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

Functional Area D 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 D use the following Z39.50 objects:

* Z-servers may return records in SUTRS format (instead of MARC 21) for business or copyright reasons.

** Z-clients and Z-servers are not required to support UNIMARC, but it is strongly recommended.

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 D Level 1 Conformance requires that a Z-client must be able to receive any record in MARC 21 or in SUTRS, and a Z-server must be able to deliver any record in MARC21. In addition, Z-clients and Z-servers are strongly encouraged to also support the UNIMARC syntax for exchange of MARC data. Exceptional server situations may override this syntax requirement (e.g., database temporarily not available). Local policies may restrict access to records in one or more specific record syntaxes to authorized users. In such cases, the server should return the appropriate diagnostic. For servers that provide records in selected record syntaxes for specific authorized users, Bib-1 Diagnostic #1070: "User not authorized to receive this record in requested syntax" is available to indicate this condition. If there are business reasons why a server cannot deliver MARC 21 records, it should be possible for the records to be delivered in SUTRS.

An authority file is accessed by using a unique database name (i.e., different than the database name used for bibliographic records) in the Z39.50 search request. Record syntax object identifier extensions (e.g., 1.2.840.10003.5.10.2) are not utilized in this profile.

The profile requires that Z-clients formulate queries using all the Attribute Types and values specified in the searches listed below, and requires Z-servers to process all of the Attribute Types (i.e., servers cannot 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. The Bath Profile, Appendix B: Diagnostics: Suggested User Display and Message Logging Using Bib-1 Diagnostic Set, lists appropriate diagnostics for specific error conditions.

Z-clients and Z-servers may support additional searches that use Attribute Types and values not specified in this profile. Z-servers may receive queries that do not conform to the searches listed in this profile. The profile does not prescribe Z-server behavior for non-conformant searches.

This profile does not specify data elements or indexes to be mapped to the required bib-1 Use attributes. It recognizes that indexing practices may vary based on local needs. However, it assumes that in library catalog implementations:

• A name search will look for matches in indexes derived from data elements containing names used as access points or references.
• A title search will look for matches in indexes derived from data elements containing a title of a work, a uniform title, or a series title.
• A subject search will look for matches in indexes derived from data elements containing subjects (e.g., topical subject, geographical subject, title as subject, and names as subject) and their references.
• An any search will search commonly used access points defined by the server. For each level of searching that specifies name, title and subject searches, an "any" search should look for matches in at least the indexes related to those access points.

5.D.1. Functional Area A: Level 1 Search and Retrieval

Level 1 defines search and retrieval requirements for Z39.50 clients and servers and includes name, title, and subject searches that enable robust heading searches across library catalogs.

Z39.50 Version 3 is recommended. Level 1 requires Z-clients and Z-servers to support SCAN.

Level 1 Search requires the ISO Latin-1 character set for encoding the query term.

Level 1 Retrieval requires:

• Z-clients to support MARC 21 and SUTRS.(UNIMARC support is also recommended).
• Z-servers to support MARC 21. (SUTRS may be returned instead of MARC 21 if there are business reasons why MARC 21 cannot be returned to all clients. UNIMARC support is also recommended).
• Z-clients and Z-servers to support the character set defined for use with the record syntax.

Level 1 searching requires the following bib-1 Attributes Types and Values:

Combinations of these Attributes Types and Values express the semantics of the following fourteen Level 1 searches (more completely specified below):

5.D.1.1 Name Search - Keyword
5.D.1.2 Name Search - Keyword with Right Truncation
5.D.1.3 Name Search - Exact Match
5.D.1.4 Name Search - First Characters in Field
5.D.1.5 Title Search - Keyword
5.D.1.6 Title Search - Keyword with Right Truncation
5.D.1.7 Title Search - Exact Match
5.D.1.8 Title Search - First Words in Field
5.D.1.9 Title Search - First Characters in Field
5.D.1.10 Subject Search - Keyword
5.D.1.11 Subject Search - Keyword with Right Truncation
5.D.1.12 Subject Search - Exact Match
5.D.1.13 Subject Search - First Words in Field
5.D.1.14 Subject Search - First Characters in Field

5.D.1.1. Name Search - Keyword

Use: Searches for complete word in headings (or references) for people, corporate bodies, conferences, and geographic names.

5.D.1.2 Name Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in fields that contain the name of a person or entity associated with a resource.

5.D.1.3 Name Search - Exact Match

Use: Searches for the complete string as specified in fields that contain a name of a person or entity associated with a resource. This search is needed to conduct a follow-up search when the user selects terms from a name index (e.g., from a Scan).

5.D.1.4 Name Search - First Characters in Field

Use: Searches for the specified character string in name fields. The field must begin with the specified character string. This search is useful when the searcher wants to retrieve all names beginning with a common stem or when a partial complete name is known (e.g., complete last name, initial of first name).

5.D.1.5. Title Search - Keyword

Use: Searches for complete word in a title of a work or uniform title.

5.D.1.6 Title Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in fields that contain a title of a work or uniform title.

5.D.1.7 Title Search - Exact Match

Use: Searches in fields that contain a title for an exact match on the complete string as specified. This search is useful for one or two word titles, often series, where a less precise search may retrieve a very large result set. This search is also needed to conduct a follow-up search when the user selects terms from a full title index (e.g., from a Scan).

5.D.1.8 Title Search - First Words in Field

Use: Searches for complete word(s) in the order specified in fields that contain a title of a work or a uniform title. The field must begin with the specified character string. This search is useful when the user knows the beginning words in a title.

5.D.1.9 Title Search - First Characters in Field

Use: Searches for the specified character string in fields that contain a title of a resource. The field must begin with the specified character string. This search is useful when the beginning words in a title are known to the user but the users is not sure of the form or spelling of a particular word. For example, 'catalog' will retrieve resources with titles beginning 'cataloging' or 'cataloguing'.

5.D.1.10. Subject Search - Keyword

Use: Searches for complete word in a subject heading.

5.D.1.11 Subject Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in subject heading.

5.D.1.12 Subject Search - Exact Match

Use: Searches in subject fields for the complete string as specified. This search is useful for limiting searches to a precise subject, especially where fields contain subheadings. This search is needed to conduct a follow-up search when the user selects terms from a subject heading index (e.g., from a Scan).

5.D.1.13 Subject Search - First Words in Field

Use: Searches for complete word(s) in the order specified in subject headings. The field must begin with the specified character string. This search is useful when the searcher knows the main subject heading but not sub-headings.

5.D.1.14 Subject Search - First Characters in Field

Use: Searches for the specified character string in subject headings. The field must begin with the specified character string. This search is useful when the searcher wants to retrieve all headings beginning with a common stem. For example, 'catalog' will retrieve resources on 'cataloging', 'catalog cards', 'catalogers', etc.

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

The Z39.50 Scan Service is required at Functional Area D Level 1 Search and Retrieval. The following requirements apply for SCAN:

• Z-clients must support Term and DisplayTerm, and display DisplayTerm if sent. If DisplayTerm is not sent, Term must be displayed.
• Required values for parameter preferredPositionInResponse are 0 and 1.
• Stepsize is 0.

To maintain parallel with the searches defined in Level 1, three Scans are defined:

• Name - Exact Match
• Title - Exact Match
• Subject - Exact Match

Unlike the searches specified in this Profile, it is not necessary to specify the Relation, Completeness and Truncation attributes of a Scan.

5.D.1.SCAN.1 Name - Exact Match

Uses: To browse an ordered list of name headings.

The termlist for a Name Exact Match Scan is:

5.D.1.SCAN.2 Title - Exact Match

Uses: To browse an ordered list of complete titles.

The termlist for a Title Exact Match Scan is:

5.D.1.SCAN.3 Subject - Exact Match

Uses: To browse an ordered list of complete subject headings.

The termlist for a Subject Exact Match Scan is:

5.D.2 Functional Area A: Level 2 Search and Retrieval

Level 2 inherits all search and retrieval requirements from Level 1. Level 2 also defines additional requirements. Level 2 defines a variety of more specialized searches.

Level 2 searching requires the following bib-1 Attributes Types and Values:

Combinations of these Attributes Types and Values express the semantics of the following 29 Level 2 searches (more completely specified below):

5.D.2.1 Personal Name Search - Keyword
5.D.2.2 Personal Name Search - Keyword with Right Truncation
5.D.2.3 Personal Name Search - Exact Match
5.D.2.4 Personal Name Search - First Characters in Field
5.D.2.5 Corporate Name Search - Keyword
5.D.2.6 Corporate Name Search - Keyword with Right Truncation
5.D.2.7 Corporate Name Search - Exact Match
5.D.2.8 Corporate Name Search - First Characters in Field
5.D.2.9 Conference Name Search - Keyword
5.D.2.10 Conference Name Search - Keyword with Right Truncation
5.D.2.11 Conference Name Search - Exact Match
5.D.2.12 Conference Name Search - First Characters in Field
5.D.2.13 Uniform Title Search - Keyword
5.D.2.14 Uniform Title Search - Keyword with Right Truncation
5.D.2.15 Uniform Title Search - Exact Match
5.D.2.16 Uniform Title Search - First Characters in Field
5.D.2.17 ISSN Search
5.D.2.18 Remote System Record Number Search
5.D.2.19 Geographic Name Search - Keyword
5.D.2.20 Geographic Name Search - Keyword with Right Truncation
5.D.2.21 Geographic Name Search - Exact Match
5.D.2.22 Geographic Name Search - First Characters in Field
5.D.2.23 Title Search - Unanchored Phrase
5.D.2.24 Subject Search - Unanchored Phrase
5.D.2.25 Name Search - Unanchored Phrase
5.D.2.26 Notes Search - Keyword
5.D.2.27 Notes Search - Keyword with Right Truncation
5.D.2.28 Any Search - Keyword
5.D.2.29 Any Search - Keyword with Right Truncation

5.D.2.1 Personal Name Search - Keyword

Use: Searches for complete word in fields that contain a personal name heading or reference.

