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MODELS Library Interoperability Profile Family


DOCUMENT DETAILS

Document title

MODELS Library Interoperability Profile Family

Author(s)

R. Murray (Fretwell-Downing)

E. Davidson (Fretwell-Downing)

Version

1.3

Date

03-Apr-97

Status

Working

DOCUMENT HISTORY

Version

Date

Status

Description

Distribution

1.0

1-Nov-96

Working


FD Internal

1.1

12-Nov-96

Working

Working Document

FD Internal

1.2

4-Dec-96

Draft

Draft for Comment

Reviewers

1.3

03-Apr-97

Draft #2

Draft for Comment

Reviewers






Table of Contents

1. Purpose & Scope


This family of profiles specifies rules aimed at improving the reliability of Z39.50 search results in order to gain large scale inter-operability. A family of profiles is proposed in order to define gradually increasing levels of inter-operability and conformance and to encourage implementations to follow the same path when providing increased levels of functionality.

The primary scope of the profile is for UK library inter-operability for search and retrieve - ie it has a specific national focus. However the only element of the profile that has a national bias is the requirement for support of UK-, or US-MARC as record syntaxes, relaxing this requirement should allow internationalisation of the profile.

2. Overview and Relation to Other Profiles


This family of profiles is intended for use either as a self-contained profile or for reference by other profiles. The document itself is self-contained but includes significant material from the ATS-1 profile and the Bib-1 implementors agreement (the latter is included as an appendix). All recommendations within this profile are consistent with ATS-1 and the Bib-1 agreement, however the Bib-1 agreement, which provides a mapping of Bib-1 onto US-MARC has been extended to include a mapping on to UK-MARC.

The Models Profile Family can be summarised as:

Models Level 1

ATS-1 with the additional constraint that at least one of UK- or US-MARC or SUTRS must be supported as a record syntax..

Models Level 2

Models-1 with additional structure and use attributes. In particular support for ISxN, more detailed subject and name searching and control number searching.

Version 3 Z39.50

Models Level 3

For future work, but would add a Scan profile to level 2

Models Level 4

For future work, but would include an Explain profile to level 3

The general rationale is that the profile family provide an incremental level of inter-operable facilities for search and retrieve (the fourth level providing dynamically configured interoperability). Note that the Models family is aimed at providing highly inter-operable search and retrieve as a kernel for other services. For this reason all Extended Services (in particular Item Order) are not considered within scope for the Models profiles.

The Models profiles have taken input from:

The ATS-1 profile.

The Z39.50 Implementors Group

The DALI project (Document And Library Integration) - EC Framework III Libraries Programme.

The ONE project (OPAC Network for Europe) - EC Framework III Libraries Programme.

The UNIverse project - EC Framework IV Libraries Programme.

The MODELS project - Elib Programme.

3. Conformance and Conformance Levels


To be conformant to a member of the profile family a system must perform actions as defined in this document. Conformance is effectively defined by two sets of criteria:

· When a target does support an attribute combination, the semantics of the service provided must correspond to the definition within the profile. For example if an origin requests an author search the intent of this profile is that the target will execute the search based on an agreed concept of what constitutes such a search. The target must not perform a semantically different search (unless the origin has specifically allowed it to through use of the semantic indicator).

· When a target does not support an attribute combination, it should respond with the appropriate diagnostic message. It must not either return a successful search with zero hits, or perform a different search.

This latter point has significant hidden complexity for databases that have been constructed over a large period of time. The target must regard the semantics of a submitted request as:

· 'retrieve all those items that have been indexed against this element in the specified access point'

as opposed to :

· 'retrieve all those items that should be indexed against this element in the specified access point'

For example

If a search is submitted for all items at 'Dewey 320' then the target must respond as follows:

· If the access point is not supported then return the appropriate diagnostic message.

· If the access point is supported then return the matching records.

· If the access point is supported but the index is not fully populated (for example because of changing cataloguing practices over a number of years) then the target should still respond with records that match the search criteria.

The following levels of conformance to the profile family can be defined:

· Not conformant - either a target performs a search according to different semantic rules, or when an unsupported attribute combination is searched the target does not provide the correct response.

· Conformant - the target always provides the correct response to unsupported attributes and the attribute combinations that are supported within the profile family follow the semantic rules specified.

· Fully Conformant - All the attribute combinations in the profile are supported according to the semantic rules.

The following table shows the varying levels of conformance to the level-1 and level-2 profiles that can be achieved by a target.


Level-2 Conformance

Level-1 Conformance

Not Conformant

Conformant

Fully Conformant

Not Conformant

Targets that perform the searches specified in this profile according to different semantic rules.



Conformant

Targets that perform some, but not all of the searches specified in the level 1 profile according to the semantic rules specified. Those attribute combinations in the level 1 that are not supported produce the correct diagnostic results. Level 2 non-conformance can be created by performing some of the additional attribute combinations in a semantically different way to that specified in the profile.

All attribute combinations that are supported within both level-1 and level-2 operate within the semantics specified within the profile. Those not supported produce the appropriate diagnostic messages.


Fully Conformant

All level-1 attribute combinations are correctly supported, but some level-2 attribute combinations are supported incorrectly.

All level-1 attribute combinations are correctly supported and level-2 attribute combinations are either correctly supported or fail correctly.

All level-2 attributes combinations are correctly supported.

4. Primitive Searches


For purposes of this profile, search primitives are defined as combinations consisting of a single Bib-1 Use attribute, a Structure attribute, and a Relation attribute. The profile specifies that searches can be performed using arbitrary Boolean combinations of these search primitives. The following section defines the search primitives for the Level 1 and Level 2 profile.

The primitives are separated into logical sections:

· Name Searching

· Title Searching

· Subject Searching

· Classification Searching

· Control Number Searching

· Date Searching

· General Searching

The general approach is to produce logically consistent subsets of the Bib-1 attribute set. Thus for example once one specific name type attribute is included in the profile (eg Personal Author), then all other name type attributes are included (Corporate and Conference Author).

For 'unstructured' text fields such as Title fields level 1 conformance generally provides exact match/known item searching through the 'Phrase' structure attribute. The level 2 profile provides keyword searching through the 'Word' and 'Word List' structure attributes.

The 'Server-choice' attribute is included in the level-2 profile to provide a broad, unstructured search capability.

(For purposes of this profile "Boolean query" refers to a Z39.50 type-1 query with multiple operands linked by Boolean operators).

Name Searching

For Name Searching the following use attributes are specified (see Appendix for full list of attribute definitions for Bib-1).

Use

Value

Definition

USMARC Tag(s)

UKMARC Tag(s)

Author-name

1003

A personal or corporate author, or a conference or meeting, name. (No subject name headings are included.)

100, 110, 111, 400, 410, 411, 700, 710, 711, 800, 810, 811

100, 110, 111, 700, 710, 711, 800, 810, 811

Author-name-personal

1004

A person's real name, pseudonym, title of nobility nickname, or initials. (Differs from attribute "name-personal (1)" in that personal name subject headings are not included.)

100, 400, 700, 800

100, 700, 800

Author-name-corporate

1005

The organization or a group of persons that is identified by a particular name. (Differs from attribute "name-corporate (2)" in that corporate name subject headings are not included.)

110, 410, 710, 810

110, 710, 810

Author-name-conference

1006

A meeting of individuals or representatives of various bodies for the purpose of discussing topics of common interest. (Differs from attribute "name-conference (3)" in that conference name subject headings are not included.)

111, 411, 711. 811

111, 711, 811

Name

1002

The name of a person, corporate body, conference, or meeting. (Subject name headings are included.)

100, 110, 111, 400, 410, 411, 600, 610, 611, 700, 710, 711, 800, 810, 811

100, 110, 111, 600, 610, 611, 700, 710, 711, 800, 810, 811

Name-corporate

2

An organization or a group of persons that is identified by a particular name. (Subject name headings are included.)

110, 410, 610, 710, 810

110, 610, 710, 810

Name-conference

3

A meeting of individuals or representatives of various bodies for the purpose of discussing topics of common interest. (Subject name headings are included.)

111, 411, 611, 711 811

111, 611, 711 811

Name-personal

1

A person's real name, pseudonym, title of nobility nickname, or initials.

100, 400, 600, 700, 800

100, 600, 700, 800

For purposes of this profile, when the structure attribute "name (normalized)" is supplied (in the Author-normalized attribute combination) the following normalization is implied:

Names of persons are formulated according to Rule 22.4 of AACR2, and names of corporate bodies and conferences are formulated according to Rule 24.1A of AACR2. A normalized name is all or the first part of a complete name formulated according to these rules.

Level 1

Primitive Name

Use

Structure

Relation

Description

Author

(normalised)

Author -name

(1003)

Name

normalised

(101)

Equal (3)

Search for exact match on any author name through normalised form (ie., last_name, first_name).

Author (unnormalised)

Author -name

(1003)

Name unnormalised (102)

Equal (3)

Search for exact match on any author name through non-normalised form - server choice how the term is matched to author names (eg may take surname, initial match).

Level 2

Primitive Name

Use

Structure

Relation

Description

Name (normalised)

Name

(1002)

Name

normalised (101)

Equal (3)

Search for exact match on any name associated with the item through normalised form.

Name (unnormalised)

Name

(1002)

Name unnormalised (102)

Equal (3)

Search for exact match on any name associated with the item through non-normalised form.

Personal Author (normalised)

Author-name-personal

(1004)

Name

normalised

(101)

Equal (3)

Search for exact match on a personal author through normalised form.

Personal Author (unnormalised)

Author-name-personal

(1004)

Name unnormalised (102)

Equal (3)

Search for exact match on a personal author through non-normalised form.

Corporate Author (normalised)

Author-name- corporate

(1005)

Name normalised (101)

Equal (3)

Search for exact match on normalised corporate author name.

Corporate Author (unnormalised)

Author-name- corporate

(1005)

Name unnormalised (102)

Equal (3)

Search for exact match on un-normalised corporate author name.

Conference Author (normalised)

Author-name- conference

(1006)

Name

normalised

(101)

Equal (3)

Search for exact match on normalised conference author name.

Conference Author (unnormalised)

Author-name- conference

(1006)

Name unnormalised (102)

Equal (3)

Search for exact match on un-normalised conference author name.

Personal Name (normalised)

Name-personal (1)

Name

normalised

(101)

Equal (3)

Search for exact match on any personal name associated with the item through normalised form.

Personal Name (unnormalised)

Name-personal (1)

Name unnormalised (102)

Equal (3)

Search for exact match on any personal name associated with the item through non-normalised form.

Corporate Name (normalised)

Name-corporate (2)

Name normalised (101)

Equal (3)

Search for exact match on normalised corporate name.

Corporate Name (unnormalised)

Name-corporate (2)

Name unnormalised (102)

Equal (3)

Search for exact match on un-normalised corporate name.

Conference Name (normalised)

Name-conference (3)

Name

normalised

(101)

Equal (3)

Search for exact match on normalised conference name.

Conference Name (unnormalised)

Name- conference(3)

Name unnormalised (102)

Equal (3)

Search for exact match on un-normalised conference name.

Title Searching

For Title searching the following use attributes are specified (see Appendix for full list of attribute definitions for Bib-1).

Use

Value

Definition

USMARC Tag(s)

UKMARC Tag(s)

Title

4

A word, phrase, character, or group of characters, normally appearing in an item, that names the item or the work contained in it.

130, 21X-24X, 440, 490, 730, 740, 830, 840, subfield $t in the following: 400, 410, 410, 600, 610, 611, 700, 710, 711, 800, 810, 811

240, 243, 245, 740, 745, 440, 490, subfield $t in the following: 600, 610, 611, 700, 710, 711, 800, 810, 811

Title-series

5

Collective title applying to, a group of separate, but related, items.

440, 490, 830, 840 subfield $t in the following: 400,410, 411, 800, 810, 811

440, 490, subfield $t in the following: 800, 810, 811

Level 1

Primitive Name

Use

Structure

Relation

Description

Known Title

Title

(4)

Phrase

(1)

Equal (3)

Exact match on full title entry.

Level 2

Primitive Name

Use

Structure

Relation

Description

Word in Title

Title

(4)

Word

(2)

Equal (3)

Any single word in the title entry

Word list in Title

Title

(4)

Word List

(4)

Equal (3)

List of words to be matched against tile entry

Known Series Title

Title-series

(5)

Phrase

(1)

Equal (3)

Exact match on series title

Word in Series Title

Title-series

(5)

Word

(2)

Equal (3)

Any single word in series title

Word list in Series Title

Title-series

(5)

Word List

(4)

Equal (3)

List of words in series title

Subject Searching

For subject searching the following use attributes are specified (see Appendix for full list of attribute definitions for Bib-1).

Use

Value

Definition

USMARC Tag(s)

UKMARC Tag(s)

Subject

21

The primary topic on which a work is focused.

600, 610, 611, 630, 650, 651, 653, 654, 655, 656, 657, 69X

600, 610, 611, 650, 651

653, 655, 660, 661, 668, 695

Level 1

Primitive Name

Use

Structure

Relation

Description

Known General Subject

Subject

(21)

Phrase

(1)

Equal (3)

Exact match on any subject heading entry.

Level 2

Primitive Name

Use

Structure

Relation

Description

Word in General Subject

Subject

(21)

Word

(2)

Equal (3)

Any single word in any subject heading

Word List in General Subject

Subject

(21)

Word List

(4)

Equal (3)

List of words to match in any subject heading.

Classification Searching

For Classification searching the following use attributes are specified (see Appendix for full list of attribute definitions for Bib-1).

Use

Value

Definition

USMARC Tag(s)

UKMARC Tag(s)

Classification-Dewey

13

A classification number from the Dewey Decimal Classification, developed by Melvyl Dewey.

082

081, 082

Classification-UDC

14

A classification number from Universal Decimal Classification, a system based on the Dewey Decimal Classification.

080

080

Classification-local

20

A local classification number from a system not specified elsewhere in this list of attributes.



Level 1

NONE

Level 2

Primitive Name

Use

Structure

Relation

Description

Dewey

Classification-Dewey

(13)

Phrase

(1)

Equal (3)

Exact match on dewey classification number.

UDC

Classification-UDC

(14)

Phrase

(1)

Equal (3)

Exact match on UDC classification number.

Local Classification

Classification-local

(20)

Phrase

(1)

Equal (3)

Exact match on local classification mark.

Control Number Searching

For control number searching the following use attributes are specified (see Appendix for full list of attribute definitions for Bib-1).

Use

Value

Definition

USMARC Tag(s)

UKMARC Tag(s)

Identifier-national- bibliography

48

Character string that uniquely identifies a record in a national bibliography.

015

015

Control-number-Local

12

Character string that uniquely identifies a record in a local system (i.e., any system that is not one of the four listed above).

001, 035

001

Identifier-ISBN

7

International Standard Book Number -- internationally agreed upon number that identifies a book uniquely. Cf. ANSI/NISO Z39.21 and ISO 2108.

020

021

Identifier-ISSN

8

International Standard Serial, Number -- internationally agreed upon number that identifies a serial uniquely. Cf. ANSI/NISO z39.9 and ISO 3297.

022, 4XX$x, 7XX$x

022

Identifier-standard

1007

Standard numbers such as ISBN, ISSN, music publishers, numbers, CODEN, etc., that are indexed together in many online public-access catalogs.

010, 011, 015, 017, 018, 020, 022, 023, 024, 025, 027, 028, 030, 035, 037

010, 015, 021, 022, 024

Level 1

NONE

Level 2

Primitive Name

Use

Structure

Relation

Description

National Bibliographic Number

Identifier-national- bibliography

(48)

Phrase

(1)

Equal (3)

Exact match on any National Bibliographic Number

Local Control Number

Control-number-Local

(12)

Phrase

(1)

Equal (3)

Exact match on the database's local control number.

ISBN

Identifier-ISBN

(7)

Phrase

(1)

Equal (3)

Exact match on ISBN

ISSN

Identifier-ISSN

(8)

Phrase

(1)

Equal (3)

Exact match on ISSN

Standard Identifier

Identifier-standard

(1007)

Phrase

(1)

Equal (3)

Exact match on any standard identifier (eg ISBN or ISSN)

Date Searching

For date searching the following use attributes are specified (see Appendix for full list of attribute definitions for Bib-1).

Use

Value

Definition

USMARC Tag(s)

UKMARC Tag(s)

Date-publication

31

The date (usually year) in which a document is published

008/07-10, 260$c.

046,

533$d

008/07-10, 260$d

Level 1

NONE

Level 2

Primitive Name

Use

Structure

Relation

Description

Publication Date

Date-publication

(31)

Date (normalised)

(5)

Less than (1)

Less than or equal (2)

Equal (3)

Greater or Equal (4)

Greater than (5)

Search for date comparisons, with only year mandated.

General Searching

A broad search capability is provided through the 'Server-Choice' attribute:

Use

Value

Definition

USMARC Tag(s)

UKMARC Tag(s)

Server-choice

1017

The target substitutes one or more access points. The origin leaves the choice to the target.

Notes on relationship of Any and Server-choice:

(1) When the origin uses 'Server-choice' it is asking the target to select one or more access points, and to use its best judgment in making that selection. When 'Any' is used, there is no selection process involved; the target is to apply all of the (appropriate) supported Use attributes. The origin is asking the target to make a choice of access points.

(2) The target might support 'Any' and not 'Server-choice', or vice versa, or both. If the target supports both, when the origin uses 'Server-choice', the target might choose 'Any'; however, it might choose any other Use attribute.



Level 1

NONE

Level 2

Primitive Name

Use

Structure

Relation

Description

Server Defined Word Search

Server-choice

(1017)

Word

(2)

Equal

(3)

A single word to be matched against records at the choice of the server.

Server Defined Word List Search

Server-choice

(1017)

Word List

(4)

Equal

(3)

A word list to be matched against records at the choice of the server.

5. General Requirements


A system implementing this profile must support:

5.1 The bib-1 attribute set

Both target and origin must support bib-1 attributes as prescribed in section 3.

5.2 Diagnostics.

5.2.1 Origin requirement

The origin must always accept the object identifier for the bib-1 diagnostic set (regardless of the protocol version in force). In addition, when version 3 is in force the origin must accept the object identifier for the diagnostic format diag-1.

5.2.2 Target requirement

When version 3 is in force the target must be able to return either bib-1 or diag-1 diagnostics, as prescribed in 6.2.

5.3 Z39.50 Protocol Version

Conformance requirements that pertain to version 2 are specified in section 5. A system may optionally implement version 3; conformance requirements that pertain to version 3 are specified in section 6.

5.4 Preferred-Record-Syntax

The origin and target must support at least one of the following record syntaxes:

US-MARC; UK-MARC; SUTRS

5.5 Element-Set-Names

The origin and target must support these two Element Set Names:

"B" for Brief and "F" for Full.

Brief records may only contain the following details:

Author, Title, Publication Date.

Full records may contain as much information as the server is willing to send.

5.6 Preferred-Message-Size

For the Level-1 profile a system must support a value of 4096 for the Init parameter preferred- message-size. This means

5.6.1 If Origin Proposes 4096

If the origin proposes a value of 4096, the target must accept that value (i.e. must respond with the same value).

5.6.2 If Origin Proposes less than 4096

If the origin proposes a value less than 4096:

· The target may accept the proposed value.

· The target may alternatively respond with a larger value, but not greater than 4096, and if so, the origin must accept the target response.

· The target may not respond with a value less than the proposed value.

5.6.3 If Origin Propsoses Greater than 4096

If the origin proposes a value greater than 4096:

· The target may accept that value.

· The target may alternatively propose a lower value, but not less than 4096, and if so, the origin must accept the target response.

· The target may not respond with a value greater than the proposed value.

6. Conformance Requirements Pertaining To Z39.50 Version 2


6.1 Origin requirements

6.1.1 Supported Transactions

Both origin and target must support the following basic transactions:

· Init

· Search

· Present

6.1.1 Single Operand

An origin must be able to formulate a type-1 query with a single operand consisting of an attribute combination and term, fore ach of the following attribute combinations as defined in 3.3:

· Title,

· Subject,

· at least one of Author-normalized and Author-nonNormalized.

6.1.2 Boolean Query

An origin is not required to formulate a boolean query. When the origin does send a boolean query, where each operand is constructed as described in 5.1.1, the associated target procedures are specified in 5.2.3.

6.2 Target Requirements

6.2.1 Bib-1 Attribute Set

A target must support the bib-1 attribute set. This requirement does not imply that the target must support any specific attributes, with the following exception: the target must support the Relation attribute 'equal'.

6.2.2 Single Operand

When the target receives a type-1 query with a single operand consisting of an attribute combination and term where the attribute combination is of those listed in 5.1.1:

6.2.2.1 Target Cannot support both Use and Structure

If the target cannot process the query because it does not support one or both of the Use attribute and Structure attribute, it should fail the search and return a diagnostic from the bib-1 diagnostic set, either 114: "unsupported Use attribute", or 118: "unsupported Structure attribute", as appropriate. Notes:

1.In the case where the target does not support either attribute, the target may select which of the two diagnostics to return.

2.This specific diagnostic requirement is waived when the target considers some other error condition to take precedence (for example, "permanent system error") in which case the target must return an appropriate diagnostic describing that condition.

6.2.2.2 No records

If the target supports both the supplied Use and Structure attribute (and there are no error conditions that would otherwise cause the target to fail the search), but there are no records located by the search, the target should indicate "no records" (i.e.search-status = success; result-count = 0) rather than fail the search and return a diagnostic.

6.2.3 Boolean Query

If the target receives a boolean query where each operand is constructed as described in 5.1.1:

6.2.3.1 Target Cannot Support Query

If the target cannot process the query because it cannot support boolean queries, or cannot support the specific boolean operators, or cannot process one of the operands, it should return an appropriate diagnostic; in the case of multiple errors, the target may select which error condition to report.

6.2.3.2 No Records

If the target can process the query but there are no records located, the target should indicate "no records" (i.e. search-status = success; result- count = 0) rather than fail the search and return a diagnostic.

7. Conformance Requirements Pertaining To Z39.50 Version 3


7.1 Origin Requirements

When version 3 is in force, the origin should be able to formulate queries as specified in 5.1.1, without including a semantic action indicator. The origin may also, optionally, formulate queries with a semantic action indicator. If the value of the indicator is 1 (May not substitute), the associated target procedures are specified in 6.2. If the value is other than 1, the query is outside the scope of this profile.

7.2 Target Requirements

When version 3 is in force, when the target receives a query as specified in 3 which either:

· does not include a semantic action indicator, or

· includes the semantic action indicator 1 (May not substitute),

The semantic action indicator refers to the ASN.1 identifier 'semanticAction' within the choice 'complex' within 'attributeValue' within 'attributeType' within the type AttributeElement in the APDU definitions. SemanticAction is meaningful only for version 3 of Z39.50.

Interpretation of other queries is not addressed by this profile.

Exception: If the target cannot process the query because it does not support an attribute or attribute combination, then as an alternative to using a bib-1 diagnostic, the target may use the diag-1 diagnostic 1005 ("attribute combination not supported") to report this condition. When using diag-1 diagnostic 1005 the target may optionally suggest one or more alternative attribute combinations. For example, if the target does not support the Use attribute 'Author' but does support one or more of the Use attributes 'Author- name personal', 'Author-name corporate' or 'Author-name conference' (bib-1 use attributes 1004, 1005, or 1006 respectively) it may report this via diag-1 diagnostic 1005.

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