Intrductin Develping an Alternative Apprach fr Interperability Testing f Library Z39.50 Servers A Request fr an Extensin William E. Men <wemen@unt.edu> Texas Center fr Digital Knwledge Schl f Library and Infrmatin Sciences University f Nrth Texas March 30, 2004 In ur December 31, 2003 interim status reprt n the Z39.50 Interperability Testbed Prject (Z-Interp) [available at: http://www.unt.edu/zinterp/dcuments/interimreprt31dec2003.pdf], we highlighted the challenges f individual libraries t participate in the Z-Interp testbed. Attachment A cntains tw sectins frm the interim reprt that discusses in mre detail these challenges. Mst libraries nly have a prductin system fr their integrated library system and nline catalg; they d nt have a testing envirnment where they can lad the Z-Interp test dataset f 400,000 MARC recrds, index thse recrds separately frm the prductin bibligraphic database, and have that available fr interperability testing. The apprach f the Z-Interp Prject wrked well fr the vendrs; they were able t set up a separate implementatin f their Z39.50 server and nline catalg prducts, prepare it fr testing, and have the Z-Interp Prject cnduct interperability testing. In the interim reprt, we suggested an alternative methd fr interperability testing fr Z39.50 servers that culd accmmdate these limitatins f individual library systems. The idea fr this apprach came frm Sebastian Hammer, a principal in Index Data that is a cmpany specializing in Z39.50 and netwrked infrmatin retrieval. The alternative methd will use a small set f very special MARC recrds (we refer t these as radiactive MARC recrds, explained belw) that can serve as diagnstic mechanisms fr assessing system functinality, perfrmance, and interperability. We think this alternative apprach has ptential fr prviding interperability testing services t individual libraries. In additin, this apprach may be adaptable t ther prtcl and metadata cntexts beynd Z39.50 and MARC. This dcument describes a plan f wrk t develp and test this alternative apprach fr interperability testing. We request an extensin t the existing Natinal Leadership Grant thrugh February 2005 t supprt this wrk. The resurces needed t carry ut the wrk are estimated at $49,521. This apprach builds n the cnceptual and technical infrastructure develped during the Z-Interp Prject [infrmatin n the prject available n the prject website at: http://www.unt.edu/zinterp/]. Brief Overview f the Apprach The idea fr a radiactive MARC recrd is based n current medical diagnstic techniques fr peple. When a persn has a particular medical cnditin, there may be tw appraches fr diagnsis. One culd be cnsidered invasive, where the persn wuld underg a surgical technique fr physically examinatin f the prblematic area r anmaly. The ther apprach culd be cnsidered less invasive, where the patient is injected with a dye, pssibly radiactive, and nce it has spread thrughut the bdy, scanning techniques allw a medical prfessinal t identify structural r mechanical prblems r anmalies. A radiactive MARC recrd apprach fr interperability testing wuld be less invasive fr an individual library. It wuld nt require lading a large test dataset such as used in the Z-Interp Prject. Nr wuld it require a separate testing envirnment n the lcal implementatin. Instead, the library William E. Men, Ph.D. 1 March 30, 2004 Texas Center fr Digital Knwledge University f Nrth Texas
Z-Interp Prject Request fr Extensin wuld lad int its prductin nline catalg system a set f diagnstic radiactive MARC recrds, and the Z-Interp Prject staff wuld then cnduct a series f tests t assess system functinality, perfrmance, and interperability. The radiactive MARC recrds will be legitimate instances f MARC recrds that a library system shuld be able t imprt and prcess, but the recrds will have very special characteristics. The data in the MARC fields/subfields will cnsist f specific patterns f character strings (see belw fr mre details abut these recrds and their data). MARC recrds will be created fr each f the varius frmats f bibligraphic materials (e.g., mngraphs, electrnic resurces, cartgraphic materials, etc.) using the full set f MARC cntent designatin available fr each frmat. Instead f hundreds f thusands MARC recrds t lad int a system, a small set f these radiactive recrds, maybe less than 20, wuld prvide the basis fr interperability testing.. Once the recrds are laded int a library s nline catalg system, Z-Interp Prject staff will use a set f test searches and ther prcesses t find these radiactive recrds under varius search criteria. Test searches will be sent t the library catalg, and the results wuld be analyzed. In this scenari, instead f hundreds f recrds being returned, successfully interperating systems wuld return the apprpriate MARC diagnstic recrd fr each test search. At the end f interperability testing, the lcal library can easily remve the diagnstic