print "pt=ibeta(" df/2 ",0.5," df/(df+t*t) ")"                 |& GnuPlot
      print "pF=2.0*ibeta(" df2/2 "," df1/2 "," df2/(df2+df1*f) ")"  |& GnuPlot
      print "print pt, pF"                                           |& GnuPlot
      RS="\n"; GnuPlot |& getline; RS="\r\n"    # $1 is pt, $2 is pF
      print "invsqrt2pi=1.0/sqrt(2.0*pi)"                            |& GnuPlot
      print "nd(x)=invsqrt2pi/sd*exp(-0.5*((x-mu)/sd)**2)"           |& GnuPlot
      print "set term png small color"                               |& GnuPlot
      #print "set term postscript color"                              |& GnuPlot
      #print "set term gif medium size 320,240"                       |& GnuPlot
      print "set yrange[-0.3:]"                                      |& GnuPlot
      print "set label 'p(m1=m2) =" $1 "' at 0,-0.1 left"            |& GnuPlot
      print "set label 'p(v1=v2) =" $2 "' at 0,-0.2 left"            |& GnuPlot
      print "plot mu=" m1 ",sd=" sqrt(v1) ", nd(x) title 'sample 1',\
                  mu=" m2 ",sd=" sqrt(v2) ", nd(x) title 'sample 2'" |& GnuPlot
      print "quit"                                                   |& GnuPlot
      GnuPlot |& getline Image
      while ((GnuPlot |& getline) > 0) Image = Image RS $0
      close(GnuPlot)
    }
    Document = Document "\
    <h3>Do these samples have the same Gaussian distribution?</h3>\
    <FORM METHOD=GET> <TABLE BORDER CELLPADDING=5>\
    <TR>\
    <TD>1. Mean    </TD><TD><input type=text name=m1 value=" m1 " size=8></TD>\
    <TD>1. Variance</TD><TD><input type=text name=v1 value=" v1 " size=8></TD>\
    <TD>1. Count   </TD><TD><input type=text name=n1 value=" n1 " size=8></TD>\
    </TR><TR>\
    <TD>2. Mean    </TD><TD><input type=text name=m2 value=" m2 " size=8></TD>\
    <TD>2. Variance</TD><TD><input type=text name=v2 value=" v2 " size=8></TD>\
    <TD>2. Count   </TD><TD><input type=text name=n2 value=" n2 " size=8></TD>\
    </TR>                   <input type=submit value=\"Compute\">\
    </TABLE></FORM><BR>"
  } else if (MENU[2] ~ "Image") {
    Reason = "OK" ORS "Content-type: image/png"
    #Reason = "OK" ORS "Content-type: application/x-postscript"
    #Reason = "OK" ORS "Content-type: image/gif"
    Header = Footer = ""
    Document = Image
  }
}

As usual, we give a short description of the service in the first menu choice. The third menu choice shows us that generation and presentation of an image are two separate actions. While the latter takes place quite instantly in the third menu choice, the former takes place in the much longer second choice. Image data passes from the generating action to the presenting action via the variable Image that contains a complete .png image which would otherwise be stored in a file. If you prefer .ps or .gif images over the default .png images, you may select these options by uncommenting the appropriate lines. But remember to do so in two places: once when telling GNUPLOT which kind of images to generate and once when transmitting the image at the end of the program. Looking at the end of the program, the way we pass the Content-type to the browser is a bit unusual. It is appended to the OK of the first header line to make sure the type information will become part of the header. The other variables that get transmitted acrosss the network are made empty because in this case we do not have an HTML document to transmit but rather raw image data to be contained in the body.

Most of the work is done in the second menu choice. It starts with a strange JavaScript code snippet. When first implementing this server, we used a short <IMG SRC=" MyPrefix "/Image>" here. But then browsers got smarter and tried to improve on speed by requesting the image and the HTML code at the same time. When doing this, the browser tries to build up a connection for the image request while the request for the HTML text is not yet completed. So, the browser tries to connect to the gawk server on port 8080 while port 8080 is still in use for transmission of the HTML text. The connection for the image cannot be built up, so the image appears as "broken" in the browser window. We solved this problem by telling the browser to open a separate window for the image, but only after a delay of 1000 milliseconds. By this time, this server should be ready for serving the next request.

But there is one more subtlety in the JavaScript code. Each time the JavaScript code opens a window for the image, the name of the image is appended with a time stamp (systime). Why this constant change of name for the image? Initially we always named the image Image, but then the Netscape browser noticed the name had not changed since the previous request and displayed the previous image (caching behavior). You may remember that our server core is implemented so that browsers are told not to cache anything. Obviously HTTP requests do not always work as expected. One way to circumvent the cache of such overly smart browsers is to change the name of the image with each request. You see, these three lines of JavaScript caused us much trouble.

The rest can be broken down into two phases. At first, we check if there are statistical parameters. When you first start the program, there usually are no parameters because you are entering the page coming from the top menu. Then, we only have to present the user a form that he can use to change statistical parameters and submit them. Subsequently, the submission of the form will cause the execution of the first phase because now there are parameters to handle.

Now that we have parameters, we know there will be an image available. Therefore we insert the JavaScript code here to initiate the opening of the image in a separate window. Then, we prepare some variables that will be passed to GNUPLOT for calculation of the probabilities. Prior to reading the results, we must temporarily change RS because GNUPLOT separates lines with newlines. After instructing GNUPLOT to generate a .png (or .ps or .gif) image, we initiate the insertion of some text, explaining the resulting probabilities. The final plot command actually generates image data. This raw binary has to be read in carefully without adding, changing or deleting a single byte. Hence the unusual initialization of Image and completion with a while loop.

When using this server, you will soon realize that it is far from being perfect. It mixes source code of six scripting languages or protocols:

It is probably better not to mix up so many different languages. The result is almost as readable as many Perl scripts. Furthermore, the statistical part of the server does not take care of invalid input. Among others, using negative variances will cause invalid results.

MAZE: Walking Through a Maze In Virtual Reality

In the long run, every program becomes rococo, and then rubble. Alan Perlis

By now, we know how to present arbitrary Content-types to a browser. In this section, our server will present a 3D world to our browser. The 3D world is described in a scene description language (VRML, Virtual Reality Modeling Language) that allows us to travel through a perspective view of a 2D maze with our browser. If your browser has a VRML plugin, you will be able to explore this new technology. We could do one of those boring Hello world examples here, that are usually presented when introducing novices to VRML. If you have never written any VRML code, have a look at the VRML FAQ. Presenting a static VRML scene is a bit trivial; in order to expose gawk's new capabilities, we will present a dynamically generated VRML scene. The function SetUpServer is very simple because it only sets the default HTML page and initializes the random number generator. As usual, the surrounding server lets you browse the maze.

function SetUpServer() {
  TopHeader = "<HTML><title>Walk through a maze</title>"
  TopDoc = "\
    <h2>Please choose one of the following actions:</h2>\
    <UL>\
      <LI><A HREF=" MyPrefix "/AboutServer>About this server</A>\
      <LI><A HREF=" MyPrefix "/VRMLtest>Watch a simple VRML scene</A>\
    </UL>"
  TopFooter  = "</HTML>"
  srand()
}

The function HandleGET is a bit longer because it first computes the maze and afterwards generates the VRML code that will be sent across the network. As shown in the STATIST example (see STATIST), we set the type of the content to VRML and then store the VRML representation of the maze as the page content. We assume that the maze is stored in a 2D array. Initially, the maze consists of walls only. Then, we add an entry and an exit to the maze and let the rest of the work be done by the function MakeMaze. Now, only the wall fields are left in the maze. By iterating over the these fields, we generate one line of VRML code for each wall field.

function HandleGET() {
  if (MENU[2] == "AboutServer") {
    Document  = "If your browser has a VRML 2 plugin,\
      this server shows you a simple VRML scene."
  } else if (MENU[2] == "VRMLtest") {
    XSIZE = YSIZE = 11              # initially, everything is wall
    for (y = 0; y < YSIZE; y++)
       for (x = 0; x < XSIZE; x++)
          Maze[x, y] = "#"
    delete Maze[0, 1]              # entry is not wall
    delete Maze[XSIZE-1, YSIZE-2]  # exit  is not wall
    MakeMaze(1, 1)
    Document = "\
#VRML V2.0 utf8\n\
Group {\n\
  children [\n\
    PointLight {\n\
      ambientIntensity 0.2\n\
      color 0.7 0.7 0.7\n\
      location 0.0 8.0 10.0\n\
    }\n\
    DEF B1 Background {\n\
      skyColor [0 0 0, 1.0 1.0 1.0 ]\n\
      skyAngle 1.6\n\
      groundColor [1 1 1, 0.8 0.8 0.8, 0.2 0.2 0.2 ]\n\
      groundAngle [ 1.2 1.57 ]\n\
    }\n\
    DEF Wall Shape {\n\
      geometry Box {size 1 1 1}\n\
      appearance Appearance { material Material { diffuseColor 0 0 1 } }\n\
    }\n\
    DEF Entry Viewpoint {\n\
      position 0.5 1.0 5.0\n\
      orientation 0.0 0.0 -1.0 0.52\n\
    }\n"
    for (i in Maze) {
      split(i, t, SUBSEP)
      Document = Document "    Transform { translation "
      Document = Document t[1] " 0 -" t[2] " children USE Wall }\n"
    }
    Document = Document "  ] # end of group for world\n}"
    Reason = "OK" ORS "Content-type: model/vrml"
    Header = Footer = ""
  }
}

Finally, we have a look at MakeMaze, the function that generates the Maze array. When entered, this function assumes that the array has been initialized so that each element represents a wall element and the maze is initially full of wall elements. Only the entrance and the exit of the maze should have been left free. The parameters of the function tell us which element must be marked as not being a wall. After this, we take a look at the four neighbouring elements and remember which we have already treated. Of all the neighbouring elements, we take one at random and walk in that direction. Therefore, the wall element in that direction has to be removed and then, we call the function recursively for that element. The maze will only be completed, if we reiterate the above procedure for all neighbouring elements (in random order) and for our present element by recursively calling the function for the present element. This last iteration could have been done in a loop, but it is done much simpler recursively.

Notice that elements with coordinates that are both odd are assumed to be on our way through the maze and the generating process cannot terminate as long as there is such an element not being deleted. All other elements are potentially part of the wall.

function MakeMaze(x, y) {
  delete Maze[x, y]     # here we are, we have no wall here
  p = 0                 # count unvisited fields in all directions
  if (x-2 SUBSEP y   in Maze) d[p++] = "-x"
  if (x   SUBSEP y-2 in Maze) d[p++] = "-y"
  if (x+2 SUBSEP y   in Maze) d[p++] = "+x"
  if (x   SUBSEP y+2 in Maze) d[p++] = "+y"
  if (p>0) {            # if there are univisited fields, go there
    p = int(p*rand())   # choose one unvisited field at random
    if        (d[p] == "-x") { delete Maze[x - 1, y]; MakeMaze(x - 2, y)
    } else if (d[p] == "-y") { delete Maze[x, y - 1]; MakeMaze(x, y - 2)
    } else if (d[p] == "+x") { delete Maze[x + 1, y]; MakeMaze(x + 2, y)
    } else if (d[p] == "+y") { delete Maze[x, y + 1]; MakeMaze(x, y + 2)
    }                   # we are back from recursion
    MakeMaze(x, y);     # try again while there are unvisited fields
  }
}

MOBAGWHO: A Simple Mobile Agent

There are two ways of constructing a software design: One way is to make is so simple that there are obviously no deficiencies, and the other way is to make it so complicated that there are no obvious deficiencies. C. A. R. Hoare

A mobile agent is a program that may be dispatched from a computer and transported to a remote server for execution. This is called migration and means that a process on another system is started that is independent from its originator. Ideally, it wanders through a network while working for its creator or owner. In places like the UMBC Agent Web people are quite confident that (mobile) agents are a software engineering paradigm that will enable us to significantly increase the efficiency of our work. Mobile agents could become the mediators between users and the networking world. If you appreciate an unbiased view at this technology, you should have a look at the remarkable paper Mobile Agents: Are they a good idea?.

Anyway, it sounds interesting, let us have a try. A good instance of this paradigm is Agent Tcl, an extension of the Tcl language. After introducing you to a typical development environment, the aforementioned paper shows a nice little example application that we will try to rebuild in gawk. The who agent takes a list of servers and wanders from one server to the next one, always looking to see who is logged in. Having reached the last one, it sends us a message with a list of all users it found on each machine.

But before implementing something that might or might not be a mobile agent, let us clarify the concept and some important terms. The agent paradigm in general is such a young scientific discipline that it has not yet developed a widely accepted terminology. Some authors try to give precise definitions, but their scope is often not wide enough to be generally accepted. Franklin and Graesser ask Is it an Agent or just a Program: A Taxonomy for Autonomous Agents and give even better answers than Caglayan and Harrison in their Agent FAQ.

Before delving into the (rather demanding) details of implementation, let us give just one more quotation as a final motivation. Steven Farley published an excellent paper called Mobile Agent System Architecture, in which he asks "Why use an agent architecture?"

If client-server systems are the currently established norm and distributed object systems such as CORBA are defining the future standards, why bother with agents? Agent architectures have certain advantages over these other types. Three of the most important advantages are:

  1. An agent performs much processing at the server where local bandwidth is high, thus reducing the amount of network bandwidth consumed and increasing overall performance. In contrast, a CORBA client object with the equivalent functionality of a given agent must make repeated remote method calls to the server object because CORBA objects cannot move across the network at runtime.
  2. An agent operates independently of the application from which the agent was invoked. The agent operates asynchronously, meaning that the client application does not need to wait for the results. This is especially important for mobile users who are not always connected to the network.
  3. The use of agents allows for the injection of new functionality into a system at run time. An agent system essentially contains its own automatic software distribution mechanism. Since CORBA has no built-in support for mobile code, new functionality generally has to be installed manually.

