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Change Record Table:

Date                     Author     Version   Name of affected section   Affected Pages
               25-Apr-00 NARA       V2.0      All requirements           all




Reviews

Name                    Position              Date Reviewed

Debra Wall              COTR/NARA
Lydia Reid              NARA
Comments
Requirements have been prioritized
Attachment 1 - Section 3.0 Functional Requirements             NARA Archival Research Catalog                                                               20



                Requirement
3.1             Common Functionality for Description and Authority Control Modules
3.1.1           ARC must enable the System Administrator(s) to define different mandatory data entry templates for each of the record types listed in
                Requirement 2.4.4.8.
3.1.2           For each template, ARC must enable the System Administrator(s) to define minimum mandatory fields and sub-fields that must be
                entered by NARA staff users when creating records.
3.1.4           ARC enables authorized users to save user-defined work forms for future data entry.
3.1.5           ARC ensures that each new record is uniquely identified by a unique system-assigned control number.
3.1.6           ARC supports repeating fields and sub-fields.
3.1.7           In the instance of repeatable fields and sub-fields, ARC does not impose a limit on the number of repetitions to each repeating field or
                sub-fields.
3.1.8           ARC enables the user to input data to fields and sub-fields in any order.
3.1.9           ARC enables the user to create and edit multiple records in a database file without requiring that one record be saved before the next is
                created or opened.
3.1.10          In ARC, all records are accessible from all functions and subsystems. For example, within the description and authority control modules,
                ARC enables the user to search and retrieve records.
3.1.11          While editing a record, staff have the option to display the record as it would appear to the public
3.1.12          ARC enables the user to display and navigate the hierarchy of a record while in the Reference, Description, and Authority Control
                modules.
3.1.12.1         ARC must include hierarchical rules, including:
                 a. Archival Materials Sets may be the parents of (or the children of) other Archival Materials Sets.
                 b. A Fundamental Level AMS may have one or more File Unit AMS children.
                 c. A Fundamental Level AMS may have one or more Item AMS children.
                 d. A Fundamental Level AMS does NOT have an AMS parent.
                 e. A File Unit AMS may have one and only one Fundamental Level parent.
                 f. A File Unit AMS may have one or more Item AMS children.
                 g. An Item AMS may have one and only one parent. This parent may be a Fundamental Level AMS or a File Unit AMS.
                 h. An Item AMS is NEVER a parent.
                 i.ARC must only have three levels of AMS hierarchy and users must be restricted from adding additional levels.
                 j. ARC must restrict users from creating circular hierarchical relationships, so that a child can not be its own parent or grand-parent.


3.1.13          ARC enables the user to display and navigate the hierarchy of a record while creating or editing the record.
3.1.13.1         ARC must enable users to graphically view and navigate the entire records hierarchy.
3.1.15          When retrieving a record for editing or deleting, ARC:
           a.   reserves the data for unshared write access by the user, if allowed by the user's access authority.
           b.   prevents other users from editing the record directly until the user has saved or canceled changes.
Attachment 1 - Section 3.0 Functional Requirements              NARA Archival Research Catalog                                                                    21



               Requirement
        c.     enables other users to retrieve copies of the record for purposes of reference or copying the data to another record.
        d.     enables the user to copy the approved version of the data for editing.
        e.     ARC prevents the overwriting of any original record until the edited record been reviewed and approved.
  3.1.15.1     ARC limits staff to editing and creating AMS records for materials held only by their repository or collection, e.g., Truman Library staff
               have the ability to create and edit only Truman Library records.


  3.1.15.2      ARC must limit staff from creating, editing, or deleting certain types of records, e.g., certain staff can only create, edit and/or delete item
               level records, certain staff can only create, edit and/or delete standard authority record, certain staff can only create, edit and/or delete
               agency history records.
3.1.16         ARC automatically informs the user if a requested record is unavailable due to current write access by another user.
3.1.19.        ARC enables the user to alter input at any time before saving the record.
3.1.20         ARC enables the user to use the values entered for one record as a template for a newly created record.
3.1.21         ARC enables the user to copy the entire contents of an existing record to the corresponding fields of a new record.
3.1.23         ARC enables the user to select and unselect multiple terms in one operation, and then place the terms in separate occurrences of
               repeating fields and sub-fields.
3.1.26         ARC enables the user to browse and select headings from the appropriate authority file and transfer the selected headings to the
               current field or sub-fields in the data entry work form.
3.1.27         ARC provides a spell check capability over data within open records.
3.1.29         ARC enables the user to flag record(s) for review.
3.1.30         ARC allows staff to route records to other staff for review
3.1.31         ARC enables authorized users to recall and approve any or all records flagged for review.
3.1.32         ARC provides the option to save records outside the database.
3.1.33         ARC provides the option to import saved records to the database.
3.1.34         Authorized users can submit records to the database as a new permanent record.
3.1.35         When submitting records to the database, authorized users can overwrite existing records.
3.1.36         ARC provides a warning when a record will overwrite an existing record.
3.1.37         ARC saves deleted or overwritten records in an archive area of the database.
3.1.38         ARC allows for the recovery of archived records by authorized users.
3.1.39         ARC allows authorized users to purge the archive area of the database.
3.2            Description Module
3.2.1          ARC must support the creation and modification of the following record types:
          a.   Archival Control Group – this is a bibliographic descriptive record
          b.   Fundamental – this is a bibliographic descriptive record within the AMS hierarchy
          c.   File Unit – this is a bibliographic descriptive record within the AMS hierarchy
          d.   Item – this is a bibliographic descriptive record within the AMS hierarchy
Attachment 1 - Section 3.0 Functional Requirements             NARA Archival Research Catalog                                                                    22



               Requirement
          e.   Authority – this is an authority record (further described in Section 3.4)
          f.   Agency History – this is both a non-standard authority record and a descriptive record (unique requirements defined in Section 3.4.2)

3.2.2          ARC allows multiple Fundamental records to be attached to an Archival Control Group record.
3.2.3          ARC allows multiple File Unit records to be attached to a Fundamental level record.
3.2.4          ARC allows multiple Item records to be attached to a File Unit record.
3.2.5          ARC allows multiple Item records to be attached to a Fundamental level record.
3.2.6          ARC enables an authorized user to move an existing record from one level of the hierarchy to another, while maintaining logical
               hierarchical relationships (e.g., an Item level record might be edited to become a File Unit record within the same hierarchy).
3.2.7          When an authorized user moves an existing record from one hierarchy to another hierarchy, all logical hierarchical relationships for
               lower levels must remain (e.g., if a File Unit record link is changed from one Fundamental level record to another Fundamental level
               record, all linked Item records should maintain their link to the File Unit record).
3.2.8          ARC ensures the protection of the hierarchical relationship of records at all levels.
3.2.9          For all fields and sub-fields under authority control (see Section 3.4), ARC enables the user to insert or edit a data value and have the
               system automatically propagate that value in corresponding fields or sub-fields in the records above and below in the hierarchy (i.e., a
               data value in a control field at the Fundamental record automatically cascades to the appropriate field in all File Unit and Item level
               records).
3.2.10         For all fields and sub-fields under authority control (see Section 3.4), ARC enables the user to insert or edit a data value and have the
               system prompt the user with the option of propagating that value in corresponding fields or sub-fields in the records above and below in
               the hierarchy (i.e., a data value in a control field at the Fundamental record automatically cascades to the appropriate field in all File Unit
               and Item level records).
3.2.11         ARC enables the user to attach a Fundamental record to multiple Agency History records.
3.2.12         ARC enables the user to attach multiple Fundamental records to a single Agency History record.
3.2.13         ARC enables authorized users to create electronic links between records in the database which are not related through a hierarchical
               relationship.
3.2.14         ARC allows one record to contain multiple links to multiple records.
3.2.15         ARC allows many records to be linked to one record.
3.2.17         ARC enables authorized users to create electronic links between records and other objects, such as databases, web pages, and digital
               surrogates of documents.
3.2.18         ARC allows one record to contain multiple links to multiple objects.
3.2.19         ARC enables authorized users to view/play an existing digital surrogate while describing or editing the bibliographic descriptive record of
               the surrogate.
3.2.20         ARC allows an authorized user to suppress one or more records from selected displays.
3.2.22         ARC allows an authorized user to suppress specific fields and sub-fields of a record from selected displays.
3.2.23         When a record is suppressed from display, it is not added to the search result set count in staff or public search modules.
Attachment 1 - Section 3.0 Functional Requirements             NARA Archival Research Catalog                                                               23



                Requirement
3.2.25          When a bibliographic descriptive record or Agency History is being deleted, ARC will retain any authority record if the bibliographic
                descriptive record or Agency History was the last record linked to an authority record.
3.2.26          ARC allows the System Administrator(s) to determine whether to display or not to display unlinked authority records to the public.

3.2.28          ARC must support the bulk import of records in the following formats:
          a.    ASCII delimited
          b.    ASCII relational file format
          c.    USMARC format
3.2.29          ARC must support the bulk export of records from ARC in the following formats:
          b.    ASCII relational file format
          c.    USMARC format
3.3             Validation Control
3.3.10          When data is entered into a field or sub-field, the validation feature should determine, at a minimum, that the following information is
                valid before allowing the user to leave the field or sub-field:
          a.    Dates in the proper date format
          b.    Authority controlled fields or sub-fields populated by selections from the governing authority file
          c.    Conflicts with headings on a bibliographic descriptive record or Agency History record and existing headings information in an
                authorized authority record
          d.    Data entered is of appropriate type for the field or sub-field (e.g., no alphabetic characters in a numeric only field or sub-field)
          e.    Establish that any hierarchical links to other records are correct
3.3.11          When a record is submitted to the database, the validation feature should determine, at a minimum, that the following information is
                valid:
          a.    Dates in the proper date format
          b.    Authority controlled fields or sub-fields populated by selections from the governing authority file
          c.    Data entered into all mandatory fields and sub-fields
          e.    Data entered is of appropriate type for the field or sub-field (e.g., no alphabetic characters in a numeric only field)
          g.    Proper use of repeatable fields
           j.   Proper use of fields and sub-fields within a record type
3.3.12          When a record does not pass the validation checkpoint, a dialog box immediately appears listing where the problem exists, along with
                suggestions for change.
3.3.13          When creating or editing a record, as data is entered into a field or sub-field, ARC validation should interactively present dialog boxes
                listing where the error exists, and suggestions for change.
3.3.14          As outlined in the ARC Data Dictionary, ARC performs range checking on dates to determine that for each end date entered, the value
                input is equal or subsequent to the corresponding begin date entered.
3.3.15          When entering data into a field or sub-field controlled by a Pick List File (See Section 3.4 for definition) the user should be able to:
Attachment 1 - Section 3.0 Functional Requirements            NARA Archival Research Catalog                                                              24