MARC recrds frm its prductin system. Cnceptually, this alternative apprach fr interperability testing with library catalgs cmplements the apprach f the Z-Interp Prject s riginal testbed methdlgy and builds upn the technical infrastructure and understanding prduced in the prject s far. Research and develpment, hwever, will be needed t create these special radiactive MARC recrds, develp the test scenaris, and develp analysis prcedures t ensure that the diagnsis f indexing r ther structural r mechanical prblems affecting interperability was reliable. The technical and sftware infrastructure that resulted frm the Z- Interp Prject can be re-used in this apprach fr interperability testing. Further, a radiactive recrd apprach might easily be adapted fr use with ther prtcl envirnments (e.g., the new Search and Retrieve fr the Web (SRW) and Open Archives Prtcl fr Metadata Harvesting), and als adapted t ther metadata envirnments. It is easy t imagine Dublin Cre radiactive recrds r such recrds fr ther metadata cmmunities. Descriptin f Wrk The wrk fr develping and testing the radiactive MARC recrds apprach fr interperability testing will invlve a number f separate activities: Develp a framewrk fr interperability testing: This will prvide the cnceptual framewrk fr the apprach. In this activity, we will identify mre specifically the cmpnents f the testing envirnment. A preliminary list f the cmpnents include: A set f radiactive MARC recrds A mechanism fr lcal libraries t access and lad these special MARC recrds Testing prcedures t examine Z39.50 and nline catalg search functinality, indexing plicies, etc. as a methd fr assessing interperability Methds t analyze the data prduced by the testing prcedures Output f the testing in the frm f reprts During this perid, the Z-Interp Prject staff will identify all tests that will be carried ut (e.g., tests t determine search functinality, indexing plicies, etc.) since these tests will infrm the specific data t be put int the radiactive MARC recrds. Men 2 March 30, 2004
Z-Interp Prject Request fr Extensin Creating the MARC recrds: A set f special, diagnstic MARC recrds will be develped. The recrds will have special data recrded in fields/subfields. The exact nature f the data in these MARC recrds will be determined during the research phase f the wrk. We anticipate at least ne MARC recrd fr each f the fllwing frmats f materials: Bks, Pamphlets, and Printed Sheets Cartgraphic Materials Electrnic Resurces Cntinuing Resurces Manuscripts (including manuscript cllectins) Music (Ntated and manuscript music) Sund Recrdings (musical and nn-musical) Mtin pictures and vide-recrdings (including digital and nn-digital) Graphic materials (includes mixed materials, with r withut archival cntrl) Three Dimensinal Artifacts and Realia Multiple recrds fr each frmat may be necessary t prvide adequate cverage fr the anticipated interperability tests. The MARC recrds will use the fields/subfields apprpriate t each f these frmats (since sme MARC fields/subfields nly apply t specific frmats f materials). In each f the recrds, there will be patterns f alpha/numeric characters encded in apprpriate fields/subfields. Fr example, the 245$a (title infrmatin) fr tw recrds might lk like the fllwing: 245 $axyss sifys asdsai-aduus 245 $ayszaqs sifys asdsai-aduus A title keywrd search with the search term sifys shuld retrieve bth f these recrds. A title exact match fr the term Xyss sifys asdsai-aduus shuld nly retrieve the first recrd. Since the MARC recrd is very rich in its encding ptential, develping distinct data (patterns f characters) fr each f the pssibly hundreds f fields will be a majr challenge. But the resulting radiactive MARC recrds will be incredibly pwerful in assessing nline catalg functinality, indexing practices, and Z39.50 server behavir. Attachment B cntains a sample f a MARC recrd that represents the cncept we are prpsing. Develping Testing Prcedures and Scripts: The interperability tests that will be cnducted will infrm the data t include in the radiactive MARC recrds. Test searches will be created t ensure that varius cnditins fr interperability are assessed. One starting pint fr the test searches will be the specificatins defined by the U.S. Natinal Z39.50 Prfile fr Library Applicatins and the Bath Prfile. The prfiles define a number search types that vendrs system claiming supprt f the prfile shuld be able t prcess. The search definitins in the prfiles specify bth the Z39.50 data that shuld be prcessed as well as expected behavir f the nline catalg implementatin. In additin, there may be additinal autmated scripts that will be develped t assess server functinality, etc. We will fcus n prducing autmated prcedures and scripts t the extent pssible, minimizing the human resurce needed t carry ut the testing and the analysis f results. The plan is t develp a simple tlkit that prvides the testing functins required and prgrams r scripts t implement the testing prcedures. Sftware tls prduced fr the testing will be released as pen surce sftware releases under the GNU General Public License (GPL). This will enable anyne t use the sftware. Further Develpment f Indexing Guidelines: The Z-Interp indexing guidelines were develped t accmmdate a specific set f interperability test searches. Additinal wrk n the indexing guidelines will be carried ut t develp apprpriate guidelines fr libraries t use when Men 3 March 30, 2004