Of course a non-agent system can exhibit these same features with some work. But the mobile code paradigm supports the transfer of executable code to a remote location for asynchronous execution from the start. An agent architecture should be considered for systems where the above features are primary requirements.

When trying to migrate a process from one system to the next we need, of course, a server process on the receiving side. Depending on the kind of server process, several ways of implementation come to mind:

We will abuse a common web server as a migration tool. So, we need a universal CGI script on the receiving side (the web server). It will be activated with a POST request. Put it into a location like /httpd/cgi-bin/PostAgent.sh. Make sure, the server system uses a version of gawk that supports network access.

#!/bin/sh
MobAg=/tmp/MobileAgent.$$
cat > $MobAg                     # direct script to mobile agent file
gawk -f $MobAg $MobAg > /dev/null &     # execute agent concurrently
# HTTP header, terminator and body
gawk 'BEGIN { print "\r\nAgent started" }'
rm $MobAg                               # delete script file of agent

By making its process id ($$) part of the unique file name, the script avoids conflicts between concurrent instances of the script. First, all lines from standard input (the mobile agent's source code) are copied into this unique file. Then, the agent is started as a concurrent process and a short message reporting this fact is sent to the submitting client. Finally, the script file of the mobile agent is removed because it is no longer needed. Although a short script, there are several noteworthy points about it:

Self-Reference
Each migrating instance of an agent will be started in a way that enables it to read its own source code from standard input and use the code for subsequent migrations. This is necessary because we need to treat the agent's code as data to be transmitted. gawk is not the ideal language for such a job. Lisp and Tcl are more suitable because they do not make a distinction between program code and data.
Independence
After migration, the agent is not linked to its former home in any way. By reporting Agent started it waves "Goodbye" to its origin. The originator may choose to terminate or not.
Security
There is none. In fact, the CGI script should never be made available on a server that is part of the Internet because everyone would be allowed to execute arbitrary commands with it. This behavior is acceptable only when doing rapid prototyping.

The originating agent itself is started just like any other command line script and reports the results on standard output. But how can an agent that migrated to a host far away from its origin report the result back home when there is no connection any more? By letting the name of the original host migrate with the agent. Having arrived at the end of the journey, the agent establishes a connection and reports the results. This is the reason for determining the name of the host with uname -n and storing it in MyOrigin for later use. We may also set variables with the -v option from the command line. This interactivity is only of importance in the context of starting a mobile agent, therefore this BEGIN pattern and its action will not take part in migration.

BEGIN {
  if (ARGC != 2) {
    print "MOBAG - a simple mobile agent"
    print "CALL:\n    gawk -f mobag.awk mobag.awk"
    print "IN:\n    the name of this script as a command line parameter"
    print "PARAM:\n    -v MyOrigin=myhost.com"
    print "OUT:\n    the result on stdout"
    print "JK 29.03.1998 01.04.1998"
    exit
  }
  if (MyOrigin == "") {
     "uname -n" | getline MyOrigin
     close("uname -n")
  }
}

Since gawk cannot manipulate and transmit parts of the program directly, we have to read the source code and store it in strings. Therefore, we scan it for the beginning and the ending of functions. Each line in between will be appended to the code string until the end of the function has been reached. A special case is this part of the program itself. It is not a function. We put a similar frame around it to treat it like a function. Notice that this mechanism will work for all the functions of the source code, but it cannot guarantee that the order of the functions will be preserved during migration.

#ReadMySelf
/^function /                            { FUNC = $2 }
/^END/ || /^#ReadMySelf/                { FUNC = $1 }
FUNC != ""                              { MOBFUN[FUNC] = MOBFUN[FUNC] RS $0 }
(FUNC!="") && (/^}/ || /^#EndOfMySelf/) { FUNC = "" }
#EndOfMySelf

When we built the web server code in A Web Service with Interaction, we first developed a site independent core. Likewise, we now build an agent independent core that can be appended with application dependent functions. Meanwhile, we have already reached the only application independent function we need for the mobile agent.

The function migrate prepares the aforementioned strings containing the program code and transmits them to a server. A consequence of this modular approach is that the migrate function takes some parameters that we will not need in this application but in future ones. Its mandatory parameter Destination holds the name (or IP address) of the server that the agent wants as a host for its code. The optional parameter MobCode may contain some gawk code that will be inserted during migration in front of all other code. The optional parameter Label may contain a string that tells the agent what to do in program execution after arrival at its new home site. One of the serious obstacles in implementing a framework for mobile agents is that it does not suffice to migrate the code. We also have to migrate the state of execution of the agent. In contrast to Agent Tcl, we do not try to migrate the complete set of variables. We introduce the following convention.

Now, you can understand what happens to the Label parameter of the function migrate. It is copied into MOBVAR["Label"] and travels alongside the other data. Since travelling takes place via HTTP, we have to separate records with "\r\n" in RS and ORS as usual. The code assembly for migration takes place in three steps:

  1. We iterate over MOBFUN to collect all functions verbatim.
  2. We prepare a BEGIN pattern and put assignments to mobile variables into the action part.
  3. Transmission itself resembles GETURL: the header with the request and the Content-length is followed by the body. In case there is any reply over the network, we read it completely and echo it to standard ouput to avoid irritating the server.
function migrate (Destination, MobCode, Label) {
  MOBVAR["Label"] = Label
  MOBVAR["Destination"] = Destination
  RS = ORS = "\r\n"
  HttpService = "/inet/tcp/0/" Destination
  for (i in MOBFUN)
     MobCode = (MobCode "\n" MOBFUN[i])
  MobCode = MobCode  "\n\nBEGIN {"
  for (i in MOBVAR)
     MobCode = (MobCode "\n  MOBVAR[\"" i "\"] = \"" MOBVAR[i] "\"")
  MobCode = MobCode "\n}\n"
  print "POST /cgi-bin/PostAgent.sh HTTP/1.0"  |& HttpService
  print "Content-length:", length(MobCode) ORS |& HttpService
  printf MobCode                               |& HttpService
  while ((HttpService |& getline) > 0)
     print $0
  close(HttpService)
}

The application independent framework is now almost complete. What follows is the END pattern that is executed when the mobile agent has finished reading its own code. First, it checks whether it is already running on a remote host or not. In case initialization has not yet taken place, it starts MyInit. Otherwise (later, on a remote host) it starts MyJob.

END {
  if (ARGC != 2) exit    # stop when called with wrong parameters
  if (MyOrigin != "")    # is this the originating host?
    MyInit()             # then we initialize the application
  else                   # we are on a host with migrated data
    MyJob()              # so we do our job
}

All we have to do to extend the framework into a complete application is to write two application specific functions MyInit and MyJob. Keep in mind that the former is executed once on the originating host, while the latter is executed after each migration.

function MyInit() {
  MOBVAR["MyOrigin"] = MyOrigin
  MOBVAR["Machines"] = "localhost/80 max/80 moritz/80 castor/80"
  split(MOBVAR["Machines"], Machines)         # which host is the first?
  migrate(Machines[1], "", "")                # go to the first host
  while (("/inet/tcp/8080/0/0" |& getline)>0) # wait for result
    print $0                                  # print result
  close("/inet/tcp/8080/0/0")
}

As mentioned earlier, this agent takes the name of its origin (MyOrigin) with it. Then, it takes the name of its first destination and goes there for further work. Notice, that this name has the port number of the web server appended to the name of the server because the function migrate needs it this way. Finally, it waits for the result to arrive.

function MyJob() {
  sub(MOBVAR["Destination"], "", MOBVAR["Machines"])   # forget this host
  MOBVAR["Result"]=MOBVAR["Result"] SUBSEP SUBSEP MOBVAR["Destination"] ":"
  while (("who" | getline) > 0)               # who is logged in?
    MOBVAR["Result"] = MOBVAR["Result"] SUBSEP $0
  close("who")
  if (index(MOBVAR["Machines"], "/") > 0) {   # any more machines to visit?
    split(MOBVAR["Machines"], Machines)       # which host is next?
    migrate(Machines[1], "", "")              # go there
  } else {                                    # no more machines
    gsub(SUBSEP, "\n", MOBVAR["Result"])      # send result to origin
    print MOBVAR["Result"] |& "/inet/tcp/0/" MOBVAR["MyOrigin"] "/8080"
    close("/inet/tcp/0/" MOBVAR["MyOrigin"] "/8080")
  }
}

After migrating, the first thing to do in MyJob is to delete the name of the current host from the list of hosts to visit. Now, it is time to start the real work by appending the host's name to the result string and reading line by line who is logged in on this host. A very annoying circumstance is the fact that the elements of MOBVAR cannot hold the newline character ("\n"). If they did, migration of this string would not work because the string would not obey the syntax rule for a string in gawk. As a replacement, we use SUBSEP temporarily. If the list of hosts to visit holds at least one more entry, the agent migrates to that place to go on working there. Otherwise, we replace the SUBSEPs with a newline character in the resulting string and report it to the originating host, whose name is stored in MOBVAR["MyOrigin"].

STOXPRED: Stock Market Prediction As A Service

Far out in the uncharted backwarters of the unfashionable end of the Western Spiral arm of the Galaxy lies a small unregarded yellow sun.

Orbiting this at a distance of roughly ninety-two million miles is an utterly insignificant little blue green planet whose ape-descendent life forms are so amazingly primitive that they still think digital watches are a pretty neat idea.

This planet has -- or rather had -- a problem, which was this: most of the people living on it were unhappy for pretty much of the time. Many solutions were suggested for this problem, but most of these were largely concerned with the movements of small green pieces of paper, which is odd because it wasn't the small green pieces of paper that were unhappy.
Douglas Adams, The Hitch Hiker's Guide to the Galaxy


Valuable services on the Internet are usually not implemented as mobile agents. There are much simpler ways of implementing services. On your Unix system there is, for example, the cron service. As a user of a Unix system you can write a list of tasks to be done each day, each week, twice a day or just once. You enter the list into a file named crontab. If you want to distribute a newsletter on a daily basis this way, use cron for calling a script each day early in the morning.

# run at 8 am on weekdays, distribute the newsletter
0 8 * * 1-5   $HOME/bin/daily.job >> $HOME/log/newsletter 2>&1

The script will first look for interesting information on the Internet, assemble it in a nice form and finally send all the stuff via email to the customers. Here is an example of a primitive newsletter on stock market prediction. It is a report which first tries to predict the change of each share in the Dow Jones Industrial Index for the particular day. Then it mentions some especially promising shares as well as some shares which look remarkably bad on that day. The report ends with the usual disclaimer which tells every child not to try this at home and hurt anybody.

Good morning Uncle Scrooge,

This is your daily stock market report for Monday, October 16, 2000.
Here are the predictions for today:

        AA      neutral
        GE      up
        JNJ     down
        MSFT    neutral
        ...
        UTX     up
        DD      down
        IBM     up
        MO      down
        WMT     up
        DIS     up
        INTC    up
        MRK     down
        XOM     down
        EK      down
        IP      down

The most promising shares for today are these:

        INTC            http://biz.yahoo.com/n/i/intc.html

The stock shares to avoid today are these:

        EK              http://biz.yahoo.com/n/e/ek.html
        IP              http://biz.yahoo.com/n/i/ip.html
        DD              http://biz.yahoo.com/n/d/dd.html
        ...

If you are not into stock market prediction but want to earn money with a more humane service, you might prefer to send out horoscopes to your customers. Or, once every refrigerator in every household on this side of the Chinese Wall is connected to the Internet, such a service could inspect the contents of your customer's refrigerators each day and advise them on nutrition. Big Brother is watching them.

The script as a whole is rather long. In order to ease the pain of studying other people's source code, we have broken the script up into meaningful parts which are invoked one after the other.

BEGIN {
  Init()
  ReadQuotes()
  CleanUp()
  Prediction()
  Report()
  SendMail()
}

The earlier parts store data into variables and arrays which are subsequently used by later parts of the script. The function Init first checks if the script is invoked correctly (without any parameters). If not, it prompts the user for correct usage. What follows are preparations for the retrieval of the historical quote data. The names of the 30 stock shares are stored in an array name along with the current date in day, month, and year. All users who are separated from the Internet by a firewall and have to direct their Internet accesses to a proxy, must supply the name of the proxy to this script with the option -v Proxy=name. For most users, the default proxy and port number should suffice.

function Init() {
  if (ARGC != 1) {
    print "STOXPRED - daily stock share prediction"
    print "IN:\n    no parameters, nothing on stdin"
    print "PARAM:\n    -v Proxy=MyProxy -v ProxyPort=80"
    print "OUT:\n    commented predictions as email"
    print "JK 09.10.2000"
    exit
  }
  # Remember all ticker symbols of the Dow Jones Industrial Index
  StockCount = split("AA GE JNJ MSFT AXP GM JPM PG BA HD KO \
    SBC C HON MCD T CAT HWP MMM UTX DD IBM MO WMT DIS INTC \
    MRK XOM EK IP", name);
  # Remember the current date as the end of the time series
  day   = strftime("%d")
  month = strftime("%m")
  year  = strftime("%Y")
  if (Proxy     == "")  Proxy     = "chart.yahoo.com"
  if (ProxyPort ==  0)  ProxyPort = 80
  YahooData = "/inet/tcp/0/" Proxy "/" ProxyPort
}

There are two really interesting parts in the script. One is the function which reads the historical stock quotes from an Internet server. The other is the one that does the actual prediction. In the following function we see how the quotes are read from the Yahoo server. The kind of data which comes from the server is the CSV format (comma separated values):

Date,Open,High,Low,Close,Volume
9-Oct-00,22.75,22.75,21.375,22.375,7888500
6-Oct-00,23.8125,24.9375,21.5625,22,10701100
5-Oct-00,24.4375,24.625,23.125,23.50,5810300

Lines contain values of the same time instant, whereas columns are separated by commas and contain the kind of data which is described in the header (first) line. At first, gawk is instructed to separate columns by commas (FS = ","). In the loop that follows, a connection to the Yahoo server is first opened, then a download takes place, and finally it is closed. All this happens once for each ticker symbol. In the body of this loop, an Internet address is built up as a string according to the rules of the Yahoo server. The starting and ending date are chosen to be exactly the same, but one year apart in the past. All the action is initiated within the printf command which transmits the request for data to the Yahoo server.

In the inner loop, the server's data is first read and then scanned line by line. Only line which have six columns and the name of a month in the first column contain relevant data, which is stored. Storage takes place in a two dimensional array (quote); one dimension being time, the other being the ticker symbol. During retrieval of the first stock's data, the calendar names of the time instances are stored in an array (day) because we need them later.

function ReadQuotes() {
  # Retrieve historical data for each ticker symbol
  FS = ","
  for (stock = 1; stock <= StockCount; stock++) {
    URL = "http://chart.yahoo.com/table.csv?s=" name[stock] \
          "&a=" month "&b=" day   "&c=" year-1 \
          "&d=" month "&e=" day   "&f=" year \
          "g=d&q=q&y=0&z=" name[stock] "&x=.csv"
    printf "GET " URL " HTTP/1.0\r\n\r\n"  |& YahooData
    while ((YahooData |& getline) > 0) {
      if (NF == 6 && $1 ~ /Jan|Feb|Mar|Apr|May|Jun|Jul|Aug|Sep|Oct|Nov|Dec/) {
        if (stock == 1)
          days[++daycount] = $1;
        quote[$1,stock] = $5
      }
    }
    close(YahooData)
  }
  FS = " "
}

Now that we have the data, we check it once again to make sure that not a single quote is missing or invalid and all the quotes are aligned correctly. Furthermore, we renumber the time instances. The most recent day gets day number 1 and all other days get consecutive numbers. All quotes are rounded toward the nearest whole number in US Dollars.

function CleanUp() {
  # clean up time series; eliminate incomplete data sets
  for (d=1; d<=daycount; d++) {
    for (stock=1; stock<=StockCount; stock++)
      if (! ((days[d],stock) in quote)) stock = StockCount + 10
    if (stock > StockCount + 1) continue
    datacount ++
    for (stock=1; stock<=StockCount; stock++)
      data[datacount,stock] = int(0.5 + quote[days[d],stock])
  }
  delete quote
  delete days
}

Now we have arrived at the second really interesting part of the whole affair. What we present here is a very primitive prediction algorithm: If a stock fell yesterday, assume it will also fall today; if it rose yesterday, assume it will rise today. Feel free to replace this algorithm with a smarter one. If a stock changed in the same direction on two consecutive days, this is an indication which should be highlighted. Two-day advances are stored in hot and two-day declines in avoid.

The rest of the function is a sanity check. It counts the number of correct predictions in relation to the total number of predictions one could have made in the year before.

function Prediction() {
  # Predict each ticker symbol by prolonging yesterday's trend
  for (stock = 1; stock <= StockCount; stock++) {
    if         (data[1,stock] > data[2,stock]) {
      predict[stock] = "up"
    } else if  (data[1,stock] < data[2,stock]) {
      predict[stock] = "down"
    } else {
      predict[stock] = "neutral"
    }
    if ((data[1,stock] > data[2,stock]) && (data[2,stock] > data[3,stock]))
      hot[stock] = 1
    if ((data[1,stock] < data[2,stock]) && (data[2,stock] < data[3,stock]))
      avoid[stock] = 1
  }
  # Do a plausibility check: how many predictions proved correct?
  for (s = 1; s <= StockCount; s++) {
    for (d = 1; d <= datacount-2; d++) {
      if         (data[d+1,s] > data[d+2,s]) {
        UpCount++
      } else if  (data[d+1,s] < data[d+2,s]) {
        DownCount++
      } else {
        NeutralCount++
      }
      if (((data[d,s]  > data[d+1,s]) && (data[d+1,s]  > data[d+2,s])) ||
          ((data[d,s]  < data[d+1,s]) && (data[d+1,s]  < data[d+2,s])) ||
          ((data[d,s] == data[d+1,s]) && (data[d+1,s] == data[d+2,s])))
        CorrectCount++
    }
  }
}

At this point the hard work has been done: the array predict contains the predictions for all the ticker symbols. It is up to the function Report to find some nice words to introduce the desired information.

function Report() {
  # Generate report
  report =        "\nThis is your daily "
  report = report "stock market report for "strftime("%A, %B %d, %Y")".\n"
  report = report "Here are the predictions for today:\n\n"
  for (stock = 1; stock <= StockCount; stock++)
    report = report "\t" name[stock] "\t" predict[stock] "\n"
  for (stock in hot) {
    if (HotCount++ == 0)
      report = report "\nThe most promising shares for today are these:\n\n"
    report = report "\t" name[stock] "\t\thttp://biz.yahoo.com/n/" \
      tolower(substr(name[stock],1,1)) "/" tolower(name[stock]) ".html\n"
  }
  for (stock in avoid) {
    if (AvoidCount++ == 0)
      report = report "\nThe stock shares to avoid today are these:\n\n"
    report = report "\t" name[stock] "\t\thttp://biz.yahoo.com/n/" \
      tolower(substr(name[stock],1,1)) "/" tolower(name[stock]) ".html\n"
  }
  report = report "\nThis sums up to " HotCount+0 " winners and " AvoidCount+0
  report = report " losers. When using this kind\nof prediction scheme for"
  report = report " the 12 months which lie behind us,\nwe get " UpCount
  report = report " 'ups' and " DownCount " 'downs' and " NeutralCount
  report = report " 'neutrals'. Of all\nthese " UpCount+DownCount+NeutralCount
  report = report " predictions " CorrectCount " proved correct next day.\n"
  report = report "A success rate of "\
             int(100*CorrectCount/(UpCount+DownCount+NeutralCount)) "%.\n"
  report = report "Random choice would have produced a 33% success rate.\n"
  report = report "Disclaimer: Like every other prediction of the stock\n"
  report = report "market, this report is, of course, complete nonsense.\n"
  report = report "If you are stupid enough to believe these predictions\n"
  report = report "you should visit a doctor who can treat your ailment."
}

The function SendMail goes through the list of customers and opens a pipe to the mail command for each of them. Each one receives an email with a proper subject heading and is addressed with his full name.

