September 15, 2000

Revision History

1. Introduction to the Profile

2. The Z Texas Project

3. Functional Requirements
    3.1. Basic Bibliographic Search and Retrieval
        3.1.1. Basic Bibliographic Search
        3.1.2. Browsing Indexes
        3.1.3. Basic Bibliographic Retrieval
    3.2. Bibliographic Holdings Search and Retrieval
    3.3. Cross-Domain Search and Retrieval

4. Z39.50 Specifications
    4.1. Protocol Version
    4.2. Z39.50 Objects
    4.3. Z39.50 Services
        4.3.1. Init
        4.3.2. Search: Query Type and Attribute Sets
        4.3.3. Retrieval: Record Syntaxes
    4.4. Diagnostic Messages

5. Conformance
    5.A. Functional Area A: Basic Bibliographic Search and Retrieval, with Primary Focus on Library Catalogs

5.A.0. Functional Area A: Level 0 Basic Bibliographic Search and Retrieval

5.A.0.1. Author Search — Precision Match for Established Name Heading
5.A.0.2. Title Search — Keyword
5.A.0.3. Subject Search — Keyword
5.A.0 4. Any Search — Keyword

5.A.1. Functional Area A: Level 1 Basic Bibliographic Search and Retrieval

5.A.1.1. Author Search — Precision Match for Established Name Heading with Right Truncation
5.A.1.2. Author Search — Keyword
5.A.1.3. Author Search — Keyword with Right Truncation
5.A.1.4. Author Search — Exact Match
5.A.1.5. Title Search — Keyword with Right Truncation
5.A.1.6. Title Search — Exact Match
5.A.1.7. Title Search — First Words in Field
5.A.1.8. Title Search — First Characters in Field
5.A.1.9. Subject Search — Keyword with Right Truncation
5.A.1.10. Subject Search — Exact Match
5.A.1.11. Subject Search — First Words in Field
5.A.1.12. Subject Search — First Characters in Field
5.A.1.13. Any Search — Keyword with Right Truncation
5.A.1.14. Standard Identifier Search
5.A.1.15.  Date of Publication Search

5.A.1.SCAN. Functional Area A: Level 1 Use of SCAN

5.A.1.SCAN.1.  Author — Exact Match
5.A.1.SCAN.2.  Title —  Exact Match
5.A.1.SCAN.3.  Title — Keyword
5.A.1.SCAN.4.  Subject — Exact Match
5.A.1.SCAN.5.  Subject — Keyword
5.A.1.SCAN.6.  Any — Keyword

5.A.2. Functional Area A: Level 2 Bibliographic Search and Retrieval

5.A.3. Functional Area A: Level 3 Specialized Bibliographic Search and Retrieval -- PROPOSED

5.A.3.1. Remote System Record Number
5.A.3.2. ISBN Search
5.A.3.3. ISSN Search
(General Call Number/Classification Number Searches (at least one of the following two))
5.A.3.4. Dewey Classification — First Characters in Field
5.A.3.5. Library of Congress Classification — First Characters in Field
(Specialized Call Number/Classification Number Searches (optionally any of the following))
5.A.3.6. National Library of Medicine Classification — First Characters in Field
5.A.3.7. SuDocs Classification — First Characters in Field
5.A.3.8. Texas State Documents Classification — First Characters in Field
(Controlled Vocabulary Searches (at least one set of searches for a specific controlled vocabulary))
5.A.3.9. LC Subject  — Keyword with Right Truncation
5.A.3.10. LC Subject  — Exact Match   
5.A.3.11. LC Subject  — First Words in Field
5.A.3.12. MESH Subject — Keyword with Right Truncation
5.A.3.13. MESH Subject — Exact Match   
5.A.3.14. MESH Subject — First Words in Field
5.A.3.15. Sear's Subject — Keyword with Right Truncation
5.A.3.16. Sear's Subject — Exact Match   
5.A.3.17. Sear's Subject — First Words in Field
5.A.3.18. Format-Material Type Search
5.A.3.19. Language Search
5.A.3.20. Notes Search — Keyword 
5.A.3.21. Notes Search — Keyword with Right Truncation
5.A.3.22. Uniform Title Search — First Characters in Field
5.A.3.23. Series Title Search — First Characters in Field
5.A.3.24. Publisher Name Search — First Characters in Field

5.B. Functional Area B: Bibliographic Holdings Search and Retrieval

5.B.0. Functional Area B: Level 0 Bibliographic Holdings Search and Retrieval
5.B.1. Functional Area B: Level 1 Bibliographic Holdings Search and Retrieval -- PROPOSED
5.B.2. Functional Area B: Level 2 Bibliographic Holdings Search and Retrieval -- PROPOSED

6. References

Appendix A: Recommendations for Indexing MARC 21 Records to Support Z Texas and Bath Profiles' Bibliographic Searches (Functional Area A, Levels 0 & 1)
Appendix B: Diagnostics: Suggested User Display and Message Logging Using bib-1 Diagnostic Set
Appendix C: Examples of Using Truncation and Completion
Appendix D: Creating a Search from Scan Results
Appendix E: Holdings Information Reporting Levels B-1 and B-2

Revision History

Release 2.0 of the Profile is the result of a major revision to the Stable Draft Release 1.0 of the Z Texas Profile (April 1999).  Release 2.0 harmonizes the specifications of Z Texas Profile, Release 1.0 with the Bath Profile, An International Z39.50 Specification for Library Applications and Resource Discovery, Version 1.1.    

1. Introduction to the Profile

The Texas Z39.50 Implementors Group (TZIG) developed the Z Texas Profile to identify a subset of specifications from the internationally-approved Z39.50 Information Retrieval Protocol (ANSI/NISO Z39.50/ISO 23950). The Profile's specifications are intended for use in Z39.50 client and server software (hereafter referred to Z-client and Z-server) to support interoperable search and retrieval among library systems. As explained in Section 2: The Z Texas Project, the TZIG views the Z Texas Profile as an evolving set of specifications to address distributed search and retrieval of digital resources and to support resource sharing by Texas libraries.

The TZIG produced the Z Texas Profile, Release 1.0, in April 1999. The emergence of an international specification for library applications, Bath Profile, An International Z39.50 Specification for Library Applications and Resource Discovery, in the latter half of 1999 motivated revisions to the earlier release to harmonize Z Texas specifications with those contained in the Bath Profile. The Bath Profile provides a core subset of specifications, and the Z Texas Profile is a compatible superset of the Bath Profile for library applications.

The TZIG is a voluntary and informal association of interested Texas librarians representing academic, public, school, and special libraries, and Z39.50 product developers and vendors. The TZIG has identified future work areas for Profile development, including additional requirements not addressed in this release.

The profile addresses the basic requirements identified and discussed in Section 3: Functional Requirements. Those requirements support basic and specialized search and retrieval between MARC21 online library catalogs, and the retrieval of bibliographic holdings information. A key component of this Profile is to characterize the types of searching required by library users. To this end, the Profile defines specific searches and how the semantics of those searches will be expressed in the vocabulary of Z39.50.

The structure of the Z Texas Profile is modular and allows the future specification for separate but compatible functional requirements involving a range of applications useful to librarians and library users. The TZIG envisions future releases of this Profile addressing other requirements such as search and retrieval from full-text databases, searching across other information resources such as museums, government, archives, etc. These and other potential requirements may use features of Z39.50 not profiled in the current release.

The profile is structured into Functional Areas in which similar functional requirements, Z39.50 specifications, and levels of conformance are grouped.  This release of the profile defines two Functional Areas:

• Functional Area A for Basic Bibliographic Search & Retrieval, with Primary Focus on Library Catalogs: A definition of a core set of searches (and the associated attributes and attribute combinations) required for basic and specialized search and retrieval mechanisms needed by library users when interacting with library catalogs and other bibliographic electronic resources. 
• Functional Area B for Bibliographic Holdings Search & Retrieval: A definition of search and retrieval requirements to provide bibliographic and holdings information adequate to identify a library's holdings.

In addition, Conformance Levels are specified separately for each Functional Areas, but generally:

• Conformance Level 0 defines requirements for a limited number of searches to improve semantic interoperability, and is intended to encompass as many existing Z39.50 products as possible; conformance with Level 0 may require the reconfiguring of existing implementations. Specified by the Bath Profile.
• Conformance Level 1 defines requirements to improve semantic interoperability; these requirements can be configured in systems currently under development. Specified by the Bath Profile.
• Conformance Level 2 defines a number of functions which may be currently infeasible to require across the board but towards which effort should be directed. Specified by the Bath Profile.
• Conformance Level 3 defines Texas-specific requirements that go beyond the specifications in the Bath Profile.   

The purpose of the Z Texas Profile is to identify those features of the Z39.50 standard that are required to allow effective use of Z39.50 software in a range of library applications, including search and retrieval of  bibliographic data from library catalogues and transfer of holdings information.

The primary goal of the profile is to increase semantic interoperability between disparate systems so that end-users can use Z-clients to search catalogs and be confident that they have retrieved valid results. Implementation of this profile by systems developers will improve interoperability among diverse systems and improve search and retrieval results within specific Functional Areas.

A key component of this profile is the characterization of the types of searching required by librarians and library users. To this end, the profile defines specific searches and how the semantics of those searches are to be expressed in the vocabulary of Z39.50.  The profile does not prescribe local indexing decision or practices, however, semantic interoperability may be threatened by local indexing decisions that serve local needs.   Because the profile defines a core set of searches desired by users, implementors may use these searches to guide local indexing decisions.  The TZIG also is developing a guide to best practices for indexing decisions to support the searches defined in the profile.  A draft of this set of recommended practices is contained as Appendix A in this profile.  Appendix A is a non-normative appendix and will be revised based on broad community input and consensus on standardizing indexing to support cross-catalog searching.

2. The Z Texas Project

The Z Texas Project is an initiative to increase Z39.50 utility and effectiveness for Texas libraries and lay a foundation for future sharing of online, digital information resources. For information about the Z Texas Project, please visit the Project's website at: http://www.tsl.state.tx.us/ld/projects/z3950/.

The TZIG identified three project goals:

• To improve and broaden Texas citizens’ access to networked information resources in Texas and beyond.
• To improve Texas librarians’ understanding of Z39.50 and their capability to acquire and set up Z39.50 Z-clients and Z-servers.
• To establish one possible technical foundation for future sharing of the information assets of Texas.

In developing the Profile, the TZIG first identified a set of functional requirements to be supported by Z39.50 implementations. The functional requirements will evolve over time as Texas implementors see new opportunities for distributed search and retrieval using Z39.50. For example, expanded use of the Generic Record Syntax (GRS-1) and XML may be required to retrieve non-MARC information resources.

3. Functional Requirements

The basic requirements for this release focus on search and retrieval between online MARC21 library catalogs and the retrieval of bibliographic holdings information. This section identifies the functional requirements informing the Z39.50 specifications in this release. The  requirements detailed in the sections below comprise two Functional Areas:

• Functional Area A for Basic Bibliographic Search & Retrieval
• Functional Area B for Bibliographic Holdings Search & Retrieval

3.1. Basic Bibliographic Search and Retrieval

The TZIG identified and developed several categories of search and retrieval requirements reflected in the Z Texas Profile, Release 1.0. The current release harmonizes the searching requirements with the Bath Profile.  In addition, this release identifies additional search and retrieval requirements beyond the Bath Profile to address Texas specific requirements.

Library users conduct a variety of search and retrieval transactions.  The functional requirements for basic bibliographic search and retrieval include the delineation of a limited number of core searches, the browsing of indexes, and the appropriate retrieval mechanisms needed by library users when interacting with library catalogs, specifically MARC21 compliant online catalogs.

3.1.1. Basic Bibliographic Search

Librarians and library users engage in a wide range of searching behaviors.  Agreements on a core set of bibliographic searches have evolved through various Z39.50 profiling efforts:

• Author searches that include searching for an established name heading, searching for names not under any authority control, and searching where only part of a name is used as a search term
• Title searches that include searching for the entire title, the first part of a title, and searching using one or more words from a title
• Subject searches that include searching for a complete subject heading, the first part of a subject heading, and searching using one or more subject words as search terms
• Keyword searches that include high recall searches using one or more words from author, title, subject, and other common access points
• Boolean searches that include combining search terms with the Boolean operators of AND, OR, NOT
• Truncation searches where the user wants the system to truncate a single word on a character boundary or to truncate on word boundaries.

Level 0 can be considered a set of core searches with a general focus on recall rather than precision.  Level 0 searches provide basic functionality for common author, title, subject searches.  Level 0 searches are likely to be available in existing implementations.

Level 1 inherits all Level 0 searches and defines additional searches to provide for more precision in search and retrieval.   Implementors are encouraged to provide Level 1 searches. Each search defined in Level 0 and Level 1 includes a description of expected server behavior is provided, and a prescription for the attribute combination Z-clients are required to send and Z-servers are required to support.

Level 2 in this profile is reserved for future Bath Profile search and retrieval specifications. 

Level 3 inherits all Level 0, 1, and 2 searches and defines additional more specialized searches, for example:

• call number searching
• searching based on date, format, language
• controlled vocabulary searches from specific vocabularies or subject heading schemes.

Librarians and library users often use a browse function on a local system to identify appropriate search terms to use in a query.  Browse-based searching can assist users in improving their selection of search terms for the query.  This is a useful feature, often used in conjunction with known-item searching.  Such browse-based searching can be seen as an alternative searching strategy for some search requirements listed in 3.1.1.   Browsing indexes is a requirement for Z39.50 implementations and can be achieved through the Z39.50 Scan service, and this requirement is addressed in Level 1.

3.1.3. Basic Bibliographic Retrieval

This profile addresses retrieval of bibliographic and holdings records from library catalogues. Retrieval of bibliographic records given the existence of national MARC formats presents interoperability challenges.  Z-servers must support the retrieval of brief and/or full forms of bibliographic records in an internationally accepted MARC format as well as in plain text format to achieve interoperability. The profile assumes that regional, national, state, local or project companion profiles to this international profile may specify additional requirements such as a preferred MARC format when retrieving records from MARC databases within a specific region, country, state, locality, or project.  Support for MARC21, UNIMARC, and plain text formats as specified in this profile provide a basis for interoperability in an international context. 

* Note:  USMARC has been superseded by MARC21; the Z39.50 Object Identifier (OID) for USMARC will now be used to reference MARC21.

3.2.  Bibliographic Holdings Search and Retrieval

Identifying which collections contain certain information resources is a key factor in creating an infrastructure for resource sharing among libraries.  Librarians require holdings information for resource sharing, and library users need holdings information for knowing where to go to use or borrow a resource.  The holdings information should provide sufficient identification and description of an item to give the user adequate information to make a decisions about requesting or retrieving the item.

Search and retrieval of bibliographic holdings information requires the use of the Holdings Attribute Set, the Generic Record Syntax (GRS-1), and the recently completed Holdings Schema.

4. Z39.50 Specifications

This section summarizes the general Z39.50 specifications to address the functional requirements identified in Section 3.

4.1. Protocol Version

The profile requires Version 2 or Version 3 of Z39.50-1995, depending on Functional Area and Conformance Level.  All implementations are encouraged to use Version 3, but in the near term, conformance to certain specifications prescribed by this profile is available to Version 2 implementations.

4.2. Z39.50 Objects

The profile uses a number of Z39.50 registered objects.  The following table summarizes all Z39.50 objects referenced in the two Functional Areas.

 

Object	OID
bib-1 attribute set	1.2.840.10003.3.1
holdings attribute set	[to be assigned]
bib-1 diagnostic set	1.2.840.10003.4.1
holdings schema	1.2.840.10003.13.7
eSpec-q	1.2.840.10003.11.3
UNIMARC record syntax	1.2.840.10003.5.1
MARC21 record syntax	1.2.840.10003.5.10
Simple unstructured records syntax (SUTRS)	1.2.840.10003.5.101
Generic record syntax (GRS-1)	1.2.840.10003.5.105
XML record syntax	1.2.840.10003.5.109.10

 

4.3. Z39.50 Services

The profile specifies the use of the following  Z39.50 services:

• Init
• Search
• Present
• Scan

No additional services are required for conformance to this profile. Z-clients and Z-servers optionally may use other Z39.50 services.  Future releases of the profile may require additional services.