Z-Interp Prject Request fr Extensin setting up indexing plicies fr imprved interperability. Currently, the indexing guidelines address authr, title, and subject keywrd indexes. The guidelines will be expanded t address ther searches defined in the U.S. Natinal and Bath Z39.50 prfiles. Verifying Prcedures thrugh the Z-Interp Reference Implementatin: Once the MARC recrds have been created and the testing prcedures develped, we will lad the radiactive MARC recrds int the Z-Interp reference implementatin server and nline catalg (using SIRSI s Unicrn integrated library system). We will verify all prcedures t ensure desired results are prduced using the reference implementatin. We will als develp mechanisms and dcuments fr reprting results f interperability testing. Testing with Individual Libraries: Upn cmpletin f the develpment, testing, and verificatin f ur interperability testing using the radiactive MARC recrds and testing prcedures, we will invite a number f libraries t serve as interperability testing participants. We will set up the methds fr the libraries t access the radiactive MARC recrds and lad them int their systems. We will then cnduct interperability testing n the libraries systems. Individual libraries will receive reprts based n the interperability testing. Feedback frm these initial tests may require refinement f the MARC recrds and/r the testing prcedures. We will d this iteratively with a small number f individual libraries t finalize all testing and reprting prcedures. Prject Deliverables The prject will have a number f prducts as a result f this research, including: Framewrk fr interperability testing using radiactive MARC recrds A set f very specialized MARC diagnstic (i.e., radiactive) recrds; initial estimate is apprximately 20 recrds; these will be publicly and freely available Dcumented and verified interperability testing prcedures and autmatic prcesses fr testing and analysis; any resulting sftware will be made available as pen surce sftware under the GPL Expanded guidelines fr indexing plicies fr nline catalgs Interperability testing with 3-5 individual libraries. Prject Benefits The initial Z-Interp Prject develped methds and prcedures, and built a technical infrastructure fr Z39.50 interperability testing. This apprach wrked well fr interperability testing with vendrs f Z39.50 servers and nline catalg prducts. The research and develpment effrt prpsed here fr an alternative apprach t interperability testing cmplements and builds n the slid technical and cnceptual fundatin f ur earlier wrk. We will leverage the initial IMLS funding fr the Z-Interp Prject t develp and test this alternative apprach. The gal f this wrk is t make it pssible fr individual libraries t assess the level f interperability their Z39.50 and nline catalg implementatins. The prducts f the prpsed research will reduce the barriers fr interperability testing fr these libraries. Individual libraries will be able t understand hw their chices fr cnfiguring their Z39.50 server and nline catalg (e.g., indexing plicies) enhance r detract frm interperability with ther systems. We will prvide reprts t the libraries that g thrugh the testing t help them determine the changes that can be made t their systems that psitively affect interperability. Further, this innvative apprach fr interperability testing may find a number f uses utside f the Z39.50 cntext. Fr example, a new initiative called Search and Retrieve fr the Web (SRW) is develping the technlgy fr infrmatin retrieval in a web services cntext. Sme f the early Men 4 March 30, 2004
Z-Interp Prject Request fr Extensin implementatins are prviding SRW services t search library catalgs. The methds and MARC recrds develped in this research shuld be able t be adapted t a SRW cntext. Prject Budget Fr the wrk we have described, we are requesting IMLS funding in the amunt f apprximately $49,531. The primary expense is t supprt persnnel wrking n the prject and a subcntract t Index Data fr assistance n develping the MARC recrds and the test scripts. The ther majr cst cmpnent is the University f Nrth Texas indirect csts. The fllwing table lists a preliminary breakdwn f csts. [nt included in this versin] Dr. Men, as Principal Investigatr, will versee the wrk. He will devte apprximately 20% f his time n the prject frm March 1 thrugh May 31, 2004, and 10% f his time frm September 1, 