1、NISO ANSI/NISO Z39.89-2003 ISSN: 1041-5653 The U.S. National Z39.50 Profile for Library Applications Abstract: This standard specifies the use of ANSI/NISO Z39.50-2003 in library applications. It specifies Z39.50 client and Z39.50 server behavior for search and retrieval across online library catalo
2、gs. The specifications included in this standard use The Bath Profile: A Z39.50 Specification for Library Applications and Resource Discovery (Release 2) as its foundation. Conformant use of this standard will improve interoperability between Z39.50 implementations. An American National Standard Dev
3、eloped by the National Information Standards Organization Approved October 7, 2003 by the American National Standards Institute Published by the National Information Standards Organization Bethesda, Maryland NISO Press, Bethesda, Maryland, U.S.A. ANSI/NISO Z39.89-2003Page ii NISOPublished byNISO Pre
4、ss4733 Bethesda Avenue, Suite 300Bethesda, MD 20814www.niso.orgCopyright 2003 by the National Information Standards OrganizationAll rights reserved under International and Pan-American Copyright Conventions. No part ofthis book may be reproduced or transmitted in any form or by any means, electronic
5、 ormechanical, including photocopy, recording, or any information storage or retrieval system,without prior permission in writing from the publisher. All inquiries should be addressed toNISO Press, 4733 Bethesda Avenue, Suite 300, Bethesda, MD 20814.Printed in the United States of AmericaISSN: 1041-
6、5653 National Information Standard SeriesISBN: 1-880124-60-2 This paper meets the requirements of ANSI/NISO Z39.48-1992 Permanence of Paper.Library of Congress Cataloging-in-Publication DataNational Information Standards Organization (U.S.)The U.S. national Z39.50 profile for library applications :
7、an American standard /developed by the National Information Standards Organization.p. cm.“Approved October 7, 2003 by the American National Standards Institute.”ISBN 1-880124-60-21. Library information networksStandardsUnited States. 2. Information storage andretrieval systemsStandardsUnited States.
8、 3. Computer networkprotocolsStandardsUnited States. I. Title: United States national Z39.50 profile forlibrary applications. II. American National Standards Institute. III. Title.Z674.8.N45 2004005.758dc22 2003069775ANSI/NISO Z39.89-2003 NISO Page iii Contents Foreword iv Maintenance and Future Dev
9、elopment of the Z39.50 Profile v 1. Introduction 1 1.1 Scope and Field of Application 1 1.2 Referenced Standards and Documents.2 2. Definitions 3 3. Requirements 4 3.1 Bibliographic Search and Retrieval in Online Library Catalogs .4 3.1.1 Bibliographic Search5 3.1.2 Browsing Indexes 6 3.1.3 Bibliogr
10、aphic Retrieval.6 4. Z39.50 Specifications 6 4.1 Protocol Version 6 4.2 Z39.50 Objects 7 4.3 Z39.50 Services.7 4.3.1 Init7 4.3.2 Search: Query Type and Attribute Set.7 4.3.3 Retrieval: Record Syntaxes .10 4.4 Diagnostic Messages.10 5. Conformance 10 5A. Functional Area A: Bibliographic Search and Re
11、trieval in Online Library Catalogs11 5A.0 Level 0 Search and Retrieval Requirements 12 5A.1 Level 1 Search and Retrieval Requirements 14 5A.1.1 Level 1 Scan Requirements .21 5A.2 Level 2 Search and Retrieval Requirements .22 Controlled Vocabulary Searches 36 Appendixes 38 Appendix A. Examples for Pr
12、ofile-Defined Searches 39 Level 0 Searches.39 Level 1 Searches.40 Level 2 Searches.42 Controlled Vocabulary Searches .48 Appendix B. MARC 21 Fields and Subfield Values for Format and Type of Material Searches 49 ANSI/NISO Z39.89-2003 Page iv NISO Foreword (This foreword is not part of ANSI/NISO Z39.
13、89-2003, U.S. National Profile for Library Applications. It is included for information only). This standard identifies a subset of specifications from ANSI/NISO Information Retrieval (Z39.50): Application Service Definition and Protocol Specification for use in Z39.50 client and server software. Co
14、nformance to this profiles specifications will improve search and retrieval among library catalogs, and the interchange of bibliographic information. Implementors of this profile will need a working knowledge of the Z39.50 protocol and associated registered objects. The specifications for search and
15、 retrieval in an online library catalog environment assume a model of a bibliographic database and an information retrieval system that provides access to one or more databases. A valuable contribution of Z39.50 is providing an abstract view of information retrieval. The following describes the logi
16、cal components and concepts of an online library catalog model. Actual implementations of library catalogs, bibliographic databases, and information retrieval systems may differ. Bibliographic Database: A logical component for storing data that represent bibliographic items. Typically these represen
17、tations are created according to cataloging rules, where the representations include information about the title, author, subject, and other salient features of a bibliographic item. The representations when stored in a database are structured for machine processing using the framework of the MARC B
18、ibliographic Format. The MARC format enables discrete data in the representations to be separately coded for machine processing and manipulation (e.g., title information is coded with field tag 245 and subfield a). A record in the database is comprised of the data associated with a single bibliograp
19、hic item. Although the database may not physically store all associated data together in a record, the database is able to present the associated data as a record upon request. (The physical structure of the database, i.e., whether the data are stored in a relational database, a flat file, etc., and
20、 how the data are stored are not addressed by this model.) Access Points and Indexes: A logical component for searching the database is an index. An index is a list of values with a pointer to the database records that contain those values. In a library catalog, searchable areas of a record are cons
21、idered access points. A catalog with, for example, a title access point, an author access point, and a subject access point allows a user to search for titles, authors, and subjects. An access point index is created by selecting values for the index from specific areas of the database record. For ex
22、ample, an author access point index consists of values (i.e., words and phrases) that occur in the MARC fields and subfields that contain author information with a pointer to the database records containing those values. (The internal structure of an index and how it associates the list of values wi
23、th pointers to database records are not addressed by this model.) Information Retrieval System: A logical component that manages the search of the database and retrieval of records from the database. The system provides an interface to receive a query and processes the query against one or more acce
24、ss point indexes. When values in the index(es) match the query criteria (e.g. a search for records where the authors name is Mark Twain), the system selects and retrieves the relevant records from the bibliographic database for presentation to the user. The search is a mechanism to select bibliograp
25、hic records from the database that matches the query criteria. This profile specifies the use of Z39.50; improvements in interoperability between Z39.50 clients and Z39.50 servers will result through the use of these specifications. Local implementation decisions and functionality of the online libr
26、ary catalog can affect interoperability. ANSI/NISO Z39.89-2003 NISO Page v For example, variations in indexing policies in establishing access points can affect search results. This profile does not specify indexing rules. However, the Z39.50 Interoperability Testbed Project has developed a set of i
27、ndexing guidelines to support searches defined in the profile. These guidelines may provide librarians and vendors with a basis for setting up indexing policies when implementing Z39.50 servers conformant with this profile. These guidelines are available at: Data normalization and word extraction ma
28、y affect interoperability between Z39.50 clients, Z39.50 servers, and online catalogs. This profile does not specify data normalization by the Z39.50 client, the server, or the online catalog system and its indexing application. Maintenance and Future Development of the National Z39.50 Profile (This
29、 section is included for information only.) NISO SC AV focused its work on specifying one functional area in this release of the profile. The Committee has identified future work on the profile to include: Access to Holdings Information. A future version of this profile will provide specifications f
30、or the retrieval of holdings information. These specifications will be based on the Bath Profile for Z39.50. Character Set and Language Negotiation. There is a desire to include such functionality. This could be especially important functionality and help the profiles adoption throughout North Ameri
31、ca (e.g., by Canada and Mexico). Language negotiation will be critically important for such adoption. Cross Domain Searching. Inclusion of specifications for cross domain searching (the ability for a bibliographic Z39.50 client to search non bibliographic databases and the mechanisms by which biblio
32、graphic Z39.50 servers can provide access to non bibliographic Z39.50 clients) may be included in some future version of this profile. Authority Searching. A future version of this profile may include specifications for retrieval of Authority records. Such specifications will likely be based on the
33、Bath Profile for Z39.50. Abstracting and Indexing databases and full text databases. A future version of this profile may provide specifications for searching abstracting and indexing and full text databases. This standard was processed and approved for submittal to ANSI by the National Information
34、Standards Organization. It was balloted by the NISO Voting Members February 3, 2003 - March 14, 2003. It will next be reviewed in 2008. Suggestions for improving this standard are welcome. They should be sent to the National Information Standards Organization, 4733 Bethesda Avenue, Suite 300, Bethes
35、da, MD 20814. NISO approval of this standard does not necessarily imply that all Voting Members voted for its approval. At the time it approved this standard, NISO had the following members: ANSI/NISO Z39.89-2003 Page vi NISO NISO Voting Members 3M Jerry Karel Susan Boettcher (Alt) American Associat
36、ion of Law Libraries Robert L. Oakley Mary Alice Baish (Alt) American Chemical Society tba American Library Association Paul J. Weiss American Society for Information Science and Technology (ASIS customization for a local implementation, however, may jeopardize conformance. Managers of local impleme
37、ntations should be aware of conformance requirements to realize the benefits of the specifications provided in this profile. A key component of this profile is the characterization of the types of searching required by librarians and end users. To this end, the profile defines specific searches and
38、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; semantic interoperability may be compromised, however, by indexing practices designed to meet specialized local needs without regard to interoper
39、ability considerations. 1.2 Referenced Standards and Documents Bath Profile: The Bath Profile: An International Z39.50 Specification for Library Applications and Resource Discovery (Release 2.0). 2002. Bib-1 Attribute Set: bib-1 Attribute Set. Bib-1 Attribute Set Semantics: Attribute Set bib-1 (Z39.
40、50-1995): Semantics. September 1995. Diagnostic Messages: Diagnostics: Suggested User Display and Message Logging Using Bib-1 Diagnostic Set. March 2002. MARC 8 Character Encoding: MARC 21 Specifications for Record Structure, Character Sets, and Exchange Media: Character Sets. January 2000. MARC 21:
41、 MARC 21 Format for Bibliographic Data. Washington, DC: Library of Congress MARC 21 Language Codes: MARC 21 Code List for Languages. 2000. ANSI/NISO Z39.89-2003 NISO Page 3 Object Identifiers: Z39.50 Maintenance Agency. Registry of Z39.50 Object Identifiers. UNICODE: The Unicode Consortium. The Unic
42、ode Standard, Version 4.0.0, defined by The Unicode Standard, Version 4.0. Reading, MA, Addison-Wesley, 2003. ISBN 0-321-18578-1 Z39.50: ANSI/NISO Z39.502003. Information Retrieval (Z39.50): Application Service Definition and Protocol Specification. Bethesda, MD: NISO Press, 2003. ISBN: 1-880124-55-
43、6 Linear Range Searching: Z39.50 Maintenance Agency. Z39.50 Implementor Agreement 1: Linear Range Searching. 2. Definitions Access point: Key by which a record is retrieved. An access point will often be a data element as indexed in a record such as the complete title or a word in the title. Attribu
44、te: Characteristic of a term as searched. Attributes refine the search term so that a user might find “computer” in the title, “computer” in the abstract, or variations on the word “computer” anywhere in the record. Attribute type: Represents a specific sort of attribute. In the queries defined in t
45、his profile, there are six attribute types that can be specified with a search term. Attribute value: Further division of an attribute type. One or more values are defined for each of the six attribute types in this profile. Attribute set: A grouping of attribute types and the value(s) for each. The
46、 Bib-1 Attribute Set is used in this profile. Authentication: Method by which a users identity can be recognized and verified. Users may, for example, be authenticated as individuals or as members of an institution or organization. Bath Profile: An international Z39.50 specification for library appl
47、ications. Serves as a common set of specifications for other regional and national profiles. Client: Application where queries are initiated and results are displayed. A librarian or end user will use a client to access a database such as a library catalog. Interoperability: Degree to which applicat
48、ions can interact and exchange information in a standard manner. Object identifier: Globally unique representation for a data object. Operand: A component of a query that includes the search term and all characteristics defined using attribute types and values. Phrase: An ordered list of adjacent wo
49、rds. ANSI/NISO Z39.89-2003 Page 4 NISO Precision: Seeking a higher degree of search refinement. Precise searches often get fewer but more relevant results than recall-oriented searches. Profile: A subset of specifications from one or more standards (e.g., selected services and required values for specific parameters) and associated objects to be used in specific applications. Provides the mechanism for vendors and users with an interest in common functionality to specify a standard way to interpret and implement options within a standard. For example,
