1、NISOANSI/NISO Z39.50-2003 ISSN: 1041-5653(revision of Z39.50-1995)Information Retrieval (Z39.50):Application Service Definition andProtocol SpecificationAbstract: This standard defines a client/server based service and protocol forInformation Retrieval. It specifies procedures and formats for a clie
2、nt to search adatabase provided by a server, retrieve database records, and perform relatedinformation retrieval functions. The protocol addresses communication betweeninformation retrieval applications at the client and server; it does not address interactionbetween the client and the end-user.An A
3、merican National StandardDeveloped by theNational Information Standards OrganizationApproved November 27, 2002by theAmerican National Standards InstitutePublished by the National Information Standards OrganizationBethesda, MarylandNISO Press, Bethesda, Maryland, U.S.A.NISOPublished byNISO Press4733
4、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 of thisbook may be reproduced or transmitted in any form or by any means, electronic or mec
5、hanical,including photocopy, recording, or any information storage or retrieval system, without priorpermission in writing from the publisher. All inquiries should be addressed to NISO Press, 4733Bethesda Avenue, Suite 300, Bethesda, MD 20814.Printed in the United States of AmericaISSN: 1041-5653 Na
6、tional Information Standard SeriesISBN: 1-880124-55-6 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.)Information retrieval (Z39.50) : application service definition and
7、 protocol specification : anAmerican national standard / developed by the National Information Standards Organization.p. cm. - (National information standards series. ISSN 1041-5653)“Approved November 27, 2002 by the American National Standards Institute.“ANSI/NISO Z39.50-2003 (maintenance revision
8、of Z39.50-1995.)“ISBN 1-880124-55-6 (alk. paper)1. Library information networks-Standards-United States. 2. Information storage andretrieval systems-Standards- United States. 3. Computer networkprotocols-Standards-United States. I. Title: Z39.50. II American National StandardsInstitute. III. Title.
9、IV. Series.Z674.8.N44 2003025.0028546-dc21 200342115ANSI/NISO Z39.50-2003NISO Page iiiTABLE OF CONTENTSFOREWORDvii1. INTRODUCTION .11.1 Scope and Field of Application11.2 Version.11.3 References 12. DEFINITIONS 33. INFORMATION RETRIEVAL SERVICE.103.1 Model and Characteristics of the Information Retr
10、ieval Service.103.1.1 Z39.50 Services .103.1.2 Z39.50 Operations .113.1.3 Model of a Database113.1.4 Searching a Database113.1.5 Retrieving Records from a Database.123.1.6 Model of a Result Set.123.1.7 Model of Extended Services 143.1.8 Explain143.2 Facilities of the Information Retrieval Service.15
11、3.2.1 Initialization Facility 163.2.2 Search Facility223.2.3 Retrieval Facility.323.2.4 Result-set-delete Facility373.2.5 Access Control Facility.393.2.6 Accounting/Resource Control Facility413.2.7 Sort Facility.483.2.7.2 Duplicate Detection Service513.2.8 Browse Facility .553.2.10 Explain Facility
12、.673.2.11 Termination Facility813.3 Message/Record Size and Segmentation.833.3.1 Procedures When No Segmentation is in Effect843.3.2 Level 1 Segmentation 853.3.3 Level 2 Segmentation 863.4 Operations and Reference-id 903.5 Concurrent Operations 913.6 Composition Specification.923.7 Type-1 and type-1
13、01 Queries953.7.1 Representation and Evaluation of the Type-1 and Type-101 Queries 963.7.2 Proximity.973.7.3 Restriction and the Extended Result Set Mode l .98ANSI/NISO Z39.50-2003NISO Page iv4. PROTOCOL SPECIFICATION1004.1 Abstract Syntax and ASN.1 Specification of Z39.50 APDUs1004.2 Protocol Error
14、s.1004.3 Encapsulation1004.4 Conformance.1024.4.1 General Conformance Requirements 1024.4.2 Specific Conformance Requirements 1024.4.3 Z39.50 Version 3 Baseline Requirements1134.4.3.1 Core Requirements.1144.4.3.2 Conditional Requirements.114APPENDIXESAPPENDIX 1 OID: Z39.50 OBJECT IDENTIFIERS .116OID
15、.1 Object Identifier Assigned to This Standard .116OID.2 Object Classes116OID.3 Object Identifiers for Z39.50 APDUs.117OID.4 Object Identifiers Used by This Standard.117OID.5 Object Identifiers Assigned by the Z39.50 Maintenance Agency.117OID.6 Locally Registered Objects .117OID.7 Experimental Objec
16、ts118Objects 118APPENDIX 2 ATR: ATTRIBUTE SETS118ATR.1 Attribute Set exp-1 .118ATR.2 Attribute Set ext-1 120APPENDIX 3 DIAG: Z39.50 DIAGNOSTICS121DIAG.1 General Diagnostic Set 121DIAG.2 General Diagnostic Container 128DIAG.3 Returning Diagnostics in an InitResponse .129APPENDIX 4 REC: RECORD SYNTAXE
17、S 130REC.1 Explain Record Syntax 130REC.2 Simple Unstructured Text Record Syntax, SUTRS.130REC.3 Generic Record Syntax 1 130REC3.1 Embedding MARC in a GRS-1 Record .130REC.4 Record Syntax For Extended Services Task Package .131APPENDIX 5 RSC: RESOURCE REPORT FORMATS.132Resource Report Format Resourc
18、e-2.132APPENDIX 6 ACC: ACCESS CONTROL FORMATS .133APPENDIX 7 EXT: EXTENDED SERVICES DEFINED BY THIS STANDARD 134EXT.1 Service Definitions134ANSI/NISO Z39.50-2003NISO Page vEXT.2 ASN.1 Definitions of Extended Services Parameter Package.147APPENDIX 8 USR: USER INFORMATION FORMATS.148USR.1 SearchResult
19、-1148USR.2 Use of Init Parameters for User Information148USR.3 General User Information Format, UserInfo-1.149APPENDIX 9 ESP: ELEMENT SPECIFICATION FORMATS150ESP.1 Definition of Element Specification Format eSpec-2 .150ESP.2 Definition of Element Specification Format eSpec-q .150APPENDIX 10 VAR: VAR
20、IANT SETS.152APPENDIX 11 TAG: TAGSET DEFINITIONS AND SCHEMAS157TAG.2 Definition of tagSet-G.160APPENDIX 12 ERS: EXTENDED RESULT SET MODEL .164ERS.1 Extended Result Set Model for164ERS.2 Extended Result Set Model for Restriction165APPENDIX 13 RET: Z39.50 RETRIEVAL 167RET.1 Overview of Z39.50 Retrieva
21、l.167RET.2 Retrieval Object Classes168RET.3 Retrieval Objects Defined in this Standard175APPENDIX 14 NEGO: Z39.50 NEGOTIATION MODEL193NEGO.1 Negotiation Records .193NEGO.2 Rules Pertaining to the Use of Negotiation Records194NEGO.3 Server-Mandated Negotiation.194NEGO.4 Adherence to this Model.195APP
22、ENDIX 15 NEGO2: DEVELOPMENT AND REGISTRATION OF NEGOTIATION RECORDS .196APPENDIX 16 PRO: Z39.50 PROFILES198Pro.1 Introduction 198Pro.2 Profiles Respond to Community Needs 198Pro.3 Applications Addressed By Profiles.199Pro. 4 Development and Approval of Profiles .199Pro. 5 Examples of Profiling Z39.5
23、0 Standard Services and Specifications 200Pro.6 Negotiation.201Pro 7. Summary.202ANSI/NISO Z39.50-2003NISO Page viAPPENDIX 17 Z39.50 ATTRIBUTE ARCHITECTURE203Arch 1 Introduction and Preliminary Notes203Arch 2. Attribute Set Class Definitions 205Arch 3. Attribute Set Class 1 .206Arch 4. Lessons Learn
24、ed: Recommendations for Future Enhancements to the Z39.50 Query.216APPENDIX 18 ASN1: Z39.50 ASN.1.217APPENDIX 19 MAINTENANCE AGENCY, ZIG, AND HISTORICAL BACKGROUND .262ANSI/NISO Z39.50-2003NISO Page viiForeword(This foreword is not a part of NISO Z39.50-2003 Information Retrieval (Z39.50): Applicati
25、onService Definition and Protocol Specification. It is included for information only.)This standard is a maintenance revision of Z39.50-1995. Appendix 19 describes how this versiondiffers from Z39.50-1995, and the reasons for these changes.This standard was processed and approved for submittal to AN
26、SI by the National InformationStandards Organization. It was balloted by the NISO Voting Members March 29, 2002 - May 13,2002. It will next be reviewed in 2007. Suggestions for improving this standard are welcome.They should be sent to the National Information Standards Organization, 4733 Bethesda A
27、venue,Suite 300, Bethesda, MD 20814. NISO approval of this standard does not necessarily imply thatall Voting Members voted for its approval. At the time it approved this standard, NISO had thefollowing members:NISO Voting Members3MJerry KarelSusan Boettcher (Alt)American Association of Law Librarie
28、sRobert L. OakleyMary Alice Baish (Alt)American Chemical SocietyRobert S. Tannehill, Jr.American Library AssociationPaul J. WeissAmerican Society for Information Science andTechnologyMark H. NeedlemanAmerican Society of IndexersJudith GibbsJacqueline Rodebaugh (Alt)American Theological Library Assoc
29、iationMyron ChaceARMA InternationalDiane CarlisleArmed Forces Medical LibraryDiane ZehnpfennigEmily Court (Alt)Art Libraries Society of North AmericaDavid L. AustinAssociation for Information and ImageManagementBetsy A. FanningAssociation of Jewish LibrariesCaroline R. MillerElizabeth Vernon (Alt)As
30、sociation of Research LibrariesDuane E. WebsterJulia Blixrud (Alt)BiblioMondo Inc.Martin SachBook Industry CommunicationBrian GreenBroadcast Music Inc.Edward OshananiRobert Barone (Alt)Cambridge Information GroupMichael CairnsMatthew Dunie (Alt)Checkpoint Systems, Inc.College Center for Library Auto
31、mationJ. Richard MadausAnn Armbrister (Alt)Congressional Information Service, Inc.Robert Lesterdivine, inc.Robert BoissyElsevier Science Inc.Anthony RossJohn Mancia (Alt)Endeavor Information Systems, Inc.Verne CoppiCindy Miller (Alt)epixtech, inc.John BodfishRicc Ferante (Alt)ANSI/NISO Z39.50-2003NI
32、SO Page viiiEx LibrisJames SteenbergenCarl Grant (Alt)Follett Corp.D. Jeffrey BlumenthalDon Rose (Alt)Fretwell-Downing InformaticsRobin MurrayGale GroupKatherine GruberJustine Carson (Alt)Gaylord Information SystemsWilliam SchicklingLinda Zaleski (Alt)GCA Research InstituteJane HarnadH.W. Wilson Com
33、panyAnn CaseIBMDavid M. ChoyChuck Brink (Alt)Information Use Management the services are in turn supported by theZ39.50 protocol. The description neither specifies nor constrains the implementation within acomputer system. The protocol specification includes the definition of the protocol controlinf
34、ormation, the rules for exchanging this information, and the conformance requirements to bemet by implementation of this protocol.This standard is intended for systems supporting information retrieval services for organizationssuch as information services, universities, libraries, and union catalogu
35、e centers. It addressesconnection oriented, program - to - program communication. It does not specify a user interface.1.2 VersionZ39.50-1995 specifies versions 2 and 3 for the Z39.50 service and protocol. This standardZ39.50-2003 also specifies versions 2 and 3, and additionally, incorporates many
36、clarifications,amendments, defect corrections, and implementer agreements, all of which have been endorsedby the Z39.50 Implementers Group.Z39.50-1992 specifies version 2 only. Version 2 of Z39.50 is assumed identical to version 1 ofZ39.50; thus implementations that support version 2 automatically s
37、upport version 1. Implementa-tions that support version 3 are required to support version 2 (and thus version 1 as well).Certain procedures specified within the standard apply specifically to version 2 or version 3 andare noted as such.1.3 ReferencesANSI/NISO Z39.53-2001 Codes for the Representation
38、 of Languages forInformation Interchange.ISO 2709 Documentation - Format for Bibliographic InformationInterchange on Magnetic Tape.ANSI/NISO Z39.50-2003NISO Page 2ISO 4217 Codes for the representation of currencies and funds1990.ISO 8777 Information and Documentation - Commands forInteractive Text S
39、earching.ISO 8824:1990 Specification of Abstract Syntax Notation one (ASN.1).ISO 8825:1990 Specification of basic Encoding Rules for AbstractSyntax Notation one (ASN.1/BER).ISO 10160 Information and Documentation - Interlibrary LoanApplication Service Definition for Open SystemsInterconnection 1991.
40、ISO 10161 Information and Documentation - Interlibrary LoanApplication Protocol Specification for Open SystemsInterconnection 1991.ANSI/NISO Z39.50-2003NISO Page 32. DefinitionsAbstract database record An abstract representation of the information in adatabase record. An abstract database record may
41、 beformed by the application of an abstract record structure(defined by a schema) to the database record. Anelement specification may be applied to an abstractdatabase record forming another instance of the abstractdatabase record.Abstract record structure The primary component of a database schema.
42、 Anabstract record structure applied to database recordresults in an abstract database record.Abstract syntax A description of a particular data type using an abstractsyntax notation. It can be referenced by an OID (objectidentifier).Abstract syntax notation A language that allows the description of
43、 data types in arepresentation-independent manner. ASN.1 is anexample.Access point A unique or non-unique key that can be specified (eitheralone or in combination with other access points) in asearch for records. An access point may or may notcorrespond to one or more elements (defined by anabstract
44、 syntax),.Access point clause An operand of a type-1 query (informal).Aggregate present response Segment requests (if any) together with the Presentresponse, for a Present operation.APDU See Application Protocol Data Unit.Application Protocol The rules governing the format and exchange ofinformation
45、 between a client and server.Application Protocol Data Unit A unit of information, transferred between client andserver, whose format is specified by the Z39.50 protocol,consisting of application-protocol-information andpossibly application-user-data.Application ProtocolControl Information Informati
46、on conveyed by an application protocol dataunit.AppliedVariant One of three usages for a variant specification. Theapplied variant is the variant specification that the serverapplied to an element included in a retrieval record. Seealso variantRequest and supportedVariant.ANSI/NISO Z39.50-2003NISO P
47、age 4ARS See Abstract record structure.ASN.1 Abstract Syntax Notation One, as specified in ISO 8824.Attribute A characteristic of a search term, or one of severalcharacteristic components which together form acharacteristic of a search term.Attribute element An attribute represented by a pair of com
48、ponents: anattribute type and a value of that type.Attribute list A set of attribute elements and the attribute set id towhich it belongs. An attribute list is combined with asearch term to form an operand of a type-1 query.Usually, one of the attribute elements from the setcorresponds to a normaliz
49、ed access point, against whichthe term (as qualified by the other attribute elements) ismatched.Attribute set A set of attribute types, and for each, a list of attributevalues. Each type is represented by an integer, uniquewithin that set (as identified by its attribute set id), andeach value for a given type is unique within that type.Attribute set id An OID that identifies an attribute set, to which anattribute element (within an attribute list) belongs.Attribute type A component of an attribute element. An attribute setdefines one or more attribute types and assigns a