function SendMail() {
  # send report to customers
  customer["uncle.scrooge@ducktown.gov"] = "Uncle Scrooge"
  customer["more@utopia.org"           ] = "Sir Thomas More"
  customer["spinoza@denhaag.nl"        ] = "Baruch de Spinoza"
  customer["marx@highgate.uk"          ] = "Karl Marx"
  customer["keynes@the.long.run"       ] = "John Maynard Keynes"
  customer["bierce@devil.hell.org"     ] = "Ambrose Bierce"
  customer["laplace@paris.fr"          ] = "Pierre Simon de Laplace"
  for (c in customer) {
    MailPipe = "mail -s 'Daily Stock Prediction Newsletter'" c
    print "Good morning " customer[c] "," | MailPipe
    print report "\n.\n" | MailPipe
    close(MailPipe)
  }
}

If you run the script by hand, you should be patient. Retrieving the data for all ticker symbols and sending the emails may take several minutes to complete, depending upon network traffic and the speed of your Internet link. You will probably be disappointed by the quality of the prediction algorithm. Try to find a better one. Should you find one with a success rate of more than 50%, please tell us about it! It is only for the sake of curiosity, of course. :-)

Let us give you one final indication as to what one can expect from a prediction of stock data, which is sometimes said to contain much randomness. One theory says that all relevant information to be taken into account when estimating the price of a stock is contained in the stock quotes. Every bit of useful information has influenced the fair price. Therefore (the theory says) temporary changes (i.e. fluctuations within a minute) have to be purely random. But what is the cause of short-term changes in stock prices?

Stock prices are fixed when supply and demand meet each other. What people are willing to pay reflects human expectations. Human expectations are not necessarily random. On the Internet, you can find an elucidating paper about predictability and human expectations: Reflections on "Universal Prediction of Individual Sequences" The authors (Feder, Merhav, Gutman) introduce the reader to the subject by telling a thrilling anecdote.

In the early 50's, at Bell Laboratories, David Hagelbarger built a simple "mind reading" machine, whose purpose was to play the "penny matching" game. In this game, a player chooses head or tail, while a "mind reading" machine tries to predict and match his choice. Surprisingly, as Robert Lucky tells in his book "Silicon Dreams", Hagelbarger's simple, 8-state machine, was able to match the "pennies" of its human opponent 5,218 times over the course of 9,795 plays. Random guessing would lead to such a high success rate with a probability less than one out of 10 billion! Shannon, who was interested in prediction, information, and thinking machines, closely followed Hagelbarger's machine, and eventually built his own stripped-down version of the machine, having the same states, but one that used a simpler strategy at each state. As the legend goes, in a duel between the two machines, Shannon's machine won by a slight margin! No one knows if this was due to a superior algorithm or just a chance happening associated with the specific sequence at that game. In any event, the success of both these machines against "untrained" human opponents was explained by the fact that the human opponents cannot draw completely random bits.

PROTBASE: Searching Through A Protein Database

Hoare's Law of Large Problems: Inside every large problem is a small problem struggling to get out.

Yahoo's database of stock market data is just one among the many large databases on the Internet. Another one is located at NCBI (National Center for Biotechnology Information). Established in 1988 as a national resource for molecular biology information, NCBI creates public databases, conducts research in computational biology, develops software tools for analyzing genome data, and disseminates biomedical information. In this section, we will have a look at one of NCBI's public services, which is called BLAST (Basic Local Alignment Search Tool).

You probably know that the information necessary for reproducing living cells is encoded in the genetic code of the cells. The genetic material is a very long chain of four base nucleotides. It is the order of appearance (the sequence) of nucleotides which contains the information about the substance to be produced. Scientists in biotechnology often find a specific fragment, determine the nucleotide sequence, and need to know where the sequence at hand comes from. This is where the large databases enter the game. At NCBI, databases store the knowledge about which sequences have ever been found and where they have been found. When the scientist sends his sequence to the BLAST service, the server will look for regions of genetic material in its database which look the most similar to the delivered nucleotide sequence. After a search time of some seconds or minutes the server sends an answer to the scientist. In order to make access simple, NCBI chose to offer their database service through popular Internet protocols. There are four basic ways to use the so called BLAST services:

  1. The easiest way to use BLAST is through the Web. Users may simply point their browsers at the NCBI home page and link to the BLAST pages. NCBI provides a stable URL that may be used to perform BLAST searches without interactive use of a Web browser. This is what we will do later in this section. A demonstration client and a README file demonstrate how to access this URL.
  2. Currently, blastcl3 is the standard network BLAST client. You can download blastcl3 from the anonymous FTP location.
  3. BLAST 2.0 can be run locally as a full executable and can be used to run BLAST searches against private local databases, or downloaded copies of the NCBI databases. BLAST 2.0 executables may be found on the NCBI anonymous FTP server.
  4. The NCBI BLAST Email server is the best option for people without convenient access to the Web. A similarity search can be performed by sending a properly formatted mail message containing the nucleotide or protein query sequence to blast@ncbi.nlm.nih.gov. The query sequence is compared against the specified database using the BLAST algorithm and the results are returned in an email message. For more information on formulating email BLAST searches, you can send a message consisting of the word "HELP" to the same address, blast@ncbi.nlm.nih.gov.

Our starting point is the demonstration client mentioned in the first option. The README file that comes along with the client explains the whole process in a nutshell. In the rest of this section, we will first see what such requests look like. Then we will see how to use gawk to implement a client in about 10 lines of code. Finally, we will see how to interpret the result returned from the service.

Sequences are expected to be represented in the standard IUB/IUPAC amino acid and nucleic acid codes, with these exceptions: lower-case letters are accepted and are mapped into upper-case; a single hyphen or dash can be used to represent a gap of indeterminate length; and in amino acid sequences, U and * are acceptable letters (see below). Before submitting a request, any numerical digits in the query sequence should either be removed or replaced by appropriate letter codes (e.g., N for unknown nucleic acid residue or X for unknown amino acid residue).

The nucleic acid codes supported are:

A --> adenosine                 M --> A C (amino)
C --> cytidine                  S --> G C (strong)
G --> guanine                   W --> A T (weak)
T --> thymidine                 B --> G T C
U --> uridine                   D --> G A T
R --> G A (purine)              H --> A C T
Y --> T C (pyrimidine)          V --> G C A
K --> G T (keto)                N --> A G C T (any)
                                -  gap of indeterminate length

Now you know the alphabet of nucleotide sequences. In the last two lines of the example query below you can see such a sequence, which is obviously made up only of elements of the alphabet just described. Store this example query into a file named protbase.request. You are now ready to send it to the server with the demonstration client.

PROGRAM blastn
DATALIB month
EXPECT 0.75
BEGIN
>GAWK310 the gawking gene GNU AWK
tgcttggctgaggagccataggacgagagcttcctggtgaagtgtgtttcttgaaatcat
caccaccatggacagcaaa

The actual search request begins with the mandatory parameter PROGRAM in the first column followed by the value blastn (the name of the program) for searching nucleic acids. The next line contains the mandatory search parameter DATALIB with the value month for the newest nucleic acid sequences. The third line contains an optional EXPECT parameter and the value desired for it. The fourth line contains the mandatory BEGIN directive, followed by the query sequence in FASTA/Pearson format. Each line of information must be less than 80 characters in length.

The "month" database contains all new or revised sequences released in the last 30 days and is useful for searching against new sequences. There are five different blast programs, blastn being the one that compares a nucleotide query sequence against a nucleotide sequence database.

The last server directive that must appear in every request is the BEGIN directive. The query sequence should immediately follow the BEGIN directive and must appear in FASTA/Pearson format. A sequence in FASTA/Pearson format begins with a single-line description. The description line, which is required, is distinguished from the lines of sequence data that follow it by having a greater-than (>) symbol in the first column. For the purposes of the BLAST server, the text of the description is arbitrary.

If you prefer to use a client written in gawk, just store the following 10 lines of code into a file named protbase.awk and use this client instead. Invoke it with gawk -f protbase.awk protbase.request. Then wait a minute and watch the result coming in. In order to replicate the demonstration client's behaviour as closely as possible, this client does not use a proxy server. We could also have extended the client program in Retrieving Web Pages, to implement the client request from protbase.awk as a special case.

{ request = request "\n" $0 }

END {
  BLASTService     = "/inet/tcp/0/www.ncbi.nlm.nih.gov/80"
  printf "POST /cgi-bin/BLAST/nph-blast_report HTTP/1.0\n" |& BLASTService
  printf "Content-Length: " length(request) "\n\n"         |& BLASTService
  printf request                                           |& BLASTService
  while ((BLASTService |& getline) > 0)
      print $0
  close(BLASTService)
}

The demonstration client from NCBI is 214 lines long (written in C) and it is not immediately obvious what it does. Our client is so short that it is obvious what it does. First it loops over all lines of the query and stores the whole query into a variable. Then the script establishes an Internet connection to the NCBI server and transmits the query by framing it with a proper HTTP request. Finally it receives and prints the complete result coming from the server.

Now, let us look at the result. It begins with an HTTP header, which you can ignore. Then there are some comments about the query having been filtered to avoid spuriously high scores. After this, there is a reference to the paper that describes the software being used for searching the data base. After a repitition of the original query's description we find the list of significant alignments.

Sequences producing significant alignments:                        (bits)  Value

gb|AC021182.14|AC021182 Homo sapiens chromosome 7 clone RP11-733...    38  0.20
gb|AC021056.12|AC021056 Homo sapiens chromosome 3 clone RP11-115...    38  0.20
emb|AL160278.10|AL160278 Homo sapiens chromosome 9 clone RP11-57...    38  0.20
emb|AL391139.11|AL391139 Homo sapiens chromosome X clone RP11-35...    38  0.20
emb|AL365192.6|AL365192 Homo sapiens chromosome 6 clone RP3-421H...    38  0.20
emb|AL138812.9|AL138812 Homo sapiens chromosome 11 clone RP1-276...    38  0.20
gb|AC073881.3|AC073881 Homo sapiens chromosome 15 clone CTD-2169...    38  0.20

This means that the query sequence was found in seven human chromosomes. But the value 0.20 (20%) means that the probability of an accidental match is rather high (20%) in all cases and should be taken into account. You may wonder what the first column means. It is a key to the specific database in which this occurence was found. The unique sequence identifiers reported in the search results can be used as sequence retrieval keys via the NCBI server. The syntax of sequence header lines used by the NCBI BLAST server depends on the database from which each sequence was obtained. The table below lists the identifiers for the databases from which the sequences were derived.

GenBank gb|accession|locus
EMBL Data Library emb|accession|locus
DDBJ, DNA Database of Japan dbj|accession|locus
NBRF PIR pir||entry
Protein Research Foundation prf||name
SWISS-PROT sp|accession|entry name
Brookhaven Protein Data Bank pdb|entry|chain
Kabat's Sequences of Immuno... gnl|kabat|identifier
Patents pat|country|number
GenInfo Backbone Id bbs|number

For example, an identifier might be gb|AC021182.14|AC021182, where the gb tag indicates that the identifier refers to a GenBank sequence, AC021182.14 is its GenBank ACCESSION, and AC021182 is the GenBank LOCUS. The identifier contains no spaces, so that a space indicates the end of the identifier.

Let us go on in the result listing. Each of the seven alignments mentioned above is subsequently described in detail. We will have a closer look at the first of them.

>gb|AC021182.14|AC021182 Homo sapiens chromosome 7 clone RP11-733N23, WORKING DRAFT SEQUENCE, 4
             unordered pieces
          Length = 176383

 Score = 38.2 bits (19), Expect = 0.20
 Identities = 19/19 (100%)
 Strand = Plus / Plus


Query: 35    tggtgaagtgtgtttcttg 53
             |||||||||||||||||||
Sbjct: 69786 tggtgaagtgtgtttcttg 69804

This alignment was located on the human chromosome 7. The fragment on which part of the query was found had a total length of 176383. Only 19 of the nucleotides matched and the matching sequence ran from character 35 to 53 in the query sequence and from 69786 to 69804 in the fragment on chromosome 7. If you are still reading at this point, you are probably interested in finding out more about Computational Biology and you might appreciate the following hints.

  1. There is a book called Introduction to Computational Biology by Michael S. Waterman, which is worth reading if you are seriously interested. You can find a good book review on the Internet.
  2. While Waterman's book can explain to you the algorithms employed internally in the database search engines, most practicioners will prefer to approach the subject differently. The applied side of Computational Biology is called Bioinformatics and emphasizes the tools available for day-to-day work and how to actually use them. One of the very few affordable books on Bioinformatics is Developing Bioinformatics Computer Skills.
  3. The sequences gawk and gnuawk are in widespread use in the genetic material of virtually every earthly living being. Let us take this as a clear indication that the divine creator has intended gawk to prevail over heretical abnormalities such as perl, tcl, or python which are not even proper sequences.

A Simple CGI Library

HTTP is like being married: you have to be able to handle whatever
you're given, while being very careful what you send back.
Phil Smith III, http://www.netfunny.com/rhf/jokes/99/Mar/http.html

In A Web Service with Interaction, we saw the function CGI_setup as part of the web server "core logic" framework. The code presented there handles almost everything necessary for CGI requests. One thing it doesn't do is handle encoded characters in the requests. For example, an & is encoded as a percent sign followed by the hexadecimal value, %26. These encoded values should be decoded. Below is a simple library to do these tasks. This code is used for all web server examples used throughout this web page. If you want to use it for your own web server, store the source code into a file named inetlib.awk. Then you can include these functions into your code by writing

@include inetlib.awk

into the first line of your script. But beware, this mechanism is only possible if you invoke your web server script with igawk instead of the usual awk or gawk. Here is the code:

# core of a web server
# optional variable MyHost contains host address
# optional variable MyPort contains port number
# needs Status, Reason, Header, Document, Footer
# sets MyPrefix, HttpService
#

BEGIN {
  if (MyHost == "") {
     "uname -n" | getline MyHost
     close("uname -n")
  }
  if (MyPort ==  0) MyPort = 8080
  HttpService = "/inet/tcp/" MyPort "/0/0"
  MyPrefix    = "http://" MyHost ":" MyPort
  SetUpServer()
  while ("Perl" != "elegant") {
    RS = ORS    = "\r\n"          # header lines are terminated this way
    Status      = 200             # this means OK
    Reason      = "OK"
    Header      = TopHeader
    Document    = TopDoc
    Footer      = TopFooter
    if        (GETARG["Method"] == "GET")   { HandleGET()
    } else if (GETARG["Method"] == "HEAD") { # not yet implemented
    } else if (GETARG["Method"] != "") { print "bad method", GETARG["Method"]
    }
    Prompt = Header Document Footer
    print "HTTP/1.0", Status, Reason                      |& HttpService
    print "Connection: Close"                             |& HttpService
    print "Pragma: no-cache"                              |& HttpService
    print "Content-length:", length(Prompt) + length(ORS) |& HttpService
    print ORS Prompt                                      |& HttpService
    while ((HttpService |& getline) > 0) ; # ignore all the header lines
    close(HttpService)                     # stop talking to this client
    HttpService |& getline                 # wait for new client request
    print systime(), strftime(), $0        # do some logging
    CGI_setup($1, $2, $3)
  }
}

# CGI Libary
#
# Arnold Robbins, arnold@gnu.org
# based on work by Juergen Kahrs, Juergen.Kahrs@vr-web.de
# September 2000

# Global arrays
#   GETARG --- arguments to CGI GET command
#   MENU   --- menu items (path names)
#   PARAM  --- parameters of form x=y

function CGI_setup(   method, uri, version, i)
{
    delete GETARG
    delete MENU
    delete PARAM
    GETARG["Method"] = method
    GETARG["URI"] = uri
    GETARG["Version"] = version

    i = index(uri, "?")
    if (i > 0) {  # is there a "?" indicating a CGI request?
        split(substr(uri, 1, i-1), MENU, "[/:]")
        split(substr(uri, i+1), PARAM, "&")
        for (i in PARAM) {
            PARAM[i] = _CGI_decode(PARAM[i])
            j = index(PARAM[i], "=")
            GETARG[substr(PARAM[i], 1, j-1)] = substr(PARAM[i], j+1)
        }
    } else {   # there is no "?", no need for splitting PARAMs
        split(uri, MENU, "[/:]")
    }
    for (i in  MENU)    # decode characters in path
        if (i > 4)      # but not those in host name
            MENU[i] = _CGI_decode(MENU[i])
}

What this accomplishes for us is to isolate details in a single function, CGI_setup. Decoding of encoded characters is pushed off to a helper function, _CGI_decode. The use of the leading _ in the function name is intended to indicate that it is an "internal" function, although there is nothing to enforce this.

function _CGI_decode(str,   hexdigs, i, pre, code1, code2, val, result)
{
   hexdigs = "123456789abcdef"

   i = index(str, "%")
   if (i == 0) # no work to do
      return str

   do {
      pre = substr(str, 1, i-1)   # part before %xx
      code1 = substr(str, i+1, 1) # first hex digit
      code2 = substr(str, i+2, 1) # second hex digit
      str = substr(str, i+3)      # rest of string

      code1 = tolower(code1)
      code2 = tolower(code2)
      val = index(hexdigs, code1) * 16 \
            + index(hexdigs, code2)

      result = result pre sprintf("%c", val)
      i = index(str, "%")
   } while (i != 0)
   if (length(str) > 0)
      result = result str
   return result
}

This works by splitting the string apart around an encoded character. The two digits are converted to lower case and looked up in a string of hex digits. Note that 0 is not in the string on purpose; index will return zero when it's not found, automatically giving the correct value! Once the hexadecimal value is converted from characters in a string into a numerical value, sprintf converts the value back into a real character.

Here is a simple test harness for the above functions.

BEGIN {
    CGI_setup("GET",
    "http://www.gnu.org/cgi-bin/foo?p1=stuff&p2=stuff%26junk&percent=a %25 sign",
    "1.0")
    for (i in MENU)
        printf "MENU[\"%s\"] = %s\n", i, MENU[i]
    for (i in PARAM)
        printf "PARAM[\"%s\"] = %s\n", i, PARAM[i]
    for (i in GETARG)
        printf "GETARG[\"%s\"] = %s\n", i, GETARG[i]
}

Here is what happens when we run it:

$ gawk -f testserv.awk
-| MENU["4"] = www.gnu.org
-| MENU["5"] = cgi-bin
-| MENU["6"] = foo
-| MENU["1"] = http
-| MENU["2"] =
-| MENU["3"] =
-| PARAM["1"] = p1=stuff
-| PARAM["2"] = p2=stuff&junk
-| PARAM["3"] = percent=a % sign
-| GETARG["p1"] = stuff
-| GETARG["percent"] = a % sign
-| GETARG["p2"] = stuff&junk
-| GETARG["Method"] = GET
-| GETARG["Version"] = 1.0
-| GETARG["URI"] = http://www.gnu.org/cgi-bin/foo?p1=stuff&p2=stuff%26junk&percent=a %25 sign

GNU Free Documentation License

Version 1.1, March 2000

Copyright (C) 2000  Free Software Foundation, Inc.
59 Temple Place, Suite 330, Boston, MA  02111-1307  USA

Everyone is permitted to copy and distribute verbatim copies
of this license document, but changing it is not allowed.

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    The Free Software Foundation may publish new, revised versions of the GNU Free Documentation License from time to time. Such new versions will be similar in spirit to the present version, but may differ in detail to address new problems or concerns. See http://www.gnu.org/copyleft/.

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ADDENDUM: How to use this License for your documents

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  Copyright (C)  year  your name.
  Permission is granted to copy, distribute and/or modify this document
  under the terms of the GNU Free Documentation License, Version 1.1
  or any later version published by the Free Software Foundation;
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  Front-Cover Texts being list, and with the Back-Cover Texts being list.
  A copy of the license is included in the section entitled ``GNU
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If your document contains nontrivial examples of program code, we recommend releasing these examples in parallel under your choice of free software license, such as the GNU General Public License, to permit their use in free software.

Index


Footnotes

  1. It should be noted that although the Internet seems to have conquered the world, there are other networking protocol suites in existence and in use.

  2. In the days before voice mail systems!

  3. This special file is reserved, but not otherwise currently implemented.

  4. This special file is reserved, but not otherwise currently implemented.

  5. HTTP 1.1 was initially specified in RFC 2068. In June 1999 RFC 2068 was obsoleted by RFC 2616. It is an update without any substantial changes.

  6. Due to licensing problems, the default installation of GNUPLOT has the generation of .gif files switched off. If your installed version does not accept set term gif, just download and install the most recent version of GNUPLOT and the GD library by Thomas Boutell. Otherwise you still have the chance to generate some ASCII-art style images with GNUPLOT by using set term dumb. (We tried it and it worked.)