Standard Z39.50 Init Service negotiation procedures control the use of all services.

4.3.1. Init

Z-clients conforming to this profile may use the IDAuthentication parameters to transmit authentication information (e.g., userid and password). Z-servers conforming to this profile may or may not require authentication. The profile specifies no other security requirements. Z-clients may need to know in advance the authentication policy of a given server, and be prepared to provide values for userid and password.

Character Set Negotiation is required for Z-clients and Z-servers for particular Conformance Levels; see Section 5, Conformance.

4.3.2. Search: Query Type and Attribute Sets

The profile requires Z-clients and Z-servers to use Z39.50 Type 1 queries (i.e., general purpose Boolean query structures).

The Result-set-name parameter is required for Z-servers, and Z-servers must be able to retain at least two named results sets for the duration of a session.  Exceptional server situations may override the "two named results sets" requirement.

To accommodate the searching requirements for the two Functional Areas, the profile requires Z-clients and Z-servers to use one or more of the following attribute sets:

 

Object	OID
bib-1 attribute set	1.2.840.10003.3.1
holdings attribute set	[to be assigned]

 

• Z-clients must transmit the attribute combination in a Type 1 Query for each defined search
• Z-clients must accept the corresponding relevant responses (which may be a diagnostic record) from Z-servers including specified record syntaxes
• Z-servers must recognize the attribute set's OID
• Z-servers must recognize the attribute set's attribute types and value(s) listed for a conformance level
• Z-servers must accept for each defined search the associated attribute combination if they are relevant in the context of the corresponding databases
• Z-servers must process each defined search using attribute combination sent by the Z-client and produce a valid result set (which could contain 0 hits)
• Z-servers must return the corresponding relevant responses (which may be a diagnostic message) to the Z-client including specified record syntaxes. 

Complex keyword searches can be expressed using Boolean operators to connect one or more operands where the operands are constructed using the searches defined in these specifications.

The bib-1 Attribute Set plays a primary role in this profile for basic bibliographic searching. Semantics for most of the bib-1 attributes specified for support in this profile can be found in Attribute Set bib-1 (Z39.50-1995): Semantics (September 1995). Not all current bib-1 attribute values, however, are defined in that document. However, the complete bib-1 Attribute Set is available at http://lcweb.loc.gov/z3950/agency/defns/bib1.html.

The following table summarizes the bib-1 Attribute Set types and values referenced in the Functional Areas A, Levels 0 and 1:

 

Attribute Type	Attribute Values	Attribute Names
Use (1)	4, 21, 31, 1003, 1007, 1016	title, subject heading, date of publication, author, identifier-standard, any
Relation (2)	1, 2, 3, 4, 5	less than, less than or equal, equal, greater than or equal, greater than
Position (3)	1, 3	first in field, any position in field
Structure (4)	1, 2, 101	phrase, word, normalized
Truncation (5)	1, 100	right truncation, do not truncate
Completeness (6)	1, 3	incomplete subfield, complete field

 

 

Fields Containing One or More Words
Search Type	Functional Area A
	Level 0	Level 1	Level 2	Level 3
Keyword	Title, Subject, Any	Author, Title, Subject, Any	TBA	TBA
Keyword with right truncation		Author, Title, Subject, Any	TBA	TBA
First characters		Title, Subject	TBA	TBA
First words		Title, Subject	TBA	TBA
Unanchored normalized name	Author		TBA	TBA
Unanchored phrase			TBA	TBA
Exact match		Author, Title, Subject	TBA	TBA

 

 

One Word Fields
Search Type	Functional Area A
	Level 0	Level 1	Level 2	Level 3
Exact match		Identifier; Date of Publication	TBA	TBA

 

4.3.3. Retrieval: Record Syntaxes

For interoperability, Z-clients and Z-servers must support one or more common record syntaxes.  Support of a record syntax means that for every record in a result set, the server must be able to deliver the record in a required record syntax.  Exceptional server situations may override this required syntax requirement (e.g., database temporarily not available).

Z-clients and Z-servers have different responsibilities in their support for record syntaxes.  Z-clients will support all syntaxes required in a Functional Area and at a given Conformance Level, while Z-servers will normally support only those syntaxes required for their business.

For Basic Bibliographic Retrieval (Functional Area A), the MARC21, UNIMARC, SUTRS, and XML record syntaxes are required depending on Conformance Level.   Regional, national, state, local, or project companion profiles may specify other Z39.50 registered MARC record syntaxes in addition to those required by this profile.  In the case where a user requests a record syntax (e.g., MARC21) and the Z-server only provides records in UNIMARC, the Z-server should return the appropriate diagnostic; see Section 4.4. Diagnostic Messages.  

Interoperability requires use of  standard character sets.  Unless specified otherwise, Z-clients and Z-servers must use the character set defined by a particular record syntax (e.g., for MARC21, see MARC 21 Specifications for Record Structure, Character Sets, and Exchange Media).

For retrieval of bibliographic holdings information (Functional Area B), Generic Record Syntax (GRS-1) is required.  Use of GRS-1 for bibliographic holdings information requires the use of a Z39.50 Schema.  The Z39.50 Holdings Schema is required.

See Section 5, Conformance for specific requirements regarding record syntaxes for the different Functional Areas and Conformance Levels.  Z-clients and Z-servers may support other registered Z39.50 record syntaxes in addition to those required by this profile. 

4.4. Diagnostic Messages

The profile requires that Z-servers return appropriate diagnostic messages from Diagnostic Set bib-1. To assist implementors in sending the appropriate diagnostic for an error condition, Appendix B contains a listing of bib-1 Diagnostics to use for specific error conditions.  In addition, Z-clients are encouraged to display usable and meaningful diagnostic messages to users.  To assist implementors, Appendix B also includes suggested wording for diagnostic messages meant to be read by a user.  

For servers that provide records in selected record syntaxes for specific authorized users, a new diagnostic has been proposed to the Maintenance Agency, bib-1 Diagnostic #1070: "User not authorized to receive this record in requested syntax.”

The Maintenance Agency has added Diagnostic #1069: "No syntaxes available for this request."  This diagnostic should be used in the case where a Z-server conforms to the Profile in supporting either MARC21 or UNIMARC and receives a request for a non-supported record syntax.  Z-Servers should not return a record in an alternative record syntax until requested by the Z-client.

5. Conformance

Z-clients and Z-servers may claim conformance to one or more Functional Areas at specific Conformance Levels and be in compliance with this profile. Requirements and specifications for each Functional Area are compatible. While Functional Areas differ in their focal concern, it is likely that conformance to certain Functional Areas may imply conformance to other Functional Areas (i.e., to support a particular Functional Area may require conformance to one or more other Functional Areas).

This section identifies required Z39.50 specifications for Z-clients and Z-servers to claim conformance for each of the Functional Areas at a particular Conformance Level.  This release specifies conformance for:

• Functional Area A for Basic Bibliographic Search & Retrieval, with primary focus on library catalogs 
• Level 0 Basic Bibliographic Search & Retrieval (Recall-oriented) [specified in Bath Profile]
• Level 1 Basic Bibliographic Search & Retrieval (Precision-oriented) [specified in Bath Profile]
• Level 2 Bibliographic Search & Retrieval [reserved for specifications that will be added in Bath Profile]
• Level 3 Specialized Bibliographic Search & Retrieval
• Functional Area B for Bibliographic Holdings Search & Retrieval
• Level 0 [specified in Bath Profile]
• Level 1 [specified in Bath Profile]

5.A. Functional Area A: Basic Bibliographic Search and Retrieval

Functional Area A addresses the requirements of basic search and retrieval among and between electronic resource descriptions with specific focus on bibliographic and related databases of library catalogs. Four Conformance Levels for bibliographic search and retrieval are specified.

Functional Area A uses the following Z39.50 Objects:

Object	OID	Z-client	Z-server
bib-1 attribute set	1.2.840.10003.3.1	X	X
bib-1 diagnostic set	1.2.840.10003.4.1	X	X
UNIMARC record syntax	1.2.840.10003.5.1	*	**
MARC21 record syntax	1.2.840.10003.5.10	*	**
SUTRS	1.2.840.10003.5.101	*	**
XML	1.2.840.10003.5.109.10	*	**

* Z-clients will support one of either UNIMARC or MARC21 as well as both the SUTRS and XML Record Syntaxes at Conformance Level 0, and all four at Level 1. 
** Z-servers will support one of either UNIMARC or MARC21 as well as one of either the SUTRS or XML Record Syntaxes. 

Record Syntax "support" means that the Z-server can deliver any record in a result set formatted in a required record syntax, and a Z-client can receive and process for display or other uses any record formatted in a required record syntax. For example, Functional Area A Level 0 Conformance requires that a Z-client must be able to receive and a Z-server must be able to deliver any record in a result set in SUTRS and either MARC21 or UNIMARC. Z-clients and Z-servers are encouraged to support both MARC syntaxes for exchange of MARC data. Exceptional server situations may override this required syntax requirement (e.g., database temporarily not available).  Local policies may also restrict access to records in one or more specific record syntaxes to authorized users.  In such cases, the server should return the appropriate diagnostic. For servers that provide records in selected record syntaxes for specific authorized users, a new bib-1 diagnostic is available, bib-1 Diagnostic #1070: "User not authorized to receive this record in requested syntax."

Default behavior by Z-clients or Z-servers is precluded by this profile. The profile requires that Z-clients formulate queries using all the specified attribute types and values (below), and requires Z-servers to process all of the attribute types (i.e., do not ignore any attribute types or values in the query). Z-servers that do not support specific attribute types and values must return a diagnostic message. See Appendix A for appropriate diagnostic to return for specific error conditions.  Z-clients and Z-servers may support additional searches that use bib-1 attribute type values not specified in this profile. In those cases, Z-clients should specify in a query all values for all 6 attribute types and Z-servers should be prepared to respond to such a query (no defaults).

A keyword search in this profile is defined as a search that matches the specified character string (i.e., the search term) against a word(s) in the record as characterized by the use attribute value.  A word may be a single alphanumeric character or a string of characters bounded by spaces or characters treated as spaces by the server.  Keyword searches are formulated according to the ZIG Clarification #54, Z39.50 Keyword Searching of Bibliographic Systems. However, where the Clarification leaves some attribute values unspecified, this profile specifies values for all attribute types.   Where a keyword search contains multiple words, each word is a separate term with associated bib-1 attributes to form an operand within the query.  Searches with multiple operands  are combined with a Boolean operator.  Operands can be formulated using searches defined for the levels of conformance (e.g., in Level 0 an operand to express a Title Keyword Search combined with an operand to express a Subject Keyword Search).

This profile does not specify data elements or indexes to be mapped to the required bib-1 use attributes.  It recognizes that indexing practices may vary based on local needs.  However, it assumes that in library catalog implementations:

• An author search will look for matches in an index(es) derived from data elements containing names used as main entry, added entry, or series author
• A title search will look for matches in an index(es) derived from data elements containing the general title and alternative titles such as series title, uniform title, and variant titles; statement of responsibility is not generally considered part of a title search
• A subject search will look for matches in an index(es) derived from data elements containing subjects (e.g., topical subject, geographical subject, title as subject, and names as subject) with no expectation that the search term is from an authoritative subject heading list
• An "any" search will search commonly used access points defined by the server; for each level of searching, an "any" search should look for matches in the indexes related to those access points; "any" searches are cumulative in that at higher levels of conformance, an "any" search should look for matches in all indexes related to all access points defined in searches at the current level and all levels below.

Since servers are required to support a minimum number of well-defined searches for each conformance level, they should be able to process a query that combines operands that express searches across different indexes (i.e., cross index searching).

Appendix A provides guidance on indexing MARC 21 records to support the various searches prescribed by the profile.

5.A.0. Functional Area A: Level 0 Basic Bibliographic Search and Retrieval

Conformance with Level 0 Searching enables a basic level of author, title, subject, and general keyword (any) searching. Title, subject, and general keyword searches are all based on a keyword approach to assist in high recall.   Author searches are based on a phrase (normalized) approach to assist in higher precision for author searches.  This conforms with earlier profiling work.  In particular, it reflects and replaces the functionality supported by the ATS-1 Profile. (The Z39.50 Maintenance Agency has designated the ATS-1 Profile with the status "Not Currently Maintained".)

Z39.50 Version 2 is required; Z39.50 Version 3 is recommended.

Level 0 Searching requires the ISO Latin-1 character set.

Level 0 Retrieval requires:

•  Z-clients to support (UNIMARC or MARC21) and SUTRS and XML. 
• Z-servers to support (UNIMARC or MARC 21) and (SUTRS or XML). 

Z-clients and Z-servers will use the ASCII character set or the character set defined for use with the record syntax.

Level 0 Searching requires the following bib-1 Attributes Types and Values:

Attribute Type	Attribute Values	Attribute Names
Use (1)	4, 21, 1003, 1016	title, subject heading, author, any
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2, 101	word, normalized
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

 

• Author Search -- Precision Match for Established Name Heading
• Title Search -- Keyword
• Subject Search -- Keyword
• Any Search -- Keyword

5.A.0.1. Author Search -- Precision Match for Established Name Heading

Uses: Searches for complete word(s), as ordered in the query, in fields that contain a name of a person or entity responsible for a resource.  The search term may appear anywhere in the field as long as the order is preserved.  Makes no assumption about whether the search term is in an authorized or unauthorized form (i.e., makes no attempt to reprocess the term before attempting a match against the specified indexes that contain names in authorized form that may have been established according to cataloging rules such as AACR2 ).   Example:  the search term "aardt, j" will retrieve resources indexed "Aardt, J", "Aardt J.H.A.", and "Van Aardt, J." but not "Aardt, Jan."  Z-clients should formulate this search using the comma to separate surname and firstname (e.g., aardt, j).

Attribute Type	Attribute Values	Attribute Names
Use (1)	1003	author
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	101	normalized
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

 

Uses: Searches for complete word in a title of a resource.

Attribute Type	Attribute Values	Attribute Names
Use (1)	4	title
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2	word
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

 

Uses: Searches for complete word in subject fields in a record.

Attribute Type	Attribute Values	Attribute Name
Use (1)	21	subject heading
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2	word
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

 

Uses: Searches for complete word in fields that are commonly used as access points (as defined by the server). Any searches comprising more than one keyword are interpreted in such a way that the terms may exist in the same or different attributes.

Example: a search on "Dickens AND Twist" might conceivably find "Dickens" in the Author Use Attribute (1003) and "Twist" in the Title Use Attribute (4).

Attribute Type	Attribute Values	Attribute Name
Use (1)	1016	any
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2	word
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

Note: At a minimum, an Any search should go against the combination of access points defined at a level. At Level 0 this means an Any query should search across  Author, Title, and Subject. Since the Any search is inherited at all higher levels, Any queries at those levels will increase the access points searched.

5.A.1. Functional Area A: Level 1 Basic Bibliographic Search and Retrieval

Level 1 inherits all Level 0 search and retrieval requirements.  Conformance with Level 1 Search enables basic and more precise Author, Title, and Subject searching as well as Standard Number and Date of Publication.  Level 1 enhances keyword searching by providing truncation of words.  To assist in understanding server behavior and results when using the Truncation and Complete Attribute values, see Appendix C, Examples of Using Truncation and Completion.

Z39.50 Version 3 is required.

Level 1 requires Z-clients and Z-servers to recognize Character Set and Language Negotiation. 

Level 1 Retrieval requires:

• Z-clients to support UNIMARC and MARC21 and SUTRS and XML
• Z-servers to support (UNIMARC or MARC 21) and (SUTRS or XML).

Level 1 Searching requires the following bib-1 Attributes Types and Values:

Attribute Type	Attribute Values	Attribute Names
Use (1)	4, 21, 31, 1003, 1007, 1016	title, subject heading, date of publication, author, identifier-standard, any
Relation (2)	1, 2, 3, 4, 5	less than, less than or equal, equal, greater than or equal, greater than
Position (3)	1, 3	first in field, any position in field
Structure (4)	1, 2, 101	phrase, word, normalized
Truncation (5)	1, 100	right truncation, do not truncate
Completeness (6)	1, 3	incomplete subfield, complete field

Combinations of these Attributes Types and Values express the semantics of fifteen Level 1 Searches detailed below:

• Author Search — Precision Match for Established Name Heading with Right Truncation
• Author Search — Keyword
• Author Search — Keyword with Right Truncation
• Author Search — Exact Match
• Title Search — Keyword with Right Truncation
• Title Search — Exact Match
• Title Search — First Words in Field
• Title Search — First Characters in Field
• Subject Search — Keyword with Right Truncation
• Subject Search — Exact Match
• Subject Search — First Words in Field
• Subject Search — First Characters in Field
• Any Search — Keyword with Right Truncation
• Standard Identifier Search
• Date of Publication Search

Level 1 requires the use of Scan as detailed in Section 5.A.1SCAN, Functional Area A: Level 1 Use of Scan. Use of Scan is a mechanism to browse indexes for authors, titles, subjects, and keywords when the searcher is not sure of how a term may be indexed in a database.  A Scan may be followed by a subsequent search once the appropriate term has been identified. 

For the precision title searches described below, search result may show some variance because of the use of an initial article in a query.  For example, if a client sends a title search that includes an initial article, the results may be variable depending, for example, on the language of the work for which the title is being searched and/or the indexing practice of the target database.

Operands can be formulated using searches defined for the levels of conformance (e.g., in Level 1 an operand to express a Title Search — Keyword with Right Truncation combined with an operand from level 0 to express a Subject Keyword Search). Each operand specifies all attribute values as prescribed for the defined searches.

Uses: Searches for complete word(s) in order specified in fields that contain a name of a person or entity responsible for a resource.  The words as specified may appear anywhere in the field as long as the order is preserved.  Makes no assumption about whether the search term is in an authorized or unauthorized form (i.e., makes no attempt to reprocess the term before attempting a match against the specified indexes that contain names in authorized form that may have been established according to cataloging rules such as AACR2 ).   Example:  the search term "aardt j" will retrieve resources indexed "Aardt, J", "Aardt J.H.A.", "Van Aardt, J." and "Aardt, Jan."

Attribute Type	Attribute Values	Attribute Names
Use (1)	1003	author
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	101	normalized
Truncation (5)	1	right truncation
Completeness (6)	1	incomplete subfield

 

5.A.1.2. Author Search — Keyword

Uses: Searches for complete word in fields that contain the name of a person or entity responsible for a resource.

Attribute Type	Attribute Values	Attribute Names
Use (1)	1003	author
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2	word
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

5.A.1.3. Author Search — Keyword with Right Truncation

Uses: Searches for complete word beginning with the specified character string in fields that contain the name of a person or entity responsible for a resource. 

Attribute Type	Attribute Values	Attribute Names
Use (1)	1003	author
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2	word
Truncation (5)	1	right truncation
Completeness (6)	1	incomplete subfield

5.A.1.4.  Author Search — Exact Match

Uses: Searches for the complete string as specified in fields that contain a name of a person or entity responsible for a resource.  This search is needed to conduct a follow-up search when the user selects terms from an author index (e.g., from a Scan).

Attribute Type	Attribute Values	Attribute Names
Use (1)	1003	author
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	100	do not truncate
Completeness (6)	3	complete field

5.A.1.5. Title Search — Keyword with Right Truncation

Uses: Searches for complete word beginning with the specified character string in fields that contain a title of a resource. 

Attribute Type	Attribute Values	Attribute Names
Use (1)	4	title
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2	word
Truncation (5)	1	right truncation
Completeness (6)	1	incomplete subfield

5.A.1.6. Title Search — Exact Match

Uses: Searches in fields that contain a title of a resource for an exact match on the complete string as specified.  This search is useful for one or two word titles, often serials, where a less precise search may retrieve a very large result set. This search is also needed to conduct a follow-up search when the user selects terms from a full title index (e.g., from a Scan).

Note: The exact match title search may result in zero results if the server indexes an entire field including the statement of responsibility (i.e., information about the person(s) or entities responsible for the intellectual creation of the resource).

Attribute Type	Attribute Values	Attribute Names
Use (1)	4	title
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	100	do not truncate
Completeness (6)	3	complete field

5.A.1.7. Title Search — First Words in Field

Uses: Searches for complete word(s) in the order specified in fields that contain a title of a resource. The field must begin with the specified character string. This search is useful when the beginning words in a title are known to the user.

Attribute Type	Attribute Values	Attribute Names
Use (1)	4	title
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

5.A.1.8. Title Search — First Characters in Field

Uses: Searches for the specified character string in fields that contain a title of a resource. The field must begin with the specified character string.  This search is useful when the beginning words in a title are known to the user but the users is not sure of the form or spelling of a particular word.  For example, 'cat behav' will retrieve resources with titles beginning 'cat behavior' or 'cat behaviour'. 

Attribute Type	Attribute Values	Attribute Names
Use (1)	4	title
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	1	right truncation
Completeness (6)	1	incomplete subfield

5.A.1.9. Subject Search — Keyword with Right Truncation

Uses: Searches for complete word beginning with the specified character string in subject fields of a record.

Attribute Type	Attribute Values	Attribute Name
Use (1)	21	subject heading
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2	word
Truncation (5)	1	right truncation
Completeness (6)	1	incomplete subfield

5.A.1.10. Subject Search — Exact Match

Uses: Searches in subject fields for the complete string as specified.  This search is useful for limiting searches to a precise subject, especially where fields contain subheadings.  This search is needed to conduct a follow-up search when the user selects terms from a subject heading index (e.g., from a Scan). 

Attribute Type	Attribute Values	Attribute Names
Use (1)	21	subject heading
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	100	do not truncate
Completeness (6)	3	complete field

5.A.1.11. Subject Search — First Words in Field

Uses: Searches for complete word(s) in the order specified in subject fields.  The field must begin with the specified character string. This search is useful when the searcher knows the main subject heading but not sub-headings.

Attribute Type	Attribute Values	Attribute Names
Use (1)	21	subject heading
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

5.A.1.12. Subject Search — First Characters in Field

Uses: Searches for the specified character string in subject fields.  The field must begin with the specified character string.  This search is useful when the searcher wants to retrieve all headings beginning with a common stem.  For example, 'catalog' will retrieve resources on 'cataloging', 'catalog cards', 'catalog use', etc.

Attribute Type	Attribute Values	Attribute Names
Use (1)	21	subject heading
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	1	right truncation
Completeness (6)	1	incomplete subfield

5.A.1.13. Any Search — Keyword with Right Truncation

Uses: Searches for complete word beginning with the specified character string in fields that are commonly used as access points (as defined by the server). Any searches comprising more than one keyword are interpreted in such a way that the terms may exist in the same or different attributes.

Example: a search on "Dick AND Twi" might conceivably find "Dickens" in the Author Use Attribute (1003) and "Twist" in the Title Use Attribute (4).

Attribute Type	Attribute Values	Attribute Name
Use (1)	1016	any
Relation (2)	3	equal
Position (3)	3	any position in field
Structure (4)	2	word
Truncation (5)	1	right truncation
Completeness (6)	1	incomplete subfield

Note: At a minimum, an Any search should go against the combination of access points defined at a level. At Level 1 this means an Any query should search across  Author, Title, Subject, Standard Identifier, and Date. Since the Any search is inherited at all higher levels, Any queries at those levels will increase the access points searched.

5.A.1.14. Standard Identifier Search

Uses: Searches standard identifiers such as ISBN, ISSN, Music Standard numbers, CODEN, Superintendent of Documents Item Number, etc., but does not identify a specific standard number scheme.

Attribute Type	Attribute Values	Attribute Names
Use (1)	1007	identifier-standard
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

5.A.1.15.  Date of Publication Search

Uses: Searches for the year in which a resource is published.

The Date of Publication Use attribute must be used as a search limiter in conjunction with another operand (i.e., used to limit a search using other Use attribute values).  Z-servers may reject a query that only includes the Date of Publication Use attribute.

Attribute Type	Attribute Value	Attribute Name
Use (1)	31	date of publication
Relation (2)	1, 2, 3, 4, 5	less than, less than or equal, equal, greater than or equal, greater than
Position (3)	1	first in field
Structure (4)	4	year
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

5.A.1SCAN. Functional Area A: Level 1 Use of SCAN

The Z39.50 Scan Service is an effective mechanism for identifying appropriate search terms to be submitted in a query to a single database or server.  It is required at Functional Area A: Level 1 Search and Retrieval.

The following requirements apply for Scan:

• Z-clients must support Term and DisplayTerm, and Z-servers should always send both Term and DisplayTerm (which may contain the same value), and Z-client should always display the DisplayTerm.
• Required values for parameter preferredPositionInResponse are 0 and 1.
• Stepsize is 0.

To maintain parallel with the searches defined in Level 1, six Scans are defined:

• Author — Exact Match
• Title — Exact Match
• Title — Keyword
• Subject — Exact Match
• Subject — Keyword
• Any — Keyword.

Unlike the other searches specified in this Profile, it is not necessary to specify the Relation, Completeness and Truncation attributes of a Scan.

5.A.3. Functional Area A: Level 3 Specialized Bibliographic Search and Retrieval -- PROPOSED 

Level 3 inherits all Levels 0, 1, and 2  search and retrieval requirements.  Conformance with Level 3 Search enables more specialized searching. Level 3 defines no additional Retrieval or SCAN requirements.  

Certain searches defined for this level are not appropriate for all servers.  This is particularly true for call number/classification number searches and subject heading searches.  For example, some libraries only use Dewey Classification for their call numbers, and therefore, it would be unreasonable for those server systems to support a Library of Congress Call Number search.  In the following searches, when more than one scheme may be available, the profile requires that Z-servers only support at least one of the alternative searches.  Z-clients must support all searches defined for this level. This optionality within the profile is necessary, but it does have implications for interoperability for these searches.

Level 3 Searching requires the following bib-1 Attributes Types and Values:

Attribute Type	Attribute Values	Attribute Names
Use (1)	5, 6, 7, 8, 12, 13, 16, 25, 27, 32, 54, 63, 1018,  1008, 1031, 1035	title series, title uniform, ISBN, ISSN, local number, Dewey classification, LC call number, MESH subject, LC subject heading, date of acquisition, language, notes, publisher, Subject-LC Children's, material-type, anywhere
Relation (2)	1, 3, 5	less than, equal, greater than
Position (3)	1, 3	first in field, any position in field
Structure (4)	1, 2	phrase, word, normalized
Truncation (5)	1, 100	right truncation, do not truncate
Completeness (6)	1, 3	incomplete subfield, complete field