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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. Appropriate diagnostics for specific error conditions can be found at the Related Specification/Contributions section of the Maintenance Agency site. http://lcweb.loc.gov/z3950/agency/contributions/1.html

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 catalogue 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.

In this section the term "references" encompasses data derived from see and see also references and optionally heading linking entry fields.