               Requirement
          a.   input only the first character of a term, until ARC can recognize the term from the list required and auto-populate the remainder of the
               term.
          b.   scroll the list to select a term for ARC to auto-populate into the field.
          c.   select multiple terms from the list for ARC to generate and auto-populate repeatable fields.
3.3.16         The ARC validation rules must support multiple valid main headings on a single authority record, as described in Section 3.4.2.
Attachment 1 - Section 3.0 Functional Requirements              NARA Archival Research Catalog                                                                 25



                Requirement
3.4             Authority Control Module
3.4.1           General Authority Requirements
3.4.1.1         ARC must provide an Authority Control Module which supports all of the file types described above.
3.4.1.2         ARC must support the use of multiple authority files in each of the file types described above.
3.4.1.3         ARC shall be capable of supporting multiple authority files for single fields or sub-fields.
3.4.1.4         There must be no limit to the number of authority files supported in ARC.
3.4.1.5         ARC must designate a unique data element in each authority record which represents the authority file from which the record was
                derived.
3.4.1.6         ARC must support the intermixing of authority records, from different authority files, to create a master ARC name authority file.

3.4.1.7         The ARC authority control function shall support ANSI standard Z39.19-1993, Guidelines for the Construction, Format, and
                Management of Monolingual Thesauri and ISO 2788:1986, Documentation - Guidelines for the Establishment and Development of
                Monolingual Thesauri.
3.4.1.8         ARC shall retrieve and display thesaurus terms hierarchically from broader to narrower terms and in sequence on each level, as
                specified in ANSI standard Z39.19-1993 or in alphabetical or alphanumeric order.
3.4.1.9         The ARC authority control function shall also support authority records that do not comply with ANSI standard Z39.19-1993.
3.4.1.10        ARC shall have the capability to incorporate changes in the MARC authority format or new national standard formats as they develop.

3.4.1.12        The System Administrator(s) determines which fields and sub-fields in the bibliographic descriptive record type and Agency History
                record type will come under authority control.
3.4.1.13        The System Administrator(s) determines which authority file(s) controls these fields and sub-fields.
3.4.1.14        ARC shall link each heading, under authority control in the authority files, to each occurrence of that heading in bibliographic descriptive
                records and Agency History records.
3.4.1.15        Headings under authority control must reside in the authority files, not in the records utilizing those headings.
3.4.1.16        When headings under authority control in the authority files are edited or modified, ARC immediately re-indexes and reflects these
                changes in all bibliographic descriptive records and Agency History records utilizing the modified or edited headings.
3.4.1.17        The ARC Authority Control Module must provide all of the functionality described in Section 3.1 above.
3.4.1.18        ARC must allow staff users and staff user groups to create new authority records and add them to the authority files used within ARC.

3.4.1.20        New authority records created by NARA staff, during the course of creating bibliographic descriptive records or Agency History records
                will be saved to the database in two formats:
           a.   Fully authorized authority records (these records have been approved by select staff users and represent records which have passed all
                authority files rules structures).
           b.   Provisionally authorized authority records (these records are pending approval by select staff, but the authority is temporarily used to
                allow effective retrieval of the record(s) linked to the provisional authority).
Attachment 1 - Section 3.0 Functional Requirements            NARA Archival Research Catalog                                                              26



                Requirement
3.4.1.21        The ARC System Administrator(s) must have the ability to determine which accounts have the authority to submit provisional records,
                and which accounts have the authority to edit and approve authorized authority records, when profiling staff users accounts and staff
                group user accounts.
3.4.1.22        Copies of provisional authority records submitted to the database, must be sent to a "review and approve" file where select staff,
                through an approval process, can convert (edit and modify) provisional records into fully authorized records.
3.4.1.23        Converted records, upon submission to the database as fully authorized records, must overwrite the provisional record in the database,
                yet maintain all links to records that were linked to the provisional record.
3.4.1.25        ARC must support the creation and maintenance of pre-coordinated authority headings with multiple sub-divisions and/or sub-fields in
                authority records.
3.4.1.26        ARC must support the creation and maintenance of pre-coordinated authority headings in which all sub-divisions and/or sub-fields are
                derived from a controlled list.
3.4.1.27        When a new authority heading is created through the pre-coordination of existing, authority controlled headings, ARC will auto-generate
                a provisional authority record for the new heading.
3.4.1.28        When new bibliographic descriptive records or Agency History records are imported into the database, ARC will auto-generate a
                provisional authority record for any headings in the imported records which do not already exist as authorized records in the authority
                files.
3.4.1.29        When provisional authority records are auto-generated by ARC during import, these provisional records can be automatically flagged by
                the System Administrator(s) and sent to the "review and approve" file.
3.4.1.30        When provisional authority records are auto-generated by ARC during import, the System Administrator(s) has the ability to allow their
                submission as provisional headings in the database, as well as flagging them for "review and approve".
3.4.1.31        ARC must support the bulk import of records from externally-created authority files (e.g., Library of Congress Subject Headings, Art &
                Architecture Thesaurus, Getty Thesaurus of Geographic Names, etc.) in the following formats:
           a.   ASCII delimited
           b.   ASCII relational file format
           c.   USMARC authority format
3.4.1.32        ARC must support the bulk export of authority records from ARC in the following formats:
           b.   ASCII relational file format
           c.   USMARC authority format
3.4.1.33        When ARC imports records from externally-created authority files, ARC must retain the unique record control number, assigned to each
                external record by the external controlling body.
3.4.1.34        When ARC imports records from internally-created authority files, ARC must retain the unique record control number, assigned to each
                record by NARA.
3.4.1.35        The unique record control number must be retained by ARC in the same field in which it existed in the external file.
3.4.1.36        ARC must support the maintenance of externally-created authority files through the ongoing creation, modification, and deletion of
                records in these files by NARA staff members.
Attachment 1 - Section 3.0 Functional Requirements              NARA Archival Research Catalog                                                                 27



                Requirement
3.4.1.37        ARC must support the ability to do maintenance updates to existing authority records (i.e., import the latest version of an authority file).

3.4.1.38        When performing maintenance updates of authority files, ARC must use the unique record control number, as the match point (see
                Requirements 3.4.1.33 and 3.4.1.34).
3.4.1.39        When maintenance updates are performed, the System Administrator(s) can determine which field(s) or sub-field(s) in an existing ARC
                authority are to be retained during a maintenance overlay operation.
3.4.1.40        When maintenance updates are performed, the System Administrator(s) can determine, using the unique data element which
                designates the authority source file, which field(s) or sub-field(s) in an existing ARC authority are to be retained during a maintenance
                overlay operation.
3.4.1.41        When maintenance updates are performed, the System Administrator(s) can determine which field(s) or sub-field(s) in an existing ARC
                authority are to be discarded during a maintenance overlay operation.
3.4.1.42        When maintenance updates are performed, the System Administrator(s) can determine which field(s) or sub-field(s) in an incoming
                authority record are to be appended to an existing ARC authority record.
3.4.1.43        When maintenance updates are performed, the System Administrator(s) can profile different maintenance requirements dependent
                upon the different authority files being maintained.
3.4.1.44        ARC must support the import of records from internally-created (NARA-created) authority files in the following formats:
           a.   ASCII delimited
           b.   ASCII relational file format
           c.   USMARC authority format
3.4.1.45        ARC must support the maintenance of internally-created authority files through the ongoing creation, modification, and deletion of
                records in these files by NARA staff members.
3.4.1.46        Authority files shall be available to staff and public users for display and search statement formulation.
3.4.1.47        When displaying bibliographic descriptive records or Agency History records, any fields or sub-fields controlled by a valid main heading
                must contain electronic links back to the authority record which controls that heading.
3.4.1.48        A preview display of authority records shall be the default with the full display of the authority record available without re-keying the
                search.
3.4.1.50        ARC shall allow select users to merge authority records.
3.4.1.51        When authority records are merged, all links to bibliographic descriptive records and Agency History records will be maintained and
                linked to the retained authority record.
3.4.1.52        When displaying bibliographic descriptive records and Agency History records, any fields or sub-fields controlled by a valid main
                heading must contain electronic links back to the authority record which controls that heading.
3.4.1.53        ARC must support corporate name authority records which contain historic information relating to the establishment of the corporate
                body.
3.4.1.54        Corporate name authority records must be available to public users from a browse or keyword search.
3.4.1.55        ARC must support personal name authority records which contain extensive biographical information about the person.
3.4.1.56        Personal name authority records must be available to public users from a browse or keyword search.
Attachment 1 - Section 3.0 Functional Requirements                   NARA Archival Research Catalog                                                        28



                Requirement
3.4.1.57        When maintenance updates are performed, authorized users can profile global changes in an individual field of:
           a.   all authority records in any one authority file.
           b.   all authority records in all authority files.
           c.   all authority records in selected authority files
3.4.1.58        When maintenance updates are performed, authorized users can profile global changes in multiple fields of:
           a.   all authority records in any one authority file.
           b.   all authority records in all authority files.
           c.   all authority records in selected authority files
3.4.1.59        When maintenance updates are performed, authorized users can profile global changes in an individual sub-field of:
           a.   all authority records in any one authority file.
           b.   all authority records in all authority files.
           c.   all authority records in selected authority files
3.4.1.60        When maintenance updates are performed, authorized users can profile global changes in multiple sub-fields of:
           a.   all authority records in any one authority file.
           b.   all authority records in all authority files.
           c.   all authority records in selected authority files
3.4.1.61        When maintenance updates are performed, authorized users can profile global changes to individually delimited strings within a field of:

           a.   all authority records in any one authority file.
           b.   all authority records in all authority files.
           c.   all authority records in selected authority files
3.4.1.62        When maintenance updates are performed, authorized users can profile global changes to multiple delimited strings within a field of:

           a.   all authority records in any one authority file.
           b.   all authority records in all authority files.
           c.   all authority records in selected authority files.
Attachment 1 - Section 3.0 Functional Requirements            NARA Archival Research Catalog                                                                 29



               Requirement
3.4.2          Non-Standard Authority Requirements (Agency History Record Type)
3.4.2.1        ARC must support authority records where there are multiple valid main headings.
3.4.2.2        ARC must support authority records, with multiple valid main headings, where some or all of the valid main headings are derived from
               other authority records in the ARC database.
3.4.2.3        For authority records with multiple main headings, where some or all of the valid main headings are derived from other authority records
               in the ARC database, ARC must designate a unique data element in each main heading field which represents the authority record from
               which the heading was derived.
3.4.2.4        ARC must support authority records which contain multiple valid main headings, where some of the main headings derive their authority
               control from one authority control rules set, and other headings derive their authority control from another authority control rules set.

3.4.2.5        In authority records with multiple main headings, each heading must maintain links to all bibliographic descriptive records using those
               headings.
3.4.2.6        When a public user browses an authorized heading index and selects a heading which is associated with an authority record that has
               multiple valid main headings, ARC will display an intermediate browse display screen prior to a display of bibliographic descriptive
               records.
3.4.2.7        An intermediate browse display screen must display all of the valid main headings associated with the authority record.
3.4.2.8        An intermediate browse display screen will display the number of bibliographic descriptive records linked to each of the valid main
               headings (just as a normal browse display screen would).
3.4.2.9        An intermediate browse display screen will also display an entry item at the bottom of the list where all bibliographic descriptive records
               linked to all the valid main headings can be retrieved.
3.4.2.10       An intermediate browse display screen will also display an option to retrieve the full authority record for the display list.
Attachment 1 - Section 3.0 Functional Requirements          NARA Archival Research Catalog                                                     30



               Requirement
3.5            Reference Module
3.5.1      General Search Requirements
3.5.1.2    ARC supports both keyword searches and browse searches from any search window.
3.5.1.3    ARC supports special keyword searches of browse indexes, as described in Section 3.5.3.
3.5.1.4    ARC supports non-case-sensitive searching by default.
3.5.1.6    ARC disregards diacritics in search terms.
3.5.1.7    ARC ignores all punctuation in search statements.
3.5.1.8    ARC enables users to edit a search statement either before or after they have executed it.
3.5.1.11   ARC enables the user to clear any or all of the saved search results set(s) throughout the course of a session.
3.5.1.12   ARC saves the search history throughout the course of a search session, including the number of records retrieved by each search
           strategy.
3.5.1.13   Search results sets are able to be saved to a file, printed, displayed to a screen, or output to e-mail.
           Search
3.5.1.A323+A26514 strategies are able to be saved to a file for use in a later search session.
3.5.1.15   ARC supports a basic search, an advanced search, and an unlimited number of System Administrator-defined searches.
3.5.1.17   When a search is executed, ARC displays an indicator that the search is being processed.
3.5.1.18   ARC enables the user to clear the search strategy from the screen.
3.5.1.19   ARC enables authorized users to search null data in a field or sub-field.
3.5.2      Browse Search Requirements
3.5.2.1    ARC supports alphanumeric browse searching of indexes, the values of which have been derived either from controlled lists of
           terminology or from thesauri.
3.5.2.2    The System Administrator can create and modify indexes available for browse searching.
3.5.2.3    ARC allows the System Administrator(s) to create an unlimited number of indexes from the browse indexed data elements.
3.5.2.4    ARC allows the System Administrator(s) to provide an unlimited number of browse indexes specific to each record type.
3.5.2.5    As part of ongoing system management the System Administrator(s) must be able to determine which of the browse indexes are made
           available to public users at any given time.
3.5.2.6    As part of ongoing system management, the System Administrator(s) must be able to change the number of browse indexes made
           available to public users after ARC has been fully implemented, without direct intervention from the vendor.
3.5.2.7    As part of ongoing system management the System Administrator(s) must be able to determine the number of browse indexes made
           available to staff users and staff user groups at any given time.
3.5.2.8    As part of ongoing system management, the System Administrator(s) must be able to change the number of browse indexes made
           available to staff users and staff user groups after ARC has been fully implemented, without direct intervention from the vendor.

3.5.2.9        ARC shall support browse searching directly from the Description Module.
3.5.2.10       ARC shall support browse searching from the Reference Module.
3.5.2.11       ARC shall support browse searching directly from the Authority Control Module.
Attachment 1 - Section 3.0 Functional Requirements             NARA Archival Research Catalog                                                               31



                 Requirement
3.5.2.12         The results display of a browse search shall include the number of records in the database which contain the values shown in the
                 browse results set.
3.5.2.13         ARC shall support the following navigation within an alpha-numeric browse results set:
3.5.2.14         ARC enables staff users to browse the authority files.
3.5.2.15         ARC enables the user to browse the Archival Materials Set: Fundamental, File Unit, Item, as well the corresponding Archival Control
                 Group.
3.5.2.16         ARC shall support the following electronic link features within an alpha-numeric browse results set:
           a.    See references
           b.    See Also references
           c.    Related terms
           d.    Broader and narrower terms
3.5.2.17         A record selected from a browse results set in the Description Module should be immediately available for editing.
3.5.2.20         ARC must support the ability to index provisional headings for inclusion in browse indexes.
3.5.2.21         ARC must support the ability to allow the System Administrator(s) to determine whether to display or not display provisional headings to
                 the public.
3.5.2.22         ARC must support the ability to allow the System Administrator(s) to determine whether to display or not display provisional headings to
                 any or all staff user groups.
3.5.3            Special Browse Index: Keyword Search Requirements
3.5.3.1          ARC must support the ability to provide keyword indexing of the browse indexes to create special indexes.
3.5.3.2          ARC must provide keyword search access to these special indexes by staff and public users.
3.5.3.3          Keyword search access to these special indexes must support:
           a.    Boolean Operators (AND, OR, NOT) in the search statement.
           b.    Proximity Operators (NEAR, WITH, WITHIN X, ADJACENT) in the search statement.
           c.    nesting within the Boolean search statement.
           d.    right hand truncation for one character in the search statement.
           e.    right hand truncation for multiple characters in the search statement
           f.    left hand truncation for one character in the search statement.
           g.    left hand truncation for multiple characters in the search statement.
           h.    internal wildcard insertion for one character in the search statement.
            i.   internal wildcard insertion for multiple characters in the search statement.
3.5.3.4          Special indexes results sets should display in alphanumeric order.
3.5.3.5          Special indexes results sets should display all occurrences of the term(s) searched, whether as a main heading, or as any subdivision(s)
                 of a pre-coordinated heading.
3.5.3.7          Navigation in the special index results list should follow the same rules as outlined in Requirement 3.5.2.13 and Requirement 3.5.2.16.

3.5.4            Keyword Search Requirements
Attachment 1 - Section 3.0 Functional Requirements           NARA Archival Research Catalog                                                          32



                Requirement
3.5.4.1         ARC supports keyword indexing of all fields and sub-fields in all record types.
3.5.4.2         ARC allows the System Administrator(s) to create an unlimited number of individual keyword indexes from the keyword indexed fields
                and sub-fields.
3.5.4.3         ARC allows the System Administrator(s) to create, modify and delete indexes after ARC has been fully implemented, without direct
                intervention from the vendor.
3.5.4.4         ARC allows the System Administrator(s) to provide an unlimited number of keyword indexes specific to each record type.
3.5.4.5         ARC supports keyword search access to all individual indexes (keyword searching).
3.5.4.6         As part of ongoing system management the System Administrator(s) must be able to determine which of the individual indexes are
                made available to public users at any given time.
3.5.4.7         As part of ongoing system management, the System Administrator(s) must be able to change the number of individual indexes made
                available to public users after ARC has been fully implemented, without direct intervention from the vendor.
3.5.4.8         As part of ongoing system management the System Administrator(s) must be able to determine the number of individual indexes made
                available to staff users and staff user groups at any given time.
3.5.4.9         As part of ongoing system management, the System Administrator(s) must be able to change the number of individual indexes made
                available to staff users and staff user groups after ARC has been fully implemented, without direct intervention from the vendor.

3.5.4.10        ARC shall support keyword searching directly from the Description Module.
3.5.4.11        ARC shall support keyword searching from the Reference Module.
3.5.4.12        ARC shall support keyword searching directly from the Authority Control Module
3.5.4.13        Keyword search result sets should highlight the search term(s) when displaying the results.
3.5.4.14        ARC shall support the following navigation within a keyword search results set:
           a.   Page up through the list of records
           b.   Page down through the list of records
3.5.4.15        ARC enables the user to select one or more records from a results set for display.
3.5.4.16        Keyword search access to keyword indexes must support Boolean Operators (AND, OR, NOT) in the search statement.
3.5.4.17        Keyword search access to keyword indexes must support Proximity Operators (NEAR, WITH, WITHIN X, ADJACENT) in the search
                statement.
3.5.4.18        Keyword search access to these keyword indexes must support nesting within the Boolean search statement.
3.5.4.19        Keyword search access to these keyword indexes must support right hand truncation for one character in the search statement.

3.5.4.20        Keyword search access to these keyword indexes must support right hand truncation for multiple characters in the search statement

3.5.4.21        Keyword search access to these keyword indexes must support left hand truncation for one character in the search statement.
3.5.4.22        Keyword search access to these keyword indexes must support left hand truncation for multiple characters in the search statement.
Attachment 1 - Section 3.0 Functional Requirements            NARA Archival Research Catalog                                                              33



                Requirement
3.5.4.23        Keyword search access to these keyword indexes must support internal wildcard insertion for one character in the search statement.

3.5.4.24        Keyword search access to these keyword indexes must support internal wildcard insertion for multiple characters in the search
                statement.
3.5.4.25        ARC should support keyword search statement creation as a single search statement.
3.5.4.26        ARC should support keyword search statement creation through the use of a system-guided search statement template.
3.5.4.27        ARC interprets non-specific dates in a search statement as follows:
           a.   If no specific value is entered for the "day of the month" value of a begin date, ARC interprets it as the first day of that month for
                purposes of searching.
           b.   If no specific value is entered for the "day of the month" value of an end date, ARC interprets it as the last day of that month.
           c.   If no specific value is entered for the "month" value of a begin date, ARC interprets it as"January" for purposes of searching.
           d.   If no specific value is entered for the "month" value of an end date, ARC interprets it as December.
3.5.4.28        ARC provides the user with the capability to terminate search at any point.
3.5.4.29        ARC allows for more than one keyword index to be selected during one search.
3.5.4.30        The System Administrator(s) can provide staff users and staff user groups with the capability to create, edit and delete customized
                canned searches.
3.5.4.31        The System Administrator(s) can make these customized canned searches available to staff and public users.
3.5.5           Advanced Search Techniques
3.5.5.1         ARC must provide the following System Administrator(s)-maintained advanced searching capabilities:
3.5.5.2         Relevancy ranking of records retrieved
3.5.5.6         Phrase searching – ARC finds an exact match on a phrase, regardless of stop words, diacritics, punctuation.
3.5.6           Retrieval Displays for the GUI and Web
3.5.6.1         ARC must allow multiple display windows to be open simultaneously.
3.5.6.2         The System Administrator(s) determines what fields and sub-fields are displayed in a browse search results set display (see Section
                3.5.2).
3.5.6.3         The System Administrator(s) determines what fields and sub-fields are displayed in an intermediate browse search results set display
                (see Section 3.5.2).
3.5.6.4         The System Administrator(s) determines what fields and sub-fields are displayed in a keyword search results display (see Section 3.5.4)

3.5.6.5         The System Administrator(s) determines what fields and sub-fields are displayed in an special keyword/browse index search results
                display (see Section 3.5.3).
3.5.6.6         When viewing any search results set, ARC must prominently identify the record type, listed in Requirement 3.2.1, to which each record
                belongs.
3.5.6.7         When viewing any record, ARC must prominently identify the record type, listed in Requirement 3.2.1, to which that record belongs.
Attachment 1 - Section 3.0 Functional Requirements             NARA Archival Research Catalog                                                                34



                Requirement
3.5.6.8         When a user selects records from any search results set, ARC shall provide record views (screen displays) as defined by the System
                Administrator(s), for the following:
           a.   Full view(s), where the entire record is displayed with field labels.
           b.   Full view(s), where the entire record is displayed without field labels.
           c.   Brief view(s), where select fields are displayed with field labels
           d.   Brief view(s), where select fields are displayed without field labels
3.5.6.9         ARC must allow the System Administrator(s) to determine the default view for public and staff users or user groups via user and user
                group profiles.
3.5.6.10        ARC must allow the System Administrator(s) to determine which record views are available for any particular user or user group via user
                and user group profiles.
3.5.6.11         In all display windows, the System Administrator(s) determines the fields and sub-fields to be displayed.
3.5.6.12        In all display windows, the System Administrator(s) determines the text to be used for the field and sub-field labels.
3.5.6.13        In any record view, ARC uses highlighted, electronic links to allow navigation to related records or information for the following
                categories:
         a.     Fields and sub-fields under authority control to which additional records are linked
         b.     Digital surrogates
         c.     Finding aids
         d.     Agency history records and Person Authority File records
         e.     Web links
3.5.6.13.1      ARC must display digital surrogates with their intellectual description.
3.5.6.14        When displaying bibliographic descriptive records or Agency History record, any fields or sub-fields controlled by a valid main heading
                must contain electronic links back to the authority record which controls that heading.
3.5.6.15        In the full record view, ARC must display a graphical representation displaying the position of the record, within the record hierarchy to
                which that record belongs (the Record Hierarchy Display).
3.5.6.16        The Record Hierarchy Display, should present a visual indication of all hierarchical levels above the current record.
3.5.6.17        The Record Hierarchy Display, should present a visual indication of all hierarchical levels below the current record.
3.5.6.18        The Record Hierarchy Display, should present a visual indication of related records on the same hierarchical level.
3.5.6.19        Electronic links exist for all records displayed in the Record Hierarchy Display, allowing the user to navigate to a browse search results
                set that includes all of the records associated with that level of that current hierarchy.
3.5.6.20        When a user navigates from the Record Hierarchy Display to a specific level within that display, the browse search results set
                requirements outlined in Section 3.5.2 should be used.
3.5.6.21        In any search results set, the records should be consecutively numbered in the display.
3.5.6.22        From any search results set, the user may select multiple records for viewing.
3.5.6.23        From any search results set, the user may select multiple records for printing.
3.5.6.24        From any search results set, the user may select multiple records for saving to disk.
3.5.6.25        ARC supports record printing from all record views.
Attachment 1 - Section 3.0 Functional Requirements                NARA Archival Research Catalog                                                                  35



                 Requirement
3.5.6.28         In all search results sets, the System Administrator(s) determines the number of records to be displayed in a single window.
3.5.6.29         In all search results sets, ARC shall provide the user with an electronic link to the next set of records for display.
3.5.6.30         In all search results sets, ARC shall provide the user with an electronic link to the prior set of records for display.
3.5.6.31         During keyword searching retrieval, ARC supports a "not to exceed" limit, which can be modified by the System Administrator.
3.5.6.32         ARC will prompt the user to modify a search statement, when the number of retrieved records exceeds the limit.
3.5.6.33         ARC allows the System Administrator(s) to provide staff users and staff user groups with an option to override the "not to exceed" limit.

3.5.7            Retrieval Sorts and Limits for the GUI and Web
3.5.7.1          ARC provides users with a System Administrator(s)-defined default sort for displaying search results sets.
3.5.7.2          ARC enables users to choose from a list of System Administrator(s)-defined sort options for display. Available sort options shall include:

           a.    Alphanumerically by first filed term in any text field or sub-field except fields designated as variable-length character (no length limit) in
                 the ARC Data Dictionary
           b.    Numeric/Alphabetic by first filed term in any text field or sub-field except fields designated as variable-length character (no length limit)
                 in the ARC Data Dictionary
           c.    For date fields, sort on the component fields (i.e., year, month, day, or flag)
           d.    Chronological order by date
           e.    Chronological order by date including date qualifiers (as defined in the Data Dictionary)
           f.    Reverse chronological order by date
           g.    Reverse chronological order by date including date qualifiers (as defined in the Data Dictionary)
           h.    Chronological order by date of entry into the database
            i.   Reverse chronological order by date of entry into the database
            j.   Ascending by any numeric field or sub-field
           k.    Descending by any numeric field or sub-field
            l.   On rational data types
3.5.7.3          ARC enables users to choose from a list of System Administrator(s)-defined limit options for display. Available limit options must
                 include:
           a.    Date Range between two dates
           b.    Date Range outside two dates
           c.    General Record Type
           d.    Specific Record Type
           e.    Multiple Record Types
           f.    Language
           g.    NARA Unit
           h.    Records with attached digital surrogates
            i.   Archival Control Group number
Attachment 1 - Section 3.0 Functional Requirements               NARA Archival Research Catalog                                                              36



                Requirement
          k.    Media type
           l.   Comparison operators for numeric fields or sub-fields
3.5.7.4         When searches are limited to a specific AMS bibliographic descriptive record type, ARC is able to:
          a.    search all records not only at the specified level but also all records at lower levels of the hierarchy
          b.    retrieve all records, at the level to which the limit was applied, that include the search term(s)
          c.    retrieve all records, at the level to which the limit was applied, which are linked to lower level records that include the search term(s)

          d.    indicate why a record was retrieved even though the record does not include the search term(s)
3.5.7.5         When searches are limited to a specific AMS bibliographic descriptive record type, ARC is able to:
          a.    search all records not only at the specified level but also all records at higher levels of the hierarchy
          b.    retrieve records, at the level to which the limit was applied, that include the search term(s)
          c.    retrieve records, at the level to which the limit was applied, which are linked to higher level records that include the search term(s)

          d.    indicate why a record was retrieved even though the record does not include the search term(s)
3.5.7.6         ARC shall enable the user to apply an unlimited number of nested sorts on a results set.
3.5.7.7         ARC enables users to choose from a list of special System Administrator(s)-defined range operator limit options for display, as defined
                below:
          a.    Rational Integer where the limited value is equal to a value in a user-specified field or sub-field in a record
          b.    Rational Integer where the limited value is not equal to a value in a user-specified field or sub-field in a record
          c.    Rational Integer where the limited value is less than a value in a user-specified field or sub-field in a record
          d.    Rational Integer where the limited value is less than or equal to a value in a user-specified field or sub-field in a record
          e.    Rational Integer where the limited value is greater than a value in a user-specified field or sub-field in a record
           f.   Rational Integer where the limited value is greater than or equal to a value in a user-specified field or sub-field in a record
          g.    Date where the limited value is before the date value in a user-specified field or sub-field in a record
          h.    Date where the limited value is after the date value in a user-specified field or sub-field in a record
           i.   Date where the limited value is equal to the date value in a user-specified field or sub-field in a record
           j.   Date where the limited value is on or before the date value in a user-specified field or sub-field in a record
          k.    Date where the limited value is on or after the date value in a user-specified field or sub-field in a record
           l.   Character string where the limited value includes the character string in a user-specified field or sub-field in a record
          m.    Character string where the limited value is equal to the character string in a user-specified field or sub-field in a record
          n.    Character string where the limited value approximates the character string in a user-specified field or sub-field in a record.
3.6             Report Functions
3.6.1           General Report Requirements
3.6.1.1         FDI EXCEPTION
3.6.1.2         ARC provides the capability to generate user-defined reports.
3.6.1.3         All reports shall have the capability of being saved to a file, printed, displayed to a screen, or output to e-mail.
Attachment 1 - Section 3.0 Functional Requirements           NARA Archival Research Catalog                                                             37



               Requirement
3.6.1.4        The report functions will be password-protected and configured to allow authorized users to create or modify reports.
3.6.1.5        Based on user authorization, all data in the system is usable as selection criteria in generating custom reports, lists, products, and
               statistics.
3.6.1.6        All search requirements listed in Section 3.5, and following subsections, must be available for selecting and producing reports.
3.6.1.7        Reports available on the menu will allow the user to adjust all of the parameters of the report.
3.6.1.8        Reports can be scheduled with designations such as daily, weekly, or monthly.
3.6.1.10       User-defined reports can be generated through a "drag-and-drop" of required fields or sub-field into a standard report layout.
3.6.1.11       Reports can belong to individual users or shared among groups of users, as defined by the authorized user.
3.6.1.12       ARC is capable of calculating totals or subtotals of columns and rows of data.
3.6.1.13       ARC is capable of calculating counts or sub-counts of columns and rows of data.
3.6.1.14       ARC allows on-the-fly calculation based on values in selected fields or sub-fields.
3.6.1.15       ARC must display results from all completed calculations.
3.6.2          System Generated Reports
3.6.2.1        System-generated reports are either command driven or schedule-driven.
3.6.2.2        ARC enables the System Administrator(s) to set reports for automatic generation daily, weekly, or monthly.
3.6.2.3        ARC enables the System Administrator(s) to specify parameters for any field or sub-field contained within a system generated report.

3.6.2.4        ARC enables the System Administrator(s) to modify reports included with the software package.
3.6.2.5        ARC enables the System Administrator(s) to create system use reports for any user-specified period of time including hourly, daily,
               weekly, monthly, quarterly and annually.
Attachment 1 - Section 3.0 Functional Requirements             NARA Archival Research Catalog                                            38



                Requirement
3.6.3           User Defined Reports
3.6.3.1         ARC enables authorized users to create and store report templates for use at any time.
3.6.3.2         ARC enables authorized users to create labels for fields or sub-fields appearing in the report.
3.6.3.3         ARC enables the user to set limits on the amount of data displayed for fields or sub-fields.
3.6.3.4         ARC enables authorized users to define numerical rounding.
3.6.3.5         ARC enables authorized users to define report titles.
3.6.3.6         ARC provides access to external files if the file format is compatible (i.e., importing a graphic to use in a report).
3.6.3.7         ARC enables the authorized user to copy, modify, and save a report as a new report.
3.6.3.8         ARC allows user input of custom SQL statements.
3.6.3.9         ARC allows user-defined mathematical functions.
3.6.3.10        ARC allows user-defined sort sequence.
3.6.4           General Output Functions
3.6.4.1         Any data contained in a database or results of equations of items contained in the database can appear on a report.
3.6.4.5         ARC allows reports to be output in portrait or landscape format.
3.6.4.6         ARC enables the user to select a destination printer.
3.6.4.7         ARC enables the user to output:
           a.   Current record
           b.   Selected record(s)
           c.   All records
3.6.4.8         ARC allows reports to be attached to e-mail messages.
3.6.4.9         ARC enables the user to output results in extended ASCII file format.
3.6.4.10        ARC enables the user to output reports in delimited ASCII file format.
3.6.4.11        ARC enables the user to output reports in RTF file format.
3.6.4.12        ARC enables the user to output reports in HTML file format.
3.6.4.13        ARC enables the user to output reports in SGML/EAD (Encoded Archival Description) format.
3.6.4.14        ARC enables scheduled output of reports to a specified output location (printer, email, file, screen).
Attachment 1 - Section 3.0 Functional Requirements   NARA Archival Research Catalog   39




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Description: Definition of Surrogate Record in Information Retrieval document sample