2004 thrugh February 28, 2005. There is n cst t IMLS fr these perids f effrt. Partial summer salary fr 2004 will be supprted by IMLS funds. The tw research assistants will be graduate students in the Schl f Library and Infrmatin Sciences. One will be a student wh is knwledgeable abut MARC and catalg recrds. The ther will be a student wh is knwledgeable abut Z39.50 and testing. Bth have wrked n the Z-Interp Prject. Index Data is a sftware develping and cnsulting firm in Cpenhagen, Denmark. Index Data is a premier prvider f Z39.50 sftware and tlkits. Sebastian Hammer, a principal in Index Data, riginated the idea f a radiactive MARC recrd apprach t interperability testing. He has cnfirmed his interest in wrking n this prject. The supplemental funds requested frm IMLS will prvide sufficient resurces t carry ut the wrk described in this request fr extensin. Cnclusin The prblems f semantic interperability, as nted in the interim prgress reprt, are the result f a cmplex f factrs. The Z-Interp Prject has made gd prgress in understanding and addressing a number f these factrs. We prduced a testing envirnment t assess levels f interperability. The research and develpment we are prpsing t carry ut with the additinal resurces and time will fcus n a methd t make it pssible fr individual libraries t underg Z39.50 interperability testing. Men 5 March 30, 2004
Z-Interp Prject Request fr Extensin Attachment A: Sectins frm the Z-Interp Prject Interim Status Reprt Nte: Included here are tw relevant sectins frm the reprt. The cmplete interim status reprt is available at: http://www.unt.edu/zinterp/dcuments/interimreprt31dec2003.pdf 6.2 Participatin and Use f the Interperability Testbed The Z-Interp Z39.50 Interperability Testbed was the first frmal testbed fr assessing Z39.50 semantic interperability. A testbed spnsred by the Calitin fr Netwrked Infrmatin in the early 1990s fcused primarily n mechanical prtcl-level interperability at an early stage f Z39.50 implementatin. The gal f the Z-Interp testbed was t imprve semantic interperability, a challenge that went far beynd the issues f prtcl cmpliance (althugh that was a necessary cnditin t achieve t be able t assess semantic interperability). While there are hundreds, if nt thusands, f Z39.50 client and server implementatins in libraries in the U.S. and internatinally, mst f these lcal implementatins are using prducts frm a small number f library autmatin and ther cmpanies. The testbed was pen t bth vendrs and libraries (see the Appendix F, Call fr Participatin). Participatin in the testbed, was fr the mst part, by vendrs rather than individual libraries. At the time this final reprt fr the Z-Interp Prject is being written (althugh the fficial end f the prject was September 30, 2003) a ttal f eight participants representing nine separate prducts went thrugh (r are in the prcess f) interperability testing. The fllwing indicates the number f participants testing Z39.50 server and Z39.50 client prducts: Z39.50 Server Prducts/Implementatins InQuirin OCLC Dynix Hrizn Innvative Interfaces Incrprated Fllett Telus Z39.50 Client Prducts Fretwell-Dwning Saskatchewan Prvincial Library (using Blue Angel Technlgies Prduct) Sirsi, Inc. cntributed its Z39.50 server prduct t the Z-Interp Prject, and by default was a participant in the testbed. The list f cmpanies with Z39.50 server prducts that went thrugh the Z-Interp testbed cvers much f the installed base f library autmatin systems in the U.S. There are several cmpanies, hwever, that have Z39.50 server implementatin in libraries in the U.S. that did nt participate, ntably, Endeavr Infrmatin Systems, The Library Crpratin, Ex Libris, Gaylrd, and Sagebrush. The Principal Investigatr made cntact with all f these cmpanies t ensure they knew abut the testbed. The Principal Investigatr had assumed at the time f submitting the prpsal that individual libraries wuld be interested in submitting their Z39.50 server implementatins t interperability testing. This assumptin prved incrrect fr tw primary reasns. First, the size f the test dataset (ver 400,000 recrds) was t large t be accmmdated by individual libraries. Secnd, mst individual libraries Z39.50 implementatins did nt include a test envirnment in which the test dataset culd be laded and indexed separately frm the prductin bibligraphic database f the individual library. This made it impssible fr mst libraries t participate in the testbed. As part f a prject the Principal Investigatr carried ut in 2002 fr the Illinis State Library, these barriers t participatin became clear. The Illinis State Library encuraged the Illinis Reginal Library Systems that hsted large shared bibligraphic Men 6 March 30, 2004
Z-Interp Prject Request fr Extensin systems t g thrugh the interperability testbed t imprve statewide resurce discvery and sharing. Yet, even with encuragement and supprt by the Illinis State Library, the Reginals were nt able t g thrugh the testbed fr the reasns listed abve. Use f the testbed, hwever, was nt limited t nly thse eight rganizatins that frmally submitted their prducts fr interperability testing. During 2002 and 2003, as part f a Texas virtual library initiative, the Z-Interp testbed was used fr assessing prf-f-cncept applicatins fr metasearching (i.e., crss database searching via Z39.50 and ther prtcls frm a single search interface), and fr technical assessment f respnses t a frmal Request Fr Prpsal (RFP) by the Texas State Library and Archives Cmmissin fr a metasearch applicatin fr the Library f Texas (LOT) Resurce Discvery Service. The Principal Investigatr was invlved in the design and develpment f the LOT Resurce Discvery Service, and ffered the interperability testbed as a frmal mechanism t assist the Texas State Library and Archives Cmmissin t 1) assess the extent t which prf-f-cncept metasearch applicatins cnfrmed t the specificatins fr searching as defined in the Bath and U.S. Natinal Z39.50 prfiles; and 2) assess the technical cnfrmance t specificatins included in the RFP t prcure a metasearch applicatin fr the LOT. The results f bth sets f assessments prvided infrmatin t the Texas State Library and Archives Cmmissin as t the cnfrmance t standards and prfile specificatins f Z39.50 client implementatins integrated int a metasearch applicatin. The results f these assessments were fr internal use by the Texas State Library and Archives Cmmissin, but fr additinal infrmatin abut the Library f Texas design and the rle f Z39.50 and interperability see Men and Murray, 2002. 8.2 The Future f Interperability Testbed As nted in previus sectins, the Principal Investigatr assumed incrrectly that individual libraries wuld be interested and able t participate in interperability testing with their lcal implementatins. The apprach f the Z-Interp Prject was t use a large test dataset t prvide a mre real-wrld exercise fr systems and interperability testing. Yet, it was precisely this large dataset that presented a barrier t individual libraries participatin, alng with the fact that mst libraries lcal systems d nt have test envirnments in which t lad this r any ther test dataset. T address the issue f the size f the test dataset, the Z-Interp staff develped a 100,000 recrd subset f the Z-Interp test dataset, and during the last perid f the prject, the staff began t red test searches and benchmarks using this smaller dataset. Hwever, individual library participatin wuld still be limited by the lack f test envirnments available in lcal systems. The Principal Investigatr had als assumed a business mdel culd be develped t prvide a sustained revenue stream t cntinue and expand the Z39.50 interperability testbed. This assumptin was based n the incrrect assumptin abut individual library participatin. Since there are a very limited number f vendrs that prduce Z39.50 prducts fr the library market (and many f thse went thrugh the Z- Interp testbed), there is nt a brad market f vendrs t sustain the interperability testbed as it is currently cnfigured and perated. Hwever, in the last tw mnths f the prject, the Principal Investigatr discussed this issue with Sebastian Hammer, a principal in Index Data, a premier cmpany that develps Z39.50 server and client tlkits and surce cde. Hammer suggested that what is needed is a radiactive MARC recrd (r a limited number f such recrds) thrugh which the types f interperability assessments dne in the Z- Interp testbed culd be carried ut withut putting a burden n the libraries lcal system implementatins. This idea will be discussed in Sectin 9.3 A Radiactive MARC Recrd fr Interperability Testing. A radiactive recrd apprach fr interperability testing des nt invalidate the wrk accmplished in the Z-Interp Prject. All f the grund-breaking wrk in data analysis, testing prcedures, test searches, and identificatin f cntinuing interperability challenges wuld infrm this alternative apprach fr interperability testing. Men 7 March 30, 2004
Z-Interp Prject Request fr Extensin Attachment B: Sample Radiactive MARC Recrd The fllwing is based n a real MARC recrd but the data have been changed t special patterns f characters. This is nly meant as an example, and the actual radiactive MARC recrds develped as part f this prject may include much mre detailed encding and data. 100 1 Yzllsnusn, Bxsfaz Z. 245 10 Oyjiaksxxs : bp eislyacxz qssasumc / cby Bxsfaz Z. Yzllsnusn. 250 3rd ed. 260 Mpzsial, ZZ : bbzysifs wqasp ; anwausa, XX : bibxnsaa, c[2200] 300 [8] p. : bill. ; c22 cm. 500 Oxsuasyatq msaustxas. 610 20 Pszuasquyatansua dasuysaytqrew. tiqsatpmcjsa msiayqwd amxsaing tysiasdaq. 650 0 Nsasqyasda xyzuawqgtts zmmmmm Stazqst. 650 0 Msiass-Sasdasmn usyza wusasdas xyzuawqgtts zmmmmm Stazqst. 650 0 Aqstsacsst xyzuawqgtts zmmmmm Stazqst. 650 0 Vcsatysaw paisqdfdat msuawwmea xyzuawqgtts zmmmmm Stazqst. Men 8 March 30, 2004