Superseded by Profile Release 2.0

December 1, 1998
revised January 20, 1999
revised January 25, 1999

Z Texas Profile:
A Z39.50 Profile for Library Systems Applications in Texas

Release 1.0

DRAFT
For Public Comment and Discussion

Prepared by
The Texas Z39.50 Implementors Group (TZIG)
&
William E. Moen, Ph.D.
wemoen@jove.acs.unt.edu
School of Library and Information Sciences
University of North Texas
Denton, TX 76203

Please send comments to either:
z3950-tx@link.tsl.state.tx.us or beverley.shirley@tsl.state.tx.us

January 25, 1999

Z39.50
Home | Implementation Resources

Table of Contents

1. Introduction to the Profile
2. The Z Texas Project
3. Functional Requirements
3.1. Requirements for Release 1.0
3.1.1. Requirements for Searching
3.1.2. Requirements for Retrieval
3.1.3. Other Requirements
3.1.3.1. Holdings Information
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
4.3.2.1. Attribute Set
4.3.3. Retrieval: Record Syntax
4.4. Diagnostic Messages
4.5. Conformance
4.5.1. Functional Area A: Online Catalog Search and Retrieval
4.5.1.1. Functional Area A: Level 1 Searching
4.5.1.2. Functional Area A: Level 2 Searching
4.6. References

Appendix A: Definitions of Requirements for Level 1 and Level 2 Searches
Appendix B: Pending Implementors Agreement--Z39.50 Keyword Searching of Bibliographic Systems
Appendix C: Open Issues/Additional Requirements/Understandings

Z Texas Profile:
A Z39.50 Profile for Library Systems
Applications in Texas

1. Introduction to the Profile

This document identifies a subset of specifications from the ANSI/NISO Z39.50 standard for use in Z39.50 client and server software to support interoperable search and retrieval among library catalogs in Texas. As explained in Section 2: The Z Texas Project, this Profile is intended as an evolving set of specifications to address distributed search and retrieval of digital resources and to assist in resource sharing by Texas libraries.

Release 1.0 of this Profile is limited in scope and addresses the basic requirements identified and discussed in Section 3: Functional Requirements. Those requirements support basic search and retrieval among and between USMARC online library catalogs.

The Z Texas Profile is intended to be aligned with the specifications being discussed for an international Z39.50 profile for integrated library systems applications. This Profile builds upon the experience of other profiling efforts addressing interoperability for library catalog searching and the development of virtual union catalogs. In particular, the following efforts informed the Z Texas Profile:

• The ATS-1 Profile
• The CENL Profile
• The MODELS Profile
• The vCuc Profile
• Discussions surrounding the development of an international profile for searching library catalogs, and specifically, a document by Carrol Lunau and Joe Zeeman, Z39.50 Basic Searching of Bibliographic Systems: A Discussion Document.

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.

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2. The Z Texas Project

The Z Texas Project is an initiative to increase Z39.50 utility and effectiveness for Texas libraries and lay a foundation for future sharing of online, digital information resources. The Texas Z39.50 Implementors Group (TZIG) has identified three Project goals:

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

TZIG, a voluntary and ad hoc group, is working on a Texas Profile that will reflect consensus on functional requirements for using Z39.50 and a set of Z39.50 specifications that can serve the State’s library communities. The Texas Profile can significantly improve Texas libraries’ use of Z39.50.

3. Functional Requirements

In developing the Profile, the TZIG first identified a set of functional requirements supported by Z39.50 implementations. The functional requirements will evolve over time as Texas Z39.50 implementors see new opportunities for distributed search and retrieval using Z39.50. This section identifies the functional requirements that informed specifications for Release 1.0 of the Profile.

3.1. Requirements for Release 1.0

The basic requirements for Release 1.0 focus on search and retrieval between online USMARC library catalogs. This reflects the makeup of the TZIG in Fall 1998; participants were primarily representatives from Texas libraries, and it is the requirements of this group that are the basis of this Release. The following sections detail the requirements for searching and retrieval identified by the TZIG.

3.1.1. Requirements for Searching

The TZIG identified several categories of searching and developed two of the categories of searching for specification in Release 1.0. Appendix A includes the Definitions of Requirements for Category 1 and Category 2 Searches. Category 1 can be considered a set of Core searches, and Category 2 can be considered a superset of Category 1 searches with addition of more specialized searches (e.g. inclusion of call numbers). Other categories of searching may be defined in the future. Specific local systems may not support all types of searches defined for Release 1.0. The TZIG considers these searches providing basic functionality that all local systems should support.

Category 1 searches include common author, title, subject searches that might be used by Patrons and Librarians. The following summarizes Category 1 searching requirements:

• Author searches include both authorized name headings and non-authorized names
• Title searches include full title exact match as well as keyword and phrase searching of titles
• Subject searches include exact match of complete subject heading as well as searches for a word or group of words in subject fields
• Keyword searches against author, title, subject, and other common access points (see Appendix C for Z39.50 Implementors Agreement for Keyword Searching of Bibliographic Systems)
• Support for Boolean searching using AND, OR, NOT
• Support for right truncation of search terms.

Category 2 searches include all Category 1 searches and more specialized requirements of Patrons and Librarians (e.g., catalogers, bibliographers, acquisitions, etc.). The following summarizes Category 2 searching requirements:

• Inherits all requirements from Category 1 searching
• Support for standard number searching
• Support for call number searching
• Support for searching based on date, format, language, and audience
• Support for proximity searching.

Category 1 and Category 2 searches provide basic online catalog searching. By specifying two categories of searching, the TZIG indicates its goal to lower libraries' entry barriers for implementing Z39.50 while safeguarding interoperability.

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3.1.2. Requirements for Retrieval

Release 1.0 addresses retrieval of bibliographic records from USMARC online databases. This implies very basic retrieval requirements, namely servers must return brief and/or full forms of bibliographic records in USMARC format.

3.1.3. Other Requirements

The TZIG has focused its initial attention for Z39.50 specifications on searching, but it recognizes other important requirements. Of particular interest in Release 1.0 is to address the retrieval and display of holdings information. Another area that may be developed in the future addresses removal of duplicate records when conducting multi-database searches.

3.1.3.1. Holdings Information [NOTE: To be developed]

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4. Z39.50 Specifications

This section identifies the Z39.50 specifications to support the functional requirements identified in Section 3.

4.1. Protocol Version

The Profile requires clients and servers to support Z39.50 Version 2 as specified in Z39.50-1995.

Open Issue:

The choice of version is currently subject to debate. For basic searching, the only place where there is an implication is in proximity searching. For proximity searching under Version 2, the Type 101 query needs to be supported. An argument can be made that we should use this Profile as leverage to push for adoption of Version 3 by all library automation vendors. Requirements for holdings information also has Version implications given the recent holdings schema development by the ZIG.

4.2. Z39.50 Objects

The Profile addresses the following Z39.50 objects by reference to registered Object Identifiers (OIDs). For information on Z39.50 OIDs, see Z39.50 Maintenance Agency.

Object	OID
Bib-1 attribute set	1.2.840.10003.3.1
Bib-1 diagnostic set	1.2.840.10003.4.1
USMARC record syntax	1.2.840.10003.5.10

4.3. Z39.50 Services

The Profile requires clients and servers to support three Z39.50 (Version 2) services:

• Init
• Search
• Present

No additional services are required for conformance to this Profile. Clients and servers optionally may use other Z39.50 services.

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

4.3.1. Init

Clients supporting this Profile may use the IDAuthentication parameters to transmit authentication information (e.g., userid and password). Servers supporting this Profile may or may not require authentication. The Profile specifies no other security requirements.

4.3.2. Search

The Profile requires clients and servers to support Z39.50 Type 1 queries (i.e., general purpose Boolean query structures).

Open Issue:

For proximity searching under Version 2, Type 101 needs to be specified. What are the trade-offs of specifying Version 2 and Version 3 in situations such a this?

4.3.2.1. Attribute Set

The Profile requires clients and servers to support the Bib-1 Attribute Set (i.e., process requests and responses that contain the OID for Bib-1). Semantics for Bib-1 attributes can be found in Attribute Set Bib-1 (Z39.50-1995): Semantics (September 1995).

Conformant servers will support selected Use Attribute values according to Section 4.5. Conformance. "Support" in this context means that the server will:

• recognize the Bib-l OID
• recognize the Bib-1 Use Attribute value(s) listed for a conformance level,
• process searches using Use Attribute value(s) listed for a conformance level to produce a valid result set (which could contain 0 hits).

This implies that all implementations supporting this Profile must have search capabilities for Use Attribute values listed in each conformance level claimed (see Section 4.5: Conformance). A server may support additional attributes Bib-1 or other Z39.50 Attribute Sets.

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4.3.3. Retrieval: Record Syntax

Clients and servers must support the USMARC Record Syntax (OID = 1.2.840.10003.4.1) to enable the basic interchange of bibliographic records. Clients and servers may support other Z39.50 record syntaxes.

4.4. Diagnostic Messages

The Profile requires support for Diagnostic Set Bib-1 (OID = 1.2.840.10003.4.1) and servers will return appropriate diagnostics. Clients should neither display the Diagnostic Error Number or associated diagnostic error text from the standard to end users. Client implementors should translate these technical error messages into meaningful messages for display to end users.

4.5. Conformance

The Z Texas Profile will evolve to incorporate a range of functionality for distributed search and retrieval. To provide a modular approach to profile development, the notion of functional area is used to group similar requirements and Z39.50 specifications. Clients and servers may claim conformance to one or more functional areas and be in compliance with this Profile. Requirements and specifications for each functional area are compatible. While functional areas will differ as to their focal concern, it is likely that conformance to certain functional areas will specify 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 Z39.50 specifications clients and servers must support to claim conformance for each of the functional areas.

Release 1.0 specifies conformance for Functional Area A, namely search and retrieval among USMARC online catalogs.

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4.5.1. Functional Area A: Online Catalog Search and Retrieval

Functional Area A addresses the requirements of basic search and retrieval among and between bibliographic and related databases of USMARC online catalogs. Release 1.0 specifies two categories of searching within this functional area.

Functional Area A requires support of the following:

Z39.50 Objects:

Object	OID	Client	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
USMARC record syntax	1.2.840.10003.5.10	X	X

 

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4.5.1.1. Functional Area A: Category 1 Searching

Conformance with Category 1 Searching enables basic Author, Title, and Subject searching from the perspective of Patrons and Librarians. Category 1 Searching requires support of the following Bib-1 Use Attributes:

Bib-1 Use Attributes:

Use Attribute Value	Name
4	title
5	title series
6	title uniform
21	subject heading
1003	author
1016	any

These Use Attributes are combined with other Attribute Types to express the semantics of the following Category 1 Searches (see Appendix A for definitions of these searches):

1. Author Search -- Authorized Name Heading

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

2. Author Search -- Keyword (according to ZIG Implementors Agreement -- See Appendix B)

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

* Absent or as supported by the server for keyword searching

3. Title Search -- Exact

Attribute Type	Attribute Values	Attribute Names
Use (1)	4, 5, 6	title, series, uniform*
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1,2	phrase, word**
Truncation (5)	1,100	right truncation, do not truncate
Completeness (6)	1,2	incomplete subfield, complete subfield

* Where title can be a title proper, series title, or uniform title
** If a single word title, maybe Structure could be value = 2 (word)

4. Title Search --Keyword (according to ZIG Implementors Agreement -- See Appendix B)

Attribute Type	Attribute Values	Attribute Names
Use (1)	4, 5, 6	title, series, uniform*
Relation (2)	3 (or absent)	equal
Position (3)	3 (or absent)	any position in field
Structure (4)	2	word
Truncation (5)	**
Completeness (6)	1 (or absent)	incomplete subfield

* Where title can be a title proper, series title, or uniform title
** Absent or as supported by the server for keyword searching

5. Subject Search (where search term is complete subject heading, but does not specify from which authoritative subject heading list):

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

6. Subject Search -- Keyword (according to ZIG Implementors Agreement -- See Appendix B)

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

** Absent or as supported by the server for keyword searching

7. Single Keyword Search Against Common (server defined) Access Points (according to ZIG Implementors Agreement -- See Appendix B)

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

** Absent or as supported by the server for keyword searching

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4.5.1.2. Functional Area A: Category 2 Searching

Conformance with Category 2 Searching requires support for all Category 1 searches and support for more specialized searches used by both Patrons and Librarians. Category 2 Searching requires support of the following Bib-1 Use Attributes:

Bib-1 Use Attributes:

Use Attribute Value	Name
4*	title
5*	title series
6*	title uniform
7	ISBN
8	ISSN
12	local number
13	Dewey classification
16	LC call number
21*	subject heading
25	MESH subject
27	LC subject heading
31	date of publication
50	no. govt. pub.
54	Code-language
60	CODEN
63	notes
1003*	author
1016*	any
1031	material-type

* Use Attributes for Level 1 searching

Category 2 defines searches expressed by the semantics of the following:

1. Local Control Number

Attribute Type	Attribute Values	Attribute Names
Use (1)	12	local number
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	108	string
Truncation (5)	100	do not truncate
Completeness (6)	3	complete field

2. Standard Numbers/Identifiers

Attribute Type	Attribute Values	Attribute Names
Use (1)	7,8,50, 60	ISBN, ISSN, no. govt. pub.,CODEN
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	108	string
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

3. Call Number (Classification Number) Search

Attribute Type	Attribute Values	Attribute Names
Use (1)	16,13	LC Call Number, Dewey Classification,
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	108	string
Truncation (5)	1	right truncation
Completeness (6)	1	incomplete subfield

4. Controlled Vocabulary Search

Attribute Type	Attribute Value	Attribute Name
Use (1)	27,25,1008	LC subject heading, MESH subject, Subject-LC children's*
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1	phrase
Truncation (5)	100	do not truncate
Completeness (6)	2,3	complete subfield**, complete field***

** Complete subfield would be used when one is searching for a main subject heading (.e.g., American literature)
*** Complete field would be used when one is searching for a subject heading comprised of a main and sub-heading (e.g., American literature - 19th century).

4. Date of Publication Search (where search term is a year indicating publication date):

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

5. Audience Search (where search term indicates type of audience for which material is produced or is appropriate):

Open Issue:

Not sure about being able to express the precise semantics of this search. Is there a Use Attribute that can be used?

Attribute Type	Attribute Value	Attribute Name
Use (1)
Relation (2)
Position (3)
Structure (4)
Truncation (5)
Completeness (6)

6. Format-Material Type Search (where search term indicates the material type of the item such as a computer file, sound recording, etc.):

Attribute Type	Attribute Value	Attribute Name
Use (1)	1031	material-type
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	1,2	phrase, word
Truncation (5)	100	do not truncate
Completeness (6)	2	complete subfield

7. Language Search (where search term indicates the language of the item):

Attribute Type	Attribute Value	Attribute Name
Use (1)	54	Code--language
Relation (2)	3	equal
Position (3)	1	first in field
Structure (4)	2	word
Truncation (5)	100	do not truncate
Completeness (6)	1	incomplete subfield

8. Keyword Notes Search (where search term is a single word to be matched against indexed notes fields :

Attribute Type	Attribute Value	Attribute Name
Use (1)	63	notes
Relation (2)	3 (or absent)	equal
Position (3)	3 (or absent)	any position in field
Structure (4)	2	word
Truncation (5)	absent or as supported by the server for keyword searching
Completeness (6)	1 (or absent)	incomplete field

9. Keyword Search in Record (where search term is a single word to be matched against all server indexed fields):

Attribute Type	Attribute Value	Attribute Name
Use (1)	1016	any
Relation (2)	3 (or absent)	equal
Position (3)	3 (or absent)	any position in field
Structure (4)	2	word
Truncation (5)	absent or as supported by the server for keyword searching
Completeness (6)	1 (or absent)	incomplete field

Other Level 2 searches are expressed as follows:

Author/Title Combination can be expressed as a Boolean search for author keyword and title keyword connected by a Boolean AND.

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4.6. References

[Note: Will include pertinent resources such as various profiles, etc.]

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

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

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>.

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

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

Z39.50 Maintenance Agency. ATS-1 Profile. <http://lcweb.loc.gov/z3950/agency/profiles/ats.html>.

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

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

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Appendix A
Definitions of Requirements for Category 1 and Category 2 Searches

NOTES and ISSUES:

This set of definitions and specifications results from discussions at the December 2, 1998 TZIG meeting in Houston. This appendix should still be considered a draft and subject to futher review and development.

Three categories of searching are specified, Category 1, 2, and 3. Category 1 focuses on author, title, and subject searches for both Patrons and Librarians. Category 2 includes more specialized searches that can be used by both Patrons and Librarians. Category 3 is not specified in Profile, Release 1.0, but may be developed in subsequent releases of the Profile. Category 3 can be considered a set of searchby particular groups for specific resources (e.g., to support searching of archives).

The following tables define searches for each Category. USMARC fields (and associated indexes) that would be searched are suggested.

Category 1

Category 2

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Appendix B
Pending Implementors Agreement
Z39.50 Keyword Searching of Bibliographic Systems

(Draft 2, June 29, 1998)

Background
Keyword searching is a feature supported by most Z39.50 clients and servers. This type of search is very useful when neither the exact author, title or subject of an item is known or when the objective of the search is to identify a broad range of documents to which the keyword(s) apply.

The characteristics of the keyword search facility for bibliographic systems include:

• Searching one or more words that do not have to be in any order
• Searching for word(s) anywhere in some or all fields indexed for the record, usually in author, title, subject and sometimes notes fields
• Limiting the search to a specific field, e.g. author, subject, title
• Limiting the search by format, language, publisher or date
• Combining several keywords using Boolean and positional operators and expressing the relationship between the keywords: AND, OR, ADJ, NEAR, WITH, SAME, NOT, XOR, etc.
• Nesting searches to construct complex searches, truncation of terms, etc.

Many bibliographic systems support some or all of these features.

Z39.50 Keyword Searching
When Z39.50 is used to request a keyword search, a combination of Bib-1 attributes is sent by the origin to the target to represent a request for a keyword search. However, there is no consistency among Z39.50 clients or servers on the combination of attributes used to specify that a keyword search be performed. As a result, whether a keyword search is performed and the nature of the search varies depending not only on the client used but also on the server to which the query has been sent. The unreliability and inconsistency of the results are very confusing to the end user and produces user frustration and mistrust of the Z39.50 standard as a search tool.

A more detailed discussion of the problem and tables indicating the different Bib-1 attribute combinations used by several Z39.50 servers for keyword searching is contained in:

Z39.50 Keyword Searching and Bibliographic Systems: A Discussion Document
[HTML Format]

In order to provide client implementors with a degree of consistent behaviour among servers, it was agreed at the June 1998 ZIG meeting in Washington DC that servers offering search access to bibliographic data would observe the following agreement.

Agreement
For bibliographic system searching, servers are to process as keyword searches queries containing the the following semantics:

Position = any-position-in-field (3) or absent;
Relation = equal (3) or absent;
Completeness = incomplete-field (1) or absent;
Structure = word (2); a term with structure "word" may contain only a single word;
Truncation = absent or as supported by the server for keyword searching;
Use = as supported by the server for keyword searching; servers will recognize the ANY (1016) attribute and respect its semantics as defined in the Bib-1 semantics document.

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Appendix C
Open Issues/Additional Requirements/Understandings

Additional requirements?

1. Init Service: IdAuthentication?

2. Search Service: Named Result Sets -- The Profile requires support for named result sets. CIMI-servers will support a minimum of two concurrent result sets.

3. Date Searching: Dates occurring as search terms should, when possible, be transmitted in normalized form and using the Structure Attribute (Attribute Type = 4) with value "normalized date" (Structure Attribute Value = 5) with the search term. The normalized form is described in the document, Attribute Set Bib-1 (Z39.50-1995): Semantics (September 1995). If a client is not able to normalize the date, then it may transmit it in whatever form it has, without the Structure Attribute. The server should interpret all date searches, with or without the structure attribute, as best they can.

Additional Requirements for Client and Server Behavior

1. Review ATS-1 Profile, Section 5, Conformance Requirements pertaining to Version 2. Do we want to include any of the wording? Also look at CENL Profile, Section 5, Conformance requirements pertaining to Version 2.

2. Holdings information? Adopt the CENL approach for summary holdings in the USMARC 866?

3. We may need to identify which additional requirements apply to client and which to server. For example, we could say that indicating truncation is optional for client (default is Do Not Truncate), but that servers must support truncation? But then we run up against differences in local systems functionality.

Please send comments to either:
z3950-tx@link.tsl.state.tx.us or beverley.shirley@tsl.state.tx.us

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