5.D.2.2 Personal Name Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in fields that contain a personal name heading or reference.

5.D.2.3 Personal Name Search - Exact Match

Use: Searches for the complete string as specified in fields that contain a personal name heading or reference.

5.D.2.4 Personal Name Search - First Characters in Field

Use: Searches for the specified character string in fields that contain a personal name heading or reference. The field must begin with the specified character string. This search is useful when the searcher wants to retrieve all names beginning with a common stem.

5.D.2.5 Corporate Name Search - Keyword

Use: Searches for complete word in fields that contain a corporate name heading or reference.

5.D.2.6 Corporate Name Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in fields that contain a corporate name heading or reference.

5.D.2.7 Corporate Name Search - Exact Match

Use: Searches for the complete string as specified in fields that contain a corporate name heading or reference.

5.D.2.8 Corporate Name Search - First Characters in Field

Use: Searches for the specified character string in fields that contain a corporate name heading or reference. The field must begin with the specified character string. This search is useful when the searcher wants to retrieve all names beginning with a common stem.

5.D.2.9 Conference Name Search - Keyword

Use: Searches for complete word in fields that contain a conference name heading or reference.

5.D.2.10 Conference Name Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in fields that contain a conference name heading or reference.

5.D.2.11 Conference Name Search - Exact Match

Use: Searches for the complete string as specified in fields that contain a conference name heading or reference.

5.D.2.12 Conference Name Search - First Characters in Field

Use: Searches for the specified character string in fields that contain a conference name heading or reference. The field must begin with the specified character string. This search is useful when the searcher wants to retrieve all names beginning with a common stem.

5.D.2.13 Uniform Title Search - Keyword

Use: Searches for complete word in a uniform title heading or reference.

5.D.2.14 Uniform Title Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in fields that contain a uniform title heading or reference.

5.D.2.15 Uniform Title Search - Exact Match

Use: Searches in fields that contain a uniform title heading or reference for an exact match on the complete string as specified. This search is useful for one or two word titles where a less precise search may retrieve a very large result set.

5.D.2.16 Uniform Title Search - First Characters in Field

Use: Searches for the specified character string in fields that contain a uniform title heading or reference. The field must begin with the specified character string. This search is useful when the user knows the beginning words of a key title but the user is not sure of the form or spelling of a particular word.

5.D.2.17 ISSN Search

Use: Searches for a complete ISSN.

5.D.2.18 Remote System Record Number Search

Use: Searches for a complete local system record number.

5.D.2.19 Geographic Name Search - Keyword

Use: Searches for complete word in fields that contain a geographic name heading or reference.

5.D.2.20 Geographic Name Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in fields that contain a geographic name heading or reference.

5.D.2.21 Geographic Name Search - Exact Match

Use: Searches for the complete string as specified in fields that contain a geographic name heading or reference.

5.D.2.22 Geographic Name Search - First Characters in Field

Use: Searches for the specified character string in fields that contain a geographic name heading or reference. The field must begin with the specified character string. This search is useful when the searcher wants to retrieve all names beginning with a common stem.

5.D.2.23 Title Search - Unanchored Phrase

Use: Searches for the specified phrase anywhere in fields that contain a title of a work or uniform title or reference.

5.D.2.24 Subject Search - Unanchored Phrase

Use: Searches for the specified phrase anywhere in subject heading fields of a record.

5.D.2.25 Name Search - Unanchored Phrase

Use: Searches for the specified phrase anywhere in fields of a record that contain name headings or references.

5.D.2.26 Note Search - Keyword

Uses: Searches for complete word in notes fields of a record.

5.D.2.27 Note Search - Keyword with Right Truncation

Use: Searches for complete word beginning with the specified character string in fields that contain notes.

5.D.2.28 Any Search - Keyword

Use: Searches for complete word in headings fields. Any searches comprising more than one keyword are interpreted in such a way that the terms may exist in the same or in different fields. Example: a search on "Copland AND Rodeo" might conceivably find "Copland" in a name heading and "Rodeo" in a title heading.

5.D.2.29 Any Search - Keyword with Right Truncation

Use: Searches for complete word in headings fields. Any searches comprising more than one keyword are interpreted in such a way that the terms may exist in the same or in different fields. Example: a search on "Copland AND Billy the Kid" might conceivably find "Copland" in a name heading and "Billy the Kid. Prairie night" in a title heading.

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

Level 2 Scan inherits Level 1 Scan requirements. Three additional Scans are defined:

• Name - Keyword
• Title - Keyword
• Subject - Keyword

5.D.2.SCAN.1 Name - Keyword

Uses: To browse an ordered list of words from name headings or references.

The termlist for a Name Keyword Scan is:

5.D.2.SCAN.2 Title - Keyword

Uses: To browse an ordered list of words from title fields or subfields.
The termlist for a Title Keyword Scan is:

5.D.2.SCAN.3 Subject - Keyword

Uses: To browse an ordered list of words from subject headings or references.

The termlist for a Subject Keyword Scan is: