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Traditional Backup & Restore (Database and Files)

AIP Backup & Restore

Supported Backup/Restore Types

 

 

Can Backup & Restore all DSpace Content easily

Yes (Requires two backups/restores – one for Database and one for Files)

Yes (Though, will not backup/restore items which are not officially "in archive")

Can Backup & Restore a Single Community/Collection/Item easily

No (It is possible, but requires a strong understanding of DSpace database structure & folder organization in order to only backup & restore metadata/files belonging to that single object)

Yes

Backups can be used to move one or more Community/Collection/Items to another DSpace system easily.

No (Again, it is possible, but requires a strong understanding of DSpace database structure & folder organization in order to only move metadata/files belonging to that object)

Yes

Can Backup & Restore Item VersionsYes (Requires two backups/restores – one for Database and one for Files)No (Currently Item Level Versioning is not fully compatible with AIP Backup & Restore. AIP Backup & Restore can only backup/restore the latest version of an Item)

Supported Object Types During Backup & Restore

 

 

Supports backup/restore of all Communities/Collections/Items (including metadata, files, logos, etc.)

Yes

Yes

Supports backup/restore of all People/Groups/Permissions

Yes

Yes

Supports backup/restore of all Collection-specific Item Templates

Yes

Yes

Supports backup/restore of all Collection Harvesting settings (only for Collections which pull in all Items via OAI-PMH or OAI-ORE)

Yes

No (This is a known issue. All previously harvested Items will be restored, but the OAI-PMH/OAI-ORE harvesting settings will be lost during the restore process.)

Supports backup/restore of all Withdrawn (but not deleted) Items

Yes

Yes

Supports backup/restore of Item Mappings between Collections

Yes

Yes (During restore, the AIP Ingester may throw a false "Could not find a parent DSpaceObject" error (see AIP Backup and Restore#Common Common Issues or Error Messages), if it tries to restore an Item Mapping to a Collection that it hasn't yet restored. But this error can be safely bypassed using the 'skipIfParentMissing' flag (see AIP Backup and Restore#Additional Additional Packager Options for more details).

Supports backup/restore of all in-process, uncompleted Submissions (or those currently in an approval workflow)

Yes

No (AIPs are only generated for objects which are completed and considered "in archive")

Supports backup/restore of Items using custom Metadata Schemas & Fields

Yes

Yes (Custom Metadata Fields will be automatically recreated. Custom Metadata Schemas must be manually created first, in order for DSpace to be able to recreate custom fields belonging to that schema. See AIP Backup and Restore#Common Common Issues or Error Messages for more details.)

Supports backup/restore of all local DSpace Configurations and Customizations

Yes (if you backup your entire DSpace directory as part of backing up your files)

Not by default (unless your also backup parts of your DSpace directory – note, you wouldn't need to backup the '[dspace]/assetstore' folder again, as those files are already included in AIPs)

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Makeup and Definition of AIPs

AIPs are Archival Information Packages

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  • AIP is a package describing one archival objectobject in DSpace.
    • The archival object may be a single Item, Collection, Community, or Site (Site AIPs contain site-wide information). Bitstreams are included in an Item's AIP.
    • Each AIP is logically self-contained, can be restored without rest of the archive. (So you could restore a single Item, Collection or Community)
    • Collection or Community AIPs do not include all child objects (e.g. Items in those Collections or Communities), as each AIP only describes one object. However, these container AIPs do contain references (links) to all child objects. These references can be used by DSpace to automatically restore all referenced AIPs when restoring a Collection or Community.
    • AIPs are only generated for objects which are currently in the "in archive" state in DSpace. This means that in-progress, uncompleted submissions are not described in AIPs and cannot be restored after a disaster. Permanently removed objects will also no longer be exported as AIPs after their removal. However, withdrawn objects will continue to be exported as AIPs, since they are still considered under the "in archive" status.
    • AIPs with identical contents will always have identical checksums. This provides a basic means of validating whether the contents within an AIP have changed. For example, if a Collection's AIP has the same checksum at two different points in time, it means that Collection has not changed during that time period.
    • AIP profile favors completeness and accuracy rather than presenting the semantics of an object in a standard format. It conforms to the quirks of DSpace's internal object model rather than attempting to produce a universally understandable representation of the object. When possible, an AIP tries to use common standards to express objects.
    • An AIP can serve as a DIP (Dissemination Information Package) or SIP (Submission Information Package), especially when transferring custody of objects to another DSpace implementation.
    • In contrast to SIP or DIP, the AIP should include all available DSpace structural and administrative metadata, and basic provenance information. AIPs also describe some basic system level information (e.g. Groups and People).

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For more specific details of AIP format / structure, along with examples, please see DSpace AIP Format.

Running the Code

Exporting AIPs

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To export in single AIP mode (default), use this '"packager' " command template:

Code Block
 [dspace]/bin/dspace packager -d -t AIP -e <eperson> -i <handle> <file-path>

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It's worth understanding the primary differences between a Submission (specified by -s parameter) and a Restore (specified by -r parameter).

  • Submission Mode (-smode) - creates a new object (AIP is treated like a SIP)
    • By default, a new Handle is always assigned
      • However, you can force it to use the handle specified in the AIP by specifying -o ignoreHandle=false as one of your parameters
    • By default, a new Parent object must be specified (using the -pparameter). This is the location where the new object will be created.
      • However, you can force it to use the parent object specified in the AIP by specifying -o ignoreParent=false as one of your parameters
    • By default, will respect a Collection's Workflow process when you submit an Item to a Collection
      • However, you can specifically skip any workflow approval processes by specifying -w parameter.
    • Always adds a new Deposit License to Items
    • Always adds new DSpace System metadata to Items (includes new 'new "dc.date.accessioned'", '"dc.date.available'", '"dc.date.issued' " and '"dc.description.provenance' entries)" entries)
    • WARNING: Submission mode may not be able to maintain Item Mappings between Collections.  Because these mappings are recorded via the Collection Handles, mappings may be restored improperly if the Collection handle has changed when moving content from one DSpace instance to another.
  • Restore / Replace Mode (-rmode) - restores a previously existing object (as if from a backup)
    • By default, the Handle specified in the AIP is restored
      • However, for restores, you can force a new handle to be generated by specifying -o ignoreHandle=true as one of your parameters. (NOTE: Doesn't work for replace mode as the new object always retains the handle of the replaced object)
      • (info) Although a Restore/Replace does restore Handles, it will not necessarily restore the same internal IDs in your Database.
    • By default, the object is restored under the Parent specified in the AIP
      • However, for restores, you can force it to restore under a different parent object by using the -p parameter. (NOTE: Doesn't work for replace mode, as the new object always retains the parent of the replaced object)
    • Always skips any Collection workflow approval processes when restoring/replacing an Item in a Collection
    • Never adds a new Deposit License to Items (rather it restores the previous deposit license, as long as it is stored in the AIP)
    • Never adds new DSpace System metadata to Items (rather it just restores the metadata as specified in the AIP)
Note
titleChanging Submission/Restore Behavior

It is possible to change some of the default behaviors of both the Submission and Restore/Replace Modes. Please see the AIP Backup and Restore#Additional Additional Packager Options section below for a listing of command-line options that allow you to override some of the default settings described above.

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The Submission mode (-s) always creates a new object with a newly assigned handle. In addition by default it respects all existing Collection approval workflows (so items may require approval unless the workflow is skipped by using the -w option). For information about how the "Submission Mode" differs from the "Replace / Restore mode", see AIP Backup and Restore#The The difference between "Submit" and "Restore/Replace" modes above.

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Warning
titleMay want to skip Collection Approvals Workflows

Please note: If you are submitting a larger amount of content (e.g. multiple Communities/Collections) to your DSpace, you may want to tell the 'packager' command to skip over any existing Collection approval workflows by using the -w flag. By default, all Collection approval workflows will be respected. This means if the content you are submitting includes a Collection with an enabled workflow, you may see the following occur:

  1. First, the Collection will be created & its workflow enabled
  2. Second, each Item belonging to that Collection will be created & placed into the workflow approval process

    Therefore, if this content has already received some level of approval, you may want to submit it using the -w flag, which will skip any workflow approval processes. For more information, see AIP Backup and Restore#Submitting Submitting AIP(s) while skipping any Collection Approval Workflows.
Warning
titleItem Mappings may not be maintained when submitting an AIP hierachy

When an Item is mapped to one or more Collections, this mapping is recorded in the AIP using the mapped Collection's handle. Unfortunately, since the submission mode (-s) assigns new handles to all objects in the hierarchy, this may mean that the mapped Collection's handle will have changed (or even that a different Collection will be available at the original mapped Collection's handle). DSpace does not have a way to uniquely identify Collections other than by handle, which means that item mappings are only able to be retained when the Collection handle is also retained.

If you encounter this issue, there are a few possible workarounds:

  1. Use the restore/replace mode (-r) instead, as it will retain existing Collection Handles. Unfortunately though, this may not work if the content is being moved from a Test DSpace to a Production DSpace, as these existing handles may not be valid.
  2. OR, use the submission mode with the "--o ignoreHandle=false". This will also retain existing Collection Handles. Unfortunately though, this may not work if the content is being moved from a Test DSpace to a Production DSpace, as these existing handles may not be valid.
  3. OR, remove all existing Item Mappings and re-export AIPs (without Item Mappings). Then, import the hierarchy into the new DSpace instance (again without Item Mappings). Finally, recreate the necessary Item Mappings using a different tool, e.g. the Batch Metadata Editing tool supports bulk editing of Collection memberships/mappings.
Warning
titleMissing Missing Groups or EPeople cannot be created when submitting an individual Community or Collection AIP

Please note, if you are using AIPs to move an entire Community or Collection from one DSpace to another, there is a known issue (see DS-1105) that the new DSpace instance will be unable to (re-)create any DSpace Groups or EPeople which are referenced by a Community or Collection AIP. The reason is that the Community or Collection AIP itself doesn't contain enough information to create those Groups or EPeople (rather that info is stored in the SITE AIP, for usage during Full Site Restores).

However, there are two possible ways to get around this known issue:

  • EITHER, you can manually recreate all referenced Groups/EPeople in the new DSpace that you are submitting the Community or Collection AIP into.
    • Note that if you are using Groups named with DSpace Database IDs (e.g. COMMUNITY_1_ADMIN, COLLECTION_2_SUBMIT), you may first need to rename those groups to no longer include Database IDs (e.g. MY_SUBMITTERS). The reason is that Database IDs will likely change when you move a Community or Collection to a new DSpace installation.
  • OR, you can temporarily disable the import of Group/EPeople information when submitting the Community or Collection AIP to the new DSpace. This would mean that after you submit the AIP to the new DSpace, you'd have to manually go in and add in any special permissions (as needed). To disable the import of Group/EPeople information, add these settings to your dspace.cfgfile, and re-run the submