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Z Texas Profile

A Z39.50 Specification for Library Systems
Applications in Texas 

Release 3.0
Based on Bath Profile, Release 2.0 and ANSI/NISO Z39.89, Final Draft

prepared by
The Texas Z39.50 Implementors Group (TZIG)

October 2, 2003


Table of Contents

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
3.4. Authority Record Search and Retrieval
3.5. Database Citation Record 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.1. Functional Area A: Level 1 Basic Bibliographic Search and Retrieval
5.A.2. Functional Area A: Level 2 Bibliographic Search and Retrieval

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

5.B.0.1. Functional Area B: Bibliographic Holdings Search
5.B.1.1. Functional Area B: US ESN-1 Minimal Bibliographic (Title) Level Holdings
5.B.1.2. Functional Area B: US ESN-2 Summary Level Holdings
5.B.1.3. Functional Area B: US ESN-3 Extended Piece Level Holdings

5.C. Functional Area C: Cross Domain Search and Retrieval

5.C.0. Functional Area C: Level 0 Bibliographic Holdings Search and Retrieval
5.C.1. Functional Area C: Level 1 Bibliographic Holdings Search and Retrieval

5.D. Functional Area D: Authority Record Search and Retrieval

5.D.0. Functional Area D: Level 1 Bibliographic Holdings Search and Retrieval
5.D.1. Functional Area D: Level 2 Bibliographic Holdings Search and Retrieval

5.E. Functional Area E: Database Citation Record Search and Retrieval

5.E.0. Functional Area E: Level 0 Bibliographic Holdings Search and Retrieval
5.E.1. Functional Area E: Level 1 Bibliographic Holdings Search and Retrieval

6. References

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Z Texas Profile:

A Z39.50 Specification for Library Systems Applications in Texas

Revision History

Release 3.0 of the profile is the result of the addition of Functional Area E (Basic Search and Retrieval of Database Citation Records) and the harmonization of the specifications of ANSI/NISO 39.89, The U.S. National Z39.50 Profile for Applications, Final Draft, and the Bath Profile, An International Z39.50 Specification for Library Applications and Resource Discovery, Release 2.0.

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

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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 resources. 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, The Bath Profile, An International Z39.50 Specification for Library Applications and Resource Discovery, release 1.1, in the latter half of 1999 motivated revisions to the earlier release to harmonize Z Texas specifications with those contained in this 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 produced Z Texas Profile, Release 2.0 in September 2000. The release of The Bath Profile, Release 1.1 in February 2001 and the desire to remain a compatible superset motivated the creation of that release.

The TZIG produced Z Texas Profile, Release 3.0 in 2003. The release of The Bath Profile, Release 2, third draft in February 2002, the impending release of NISO's U.S. National Z39.50 Profile for Library Applications in 2002, as well as the need for interoperability between abstracting and indexing databases within Texas prompted this release. TZIG members will be able to recommend additions, modifications, or deletions to both the NISO U.S. National Z39.50 Profile for Library Applications and The Bath Profile.

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 involving MARC 21 online library catalogs, non-MARC resources, citation, full-text, abstracting, and indexing databases, 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 for 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 of full-text information within databases. 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 five Functional Areas:

Other Functional Areas may be defined in future releases of this Profile.

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

Each Conformance Level defines required Z39.50 client and server specifications and behavior.

Conformance requires a system (Z-client, Z-server, and underlying information retrieval system) to be capable of carrying out the specified behaviors at a given conformance level. A vendor’s product may conform at a specific level yet customization for a local implementation may jeopardize conformance. Managers of local implementations should be aware of conformance requirements to realize the benefits of the specifications provided in this 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 and authority data from library catalogs, transfer of holdings information, and search and retrieval of citation records from databases and other disparate electronic records.

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 other databases 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 decisions 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 Z39.50 Interoperability Testbed has also developed a guide to best practices for indexing decisions to support the searches defined in Conformance Level 0 of the Profile. This set of recommended practices is maintained separately. It is considered a non-normative appendix and will be revised based on broad community input and consensus on standardizing indexing to support cross-catalog searching.

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2. The Z Texas Project

The Z Texas Project is an initiative to lay a foundation for future sharing of online, digital information resources and increase Z39.50 utility and effectiveness for Texas libraries. Functional Area E of this profile was written specifically for those citation and online databases already in use within the state of Texas. Primarily, this would include those databases funded by the TexShare project: http://www.texshare.edu/. However, other full-text or full-image databases created by Texas libraries were also kept in mind throughout this process.  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:

The Z Texas Profile reflects consensus on functional requirements for using Z39.50 and a set of Z39.50 specifications that can serve the State’s library communities. Implementations that conform to this profile can significantly improve Texas libraries’ use of Z39.50.

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, use of XML, while not required in the first version, is now required to access non-MARC bibliographic information resources like holdings and citation record data.

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3. Functional Requirements

The basic requirements for this release focus on search and retrieval between online MARC 21 library catalogs, the retrieval of bibliographic holdings information, the search and retrieval of authority records, the search and retrieval of disparate electronic records, and the search and retrieval of citation records in electronic databases. This section identifies the functional requirements informing the Z39.50 specifications in this release. The requirements detailed in the sections below comprise five Functional Areas:

Section 5, Conformance, details each Functional Area, as well as Conformance Level specifications.

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, Release 2.0,  and ANSI/NISO Z 39.59 U.S. National Z39.50 Profile for Library Applications. In addition, this release identifies additional search and retrieval requirements beyond the Bath and U.S. National profiles to address Texas specific requirements.

Library users conduct a variety of search and retrieval transactions. The functional requirements for basic 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 and other electronic databases and discovery services.

3.1.1. Basic Bibliographic Searching

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:

Given these basic bibliographic search behaviors, the profile details three levels of searching.

Level 0 defines very basic search and retrieval requirements for Z-clients and Z-servers. Level 0 presents the lowest threshold for conformance while resulting in meaningful interoperability. Keyword searches with no truncation for author, title, subject, and general keyword searching enable recall-oriented searches across library catalogs. Level 0 serves as a basic resource discovery application. Level 0 searches are likely to be available in existing implementations.

Level 1 inherits all search and retrieval requirements from Level 0. Level 1 defines more robust search and retrieval requirements for Z-clients and Z-servers. Level 1 enables more precision-oriented searches for author, title, and subject. It adds truncation for keyword searches. In addition, it includes searches such as standard number searching (e.g., ISBN and ISSN), and qualifying searches based on date, language, and format of material. Implementors are encouraged to provide Level 1 functionality.

Level 2 inherits all search and retrieval requirements from Levels 0 and 1. Level 2 defines more demanding requirements including a variety of specialized searches, including searches using controlled vocabularies, specialized author and title searches, and searches on notes fields. 

The modular structure of the profile allows implementors to develop products that conform to the most appropriate level for a particular market or local implementation.

3.1.2. Browsing Indexes

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. The profile introduces this requirement as part of Functional Area A, Conformance Level 1.

3.1.3. Basic Bibliographic Record Retrieval

This profile addresses retrieval of bibliographic records from library catalogs. MARC 21 is the standard record format for interchanging online library catalog bibliographic records in the U.S. For international interoperability, however, implementations may be required to support UNIMARC. Current systems also support the Z39.50 Simple Unstructured Text Record Syntax (SUtrS), used to interchange plain text, preformatted records. The development of the Extensible Markup Language (XML) and the interest of librarians to utilize XML present yet another requirement for interchanging bibliographic records.

The profile assumes that a Z-server responds to a specific set of users (i.e., its implementation responds to a business case and market) while a Z-client may search many Z-servers. The profile assumes increased requirements for supporting multiple record syntaxes is the responsibility of the Z-client to assure interoperability.

Level 0 requires only the support of the MARC 21 record syntax by Z-clients and Z-servers. Higher conformance levels include support for MARC 21 and SUtrS.

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 and other computer applications (e.g., interlibrary loan) adequate information to make decisions about requesting or retrieving the item.

Mechanisms are available to improve interchange of holdings information in a standard way. Specifically, Extensible Markup Language (XML) and the XML Schema for Holdings Information (based on the approved Holdings Schema) provide structure and semantics for interchanging bibliographic holdings information. The profile requires Z-clients and Z-servers to support the XML record syntax, the XML Schema for Holdings Information, and a limited set of element set names to provide library users with useful holdings information.

3.3. Cross-Domain Search and Retrieval

Librarians and library users desire integrated access to distributed resources, often in conjunction with resource discovery when searches are sent across many types of information resources. There is a requirement for effective cross-domain searching of diverse resources including library cataloges, government information, museum systems, and archives. A user may wish to send a single search to one or more these resources.

For example, a user within a library might desire to search the local catalog plus one or more museum systems and an archive to find information related to a specific artist. A library Z-client configured for cross-domain searching could send out queries to Z39.50 accessible museum and archive systems configured to support cross-domain searching. Similarly, a museum curator could use a museum Z-client configured to support cross-domain searching to search the local museum system, one or more other museum systems, one or more library catalogs, and government resources that are Z39.50 accessible and configured to support cross-domain searching.

Interoperability in the retrieval of such resources require standard record syntaxes. This requirement can be accommodated through the Z39.50 Simple Unstructured Text Record Syntax (SUTRS) and the eXtensible Markup Language (XML).

This profile assumes that basic cross-domain searching behavior for resource discovery is similar to searching behavior defined for basic bibliographic searching. Therefore, the basic bibliographic searches defined in Functional Area A, Level 0 are required for cross-domain Level 0 searches. Cross-domain Level 1 searching has some overlap with the basic bibliographic Level 1 searches but has fewer requirements for precision searches and requires support for unanchored phrase searching.

3.4. Authority Record Search and Retrieval

This profile also addresses the searching of records in library authority files. Library users may perform a variety of searches and this profile identifies the functional requirements for the following types of searches:

Level 1 defines a core set of authority file searches. Additional searches have been defined at Level 2, which inherits all Level 1 requirements.

For retrieval, a Z-client must be able to receive records in the MARC21 or SUTRS record syntaxes. Z-servers must be able to deliver a record in MARC 21. Additionally, both clients and servers are encouraged to support UNIMARC.

3.5 Database Citation Record Search and Retrieval

Librarians and library users desire integrated access to databases which contain resources such as journal citations and/or articles, conference proceedings, and chapters of books. These types of databases are valuable to library staff and patrons. Using these resources, however, can be discouraging. Interfaces used and functionality provided by each of these databases can be different. In some instances, databases are provided through a distributor. As much as is possible in these situations, the databases take on similar interfaces and functionality. However, most libraries contract with more than one database distributor. This means that library users are confronted with multiple interfaces to learn and many levels of functionality to ascertain. Recognizing that the level of functionality will not reach that of the native or database distributor's interface, there is a requirement for effective searching across these databases.

Interoperability in the retrieval of such resources require standard record syntaxes. This requirement can be accommodated through the eXtensible Markup Language (XML).

This profile assumes that basic cross-database searching behavior is similar to searching behavior defined for basic bibliographic searching. Therefore, the basic bibliographic searches defined in Functional Area A, Level 0 are required for database citation record Level 0 searches. Searching has some overlap with the basic bibliographic Level 1 searches but has fewer requirements for precision searches and requires support for unanchored phrase searching, as well as other types of searches not applicable to library catalog searching.

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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.

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 Functional Areas.

Object

OID

Bib-1 Attribute Set

1.2.840.10003.3.1

Bib-1 Diagnostic Set

1.2.840.10003.4.1

Holdings Schema

1.2.840.10003.13.7.2

MARC21 Record Syntax

1.2.840.10003.5.10

Simple Unstructured Records Syntax (SUtrS)

1.2.840.10003.5.101

UNIMARC Record Syntax

1.2.840.10003.5.1

XML Record Syntax

1.2.840.10003.5.109.10

Support for these registered objects by Z-clients and Z-servers is specified in Section 5, Conformance. For information on Z39.50 registered objects, see the Z39.50 Maintenance Agency's Z39.50 Registry of Object Identifiers (see also Z39.50 Maintenance Agency).

4.3. Z39.50 Services

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

See Section 5, Conformance, for specific requirements related to these Z39.50 services.

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 at certain conformance levels for Z-servers. When required by the profile, 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, the profile requires Z-clients and Z-servers to use the Bib-1 Attribute Set.

Conformant Z-clients and Z-servers will support attribute types and values according to Section 5. Conformance. "Support" in this context means:

This means that all implementations conforming to this Profile must have search capabilities for attribute types and values listed in each Functional Area and Conformance Level for which conformance is claimed (see Section 5, Conformance). Z-clients and Z-servers may also use attribute types and values from other public or private attribute sets in addition to those required by this Profile. Z-servers should be prepared to receive queries not specified in this Profile from Z-clients. Behavior of Z-servers receiving such queries is not addressed by this Profile.

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. 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. 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 this profile:

Attribute Type

Attribute Values

Attribute Names

Use (1)

1
2
3
4
5
6
7
8
9
12
21
25*
27*
28*
31
33
50
51
54
58
63
1001
1002
1003
1004
1005
1006
1007
1008*
1010
1016
1018
1027
1031
1032
1033
1044
1075
1079
1088*
1092
1104
1105
1154
1209
1210*
1211

personal name
corporate name
conference name
title
title series
uniform title
ISBN
ISSN
LC Control Number
local control number
subject heading
MESH subject
LC subject heading
RVM subject heading
date of publication
title key
no. govt. pub.
no. music publisher
code-language
geographic name
note
record type
name
author
author-name personal
author-name corporate
author-name conference
identifier-standard
Subject—LC children’s
body of text
any
publisher
report-number
material-type
doc-id
title-host-item
possessing institution
genre/form subject
topical subject
Subject—NAL
International standard music number (ISO 10957) ISMN
resource identifier
DC-Language
linkage
identifier-urn
Sears Subject Heading
OCLC Number

Relation (2)

1
2
3
4
5
103
104

less than
less than or equal
equal
greater than or equal
greater than
always matches
within

Position (3)

1
3

first in field
any position in field

Structure (4)

1
2
4
108

phrase
word
year
string

Truncation (5)

1
100

right truncation
do not truncate

Completeness (6)

1
3

incomplete subfield
complete subfield

* Support for only one of the controlled vocabulary use attributes is required.
See Controlled Vocabulary searches in Functional Area A, Conformance Level 2.

4.3.3. Retrieval: Record Syntaxes

For interoperability, Z-clients and Z-servers must support one or more common record syntaxes. Interoperability also requires use of standard character sets and encoding.

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. 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 case and market.

For basic bibliographic and authority retrieval (Functional Areas A and D), the MARC21 and SUtrS record syntaxes are required depending on Conformance Level; however, UNIMARC may also be supported for international interoperability. The MARC 21 repertoire of characters using an 8-bit based encoding system, called in MARC 21 documentation MARC-8, is required.  The MARC 21 repertoire of characters using a variable 8/16-bit encoding following ISO/IEC 10646 (UCS) and Unicode UTF-8 encoding rules, called UCS/Unicode UTF-8 in MARC 21 documentation, may be used. 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 particular record syntax and the Z-server only provides records in a different syntax, the Z-server should return the appropriate diagnostic; see Section 4.4. Diagnostic Messages.

For retrieval of bibliographic holdings information (Functional Area B), XML and the Z39.50 Holdings Schema are required. Three sub-schemas have been defined for the ESNs described in Functional Area B. These sub-schemas are available at the Z39.50 Maintenance Agency web site.

Interchange of records in XML requires an associated Document Type Definition (DTD) or Schema. The profile specifies an appropriate XML DTD or Schema for interchanging bibliographic information (Functional Area A), holdings information (Functional Area B), cross domain information (Functional Area C) and database citation records (Functional Area E).

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, a listing of bib-1 Diagnostics to use for specific error conditions is located at the Maintenance Agency site (http://lcweb.loc.gov/z3950/agency/contributions/1.html). In addition, Z-clients are encouraged to display usable and meaningful diagnostic messages to users. To assist implementors, the list also includes suggested wording for diagnostic messages meant to be read by a user.

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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:

The goals, objectives, and detailed specification of this Profile preclude Z-clients and Z-servers from "default" behavior. Z-clients are required to form queries using all attribute types and values listed for specific searches. Z-servers are required to execute the search specified in the query and are not to do more general searches than the one specified in the query (e.g., Z-servers will not execute a Name search if the query specifies an Author search).

To address the requirements identified in Section 3 and build upon the general specifications listed in Section 4, Z-clients and Z-servers must be configured to support Z39.50 specifications to claim conformance within a Functional Area at a specific Level. This section details the specifications Z-clients and Z-servers must support. Each Functional Area has its own conformance requirements.

Conformance to the Profile involves at least two types of considerations:

To conform to the Profile at a given level, vendors’ implementations must provide the capability for search and retrieval as defined for a given Level (e.g., Z-clients must be able to send all searches properly and Z-servers must be capable of receiving and processing those searches). In addition, the local information retrieval system must be able to execute those searches against its database(s).

A particular library, however, may limit the availability of functionality defined for a particular Conformance Level (i.e., may not make the full capability of the vendor-supplied system available to all users). This is determined by the business case for Z39.50 application for a given library. A library may provide different levels of service to different user groups. But, the library cannot claim conformance to a given Conformance Level if its Z39.50 implementation and its bibliographic system do not have the capability for functionality provided by that level.

In some cases, a database may not contain data in records to support a given functionality (e.g., a database with no ISSNs). In that case, the system may still claim conformance at a Profile Conformance Level if it can receive the search and return a diagnostic indicating that a particular Use Attribute is not supported.

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

Functional Area A is based primarily on the US National Profile (which includes many searches from the Bath Profile) Functional Area A. In addition, there is one search directly from the Bath Profile, which was given a "TX"  number. For convenience, this Profile includes only a list of the searches included within this Functional Area. For more detail concerning these searches, please consult the U.S. National Profile, Functional Area A.

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

Level 0 defines very basic search and retrieval requirements for Z39.50 clients and servers. It presents the lowest threshold for conformance while resulting in meaningful interoperability. Keyword searches with no truncation for author, title, subject, and general keyword searching enable recall-oriented searches across library catalogs. Level 0 serves as a basic resource discovery application.

5.A.1. Level 1 Search and Retrieval Requirements

Level 1 inherits all search and retrieval requirements from Level 0. It defines more robust search and retrieval requirements for Z39.50 clients and servers. Level 1 enables precision-oriented searches for author, title, and subject. It adds truncation for keyword searches. Searches defined also include those for standard numbers, and qualifying searches based on date, language, and format of material.

5.A.1 Level 1 SCAN Requirements

5.A.2. Level 2 Search and Retrieval Requirements

Level 2 inherits all search and retrieval requirements from Level 0 and Level 1. Level 2 also defines additional requirements. Level 2 defines a variety of more specialized searches, including, for example, searches using controlled vocabularies and specialized author and title searches.

The Material-Type Use Attribute must be used as a search delimiter 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 Material-Type Attribute.

Attribute Type

Attribute Value

Attribute Name

Use (1)

1031

material-type

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

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

Functional Area B is based on the Bath Profile Functional Area B. There is no Conformance Level 0 for this Functional Area.  For convenience, this Profile includes only a list of the retrieval requirements included within this Functional Area. For more detail concerning this area, please consult the Bath Profile, Functional Area B.

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5.C. Functional Area C: Cross-Domain Search and Retrieval

Functional Area C is based on the Bath Profile Functional Area C. For convenience, this profile includes only a list of the searches included within this functional area. For more detail concerning this area, please follow consult the Bath Profile, Functional Area C.

5.C.0. Functional Area C: Level 0 Cross-Domain Search and Retrieval

5.C.1. Functional Area C: Level 1 Cross-Domain Search and Retrieval

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5.D. Functional Area D: Authority Record Search and Retrieval in Online Library Catalogues

Functional Area D is based on the Bath Profile Functional Area D. There is no Conformance Level 0 for this Functional Area. For convenience, this Profile includes only a list of the searches included within this Functional Area. For more detail concerning this area, please consult the Bath Profile, Functional Area D.

5.D.1 Functional Area D: Level 1 Authority Record Search and Retrieval

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

5.D.2 Functional Area D: Level 2 Authority Record Search and Retrieval

5.D.2.SCAN Functional Area D: Level Use of SCAN

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5.E. Functional Area E: Basic Search and Retrieval of Database Citation Records

Functional Area E, Basic Search and Retrieval of Database Citation Records, addresses the requirements for search and retrieval of bibliographic information found within citation, full-text, and abstracting and indexing databases. Although this Profile does not specify searching of the full-text part of a record, it does encourage its acquisition and/or display.

Functional Area E specifies two levels of conformance for Z-clients and Z-servers. To claim conformance at a specific level means that the Z-client or Z-server supports all specifications listed for that conformance level.

All conformance levels of Functional Area E use 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

XML

1.2.840.10003.5.109.10

X

X

For retrieval, 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 E 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 XML. 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; see Section 4.4. Diagnostic Messages.

The profile requires XML for basic data interchange, The XML record syntax will be used with a Document Type Definition (DTD) for the Journal Publishing DTD, created by the National Center for Biotechnology Information, a center of the National Library of Medicine. See http://dtd.nlm.nih.gov/publishing/ for information on this DTD.

The Profile requires that Z-clients formulate queries using all the specified attribute types and values specified in the searches, 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 http://lcweb.loc.gov/z3950/agency/contributions/1.html for the 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 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 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. 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 specific 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 Functional Area does not specify data elements or indexes to be mapped to the required Bib-1 Use Attributes. However, it assumes that in vendor implementations of this area:

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).

The Profile uses the Bib-1 Attribute Set when specifying searches; however, information retrieval systems work with indexes and access points. Throughout this section, where the terms field and/or subfield are used in Attribute Names (e.g., Incomplete Subfield), the term should be interpreted to mean access point.

5.E.0. Functional Area E: Level 0 Basic Citation Database Search and Retrieval

Level 0 defines very basic search and retrieval requirements for Z39.50 clients and servers. It presents the lowest threshold for conformance while resulting in meaningful interoperability. Keyword searches with no truncation for author, title, subject, and general keyword searching enable recall-oriented searches across databases. Level 0 serves as a basic resource discovery application.

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

Level 0 Retrieval requires:

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, author, 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

Combinations of these Attributes Types and Values express the semantics of four Level 0 Searches detailed below:

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

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

Attribute Type

Attribute Values

Attribute Names

Use (1)

21

subject

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

Attribute Type

Attribute Values

Names

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

5.E.1. Functional Area E: Level 1 Basic Citation Database Search and Retrieval

Level 1 inherits all search and retrieval requirements from Level 0. It defines more robust search and retrieval requirements for Z39.50 clients and servers. Level 1 enables searches with more precision, using truncation and unanchored phrases. Searches defined also include those for standard identifier and source, and qualifying searches based on date, language, resource type, availability of full-text, and URL.

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

Level 1 Retrieval requires:

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

Attribute Type

Attribute Values

Attribute Names

Use (1)

3, 4, 21, 1003, 1007, 1010, 1016, 1031, 1032, 1033, 1104, 1105, 1154, 1209

date of publication, title, subject, author, identifier-standard, body of text, any, material-type,  doc-id, title-host-item, resource identifier, dc-language, linkage, identifier-urn

Relation (2)

1, 2, 3, 4, 5, 103

less than, less than or equal, equal, greater than or equal, greater than, always matches

Position (3)

1, 3

first in field, any position in field

Structure (4)

1, 2, 4, 108

phrase, word, year, string

Truncation (5)

1, 100

right truncation, do not truncate

Completeness (6)

1

incomplete subfield

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

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

Attribute Type

Attribute Values

Attribute Names

Use (1)

1003

author

Relation (2)

3

equal

Position (3)

3

any position in field

Structure (4)

1

phrase

Truncation (5)

100

do not truncate

Completeness (6)

1

incomplete subfield

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

Attribute Type

Attribute Values

Attribute Names

Use (1)

4

title

Relation (2)

3

equal

Position (3)

3

any position in field

Structure (4)

1

phrase

Truncation (5)

100

do not truncate

Completeness (6)

1

incomplete subfield

Attribute Type

Attribute Values

Attribute Names

Use (1)

21

subject

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

Attribute Type

Attribute Values

Attribute Names

Use (1)

21

subject

Relation (2)

3

equal

Position (3)

3

any position in field

Structure (4)

1

phrase

Truncation (5)

100

do not truncate

Completeness (6)

1

incomplete subfield

Attribute Type

Attribute Values

Attribute Names

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

Attribute Type

Attribute Values

Attribute Names

Use (1)

1016

any

Relation (2)

3

equal

Position (3)

3

any position in field

Structure (4)

1

phrase

Truncation (5)

100

do not truncate

Completeness (6)

1

incomplete subfield

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

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

Attribute Type

Attribute Value

Attribute Name

Use (1)

1105

dc-language

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

Attribute Type

Attribute Value

Attribute Name

Use (1)

1033

title-host-item

Relation (2)

3

equal

Position (3)

3

any position in field

Structure (4)

1

phrase

Truncation (5)

100

do not truncate

Completeness (6)

1

incomplete subfield

Attribute Type

Attribute Value

Attribute Name

Use (1)

1010, 1032, 1104, 1154, 1209

body of text, doc-id, resource identifier, linkage, identifier-urn

Relation (2)

103

always matches

Position (3)

3

any position in field

Structure (4)

108

string

Truncation (5)

100

do not truncate

Completeness (6)

1

incomplete subfield

Attribute Type

Attribute Value

Attribute Name

Use (1)

1031

material-type

Relation (2)

3

equal

Position (3)

3

any position in field

Structure (4)

1

phrase

Truncation (5)

1

right truncation

Completeness (6)

1

incomplete subfield

Attribute Type

Attribute Value

Attribute Name

Use (1)

1032

doc-id

Relation (2)

3

equal

Position (3)

3

any position in field

Structure (4)

1

phrase

Truncation (5)

100

do not truncate

Completeness (6)

1

incomplete subfield

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6. References

ANSI/NISO Z39.89. The U.S. National Z39.50 Profile for Library Applications. Final Draft.
Available: <http://www.unt.edu/zprofile/Profile/PostBallotRevision/PostBallotRevisedProfileFinal8August2003.doc>.

Bath Profile Maintenance Agency. The Bath Profile: An International Z39.50 Specification for Library Applications and Resource Discovery, Release 2.0.
Available: <http://www.nlc-bnc.ca/bath/tp-bath2-e.htm>.

Bath Profile Maintenance Agency. The Bath Profile: Appendix A: Examples Using Truncation and Completion.
Available: <http://www.nlc-bnc.ca/bath/tp-bath2.27-e.htm>.

Bath Profile Maintenance Agency. The Bath Profile: Appendix B: Extensible Markup Language (XML) Document Type Definition for Dublin Core Simple.
Available: <http://www.nlc-bnc.ca/bath/tp-bath2.28-e.htm>.

Danish Z39.50 Implementers Group. (1999, March 4). DanZIG Z39.50 Profile
Available: <http://www.bs.dk/danzig/profil.htm>

Lunau, Carrol D. and Zeeman, Joe. (1998, October 15). Z39.50 Basic Searching of Bibliographic Systems: A Discussion Document.

MODELS Library Interoperability Profile Family. 
Available: < http://www.ukoln.ac.uk/dlis/models/clumps/technical/zprofile/zprofile.htm>

Moen, William E. (1999) Handling Bibliographic Holdings Information in Z39.50: Implications for the Z Texas Profile.  
Available: <http://www.tsl.state.tx.us/ld/projects/z3950/holdings27mar99.html>.

National Center for Biotechnology Information. National Library of Medicine. Journal Publishing DTD.
<http://dtd.nlm.nih.gov/publishing/>.

National Information Standards Organization. (1995). ANSI/NISO Z3950-1995. Information Retrieval (Z39.50): Application Service Definition and Protocol Specification. Bethesda, MD: NISO Press. 
Electronic version of Z39.50 available at the Z39.50 Maintenance Agency: <http://lcweb.loc.gov/z3950/agency/markup/markup.html>.

National Library of Canada. (1998, January 26). Virtual Union Catalogue Z39.50 Profile, Draft Version 1.5
Available: <http://www.nlc-bnc.ca/resource/vcuc/profil4.htm>

Texas Z39.50 Implementors Group. (1999, April). Z Texas Profile: A Z39.50 Specification for Library Systems Applications in Texas, Release 2.0.
Available: <http://www.tsl.state.tx.us/ld/projects/z3950/tzigprofilerelease20.html>.

Texas State Library and Archives Commission. TexShare Database Information.
Available: <http://www.texshare.edu/programs/academicdb/databaseinfo.html>.

Texas State Library and Archives Commission. TexShare Library Information.
Available: <http://www.texshare.edu/>.

Z39.50 Interoperability Testbed. Indexing Guidelines to Support Z39.50 Profile Searches: Bath and U.S. National Profiles Functional Area A, Level 0.
Available: <http://www.unt.edu/zinterop/ZinteropNew/Documents/IndexingGuidelines1Feb2002.doc>.

Z39.50 Maintenance Agency
Available: <http://lcweb.loc.gov/z3950/agency/>.

Z39.50 Maintenance Agency (1995, September). Attribute Set Bib-1 (Z39.50-1995): Semantics
Available: <ftp://ftp.loc.gov/pub/z3950/defs/bib1.txt>.

Z39.50 Maintenance Agency. (1998, June). Bib-1 Attribute Set.  
Available: <http://lcweb.loc.gov/z3950/agency/defns/bib1.html>.

Z39.50 Maintenance Agency. (1998, November). Character Set and Language Negotiation (2)
Available: <http://lcweb.loc.gov/z3950/agency/defns/charsets.html>.

Z39.50 Maintenance Agency. (1999, January 29). Model for Z39.50 Negotiation During Initialization.  
Available: <http://lcweb.loc.gov/z3950/agency/nego.html>.

Z39.50 Maintenance Agency. (2002, November). Z39.50 Holdings Schema, Version 1.4.
Available: <http://lcweb.loc.gov/z3950/agency/defns/holdings.html>.

Z39.50 Maintenance Agency. (1999, August 30). Registry of Z39.50 Object Identifiers.
Available: <http://lcweb.loc.gov/z3950/agency/defns/oids.html>.
See also: About Z39.50 Object Identifiers.
Available: <http://lcweb.loc.gov/z3950/agency/defns/about.html>.

Z39.50 Maintenance Agency. (1999, March). Keyword Searching of Bibliographic Systems
Available: <http://lcweb.loc.gov/z3950/agency/clarify/keyword.html>.

Z39.50 Maintenance Agency. (2002, March). Z39.50 Implementor Agreement xx: Creating a Search from Scan Results.
Available: <http://lcweb.loc.gov/z3950/agency/contributions/2.html>..

Z39.50 Maintenance Agency. (2002, March). Z39.50 Implementor Agreement xx: Diagnostics: Suggested User Display and Message Logging Using Bib-1 Diagnostic Set.
Available: <http://lcweb.loc.gov/z3950/agency/contributions/1.html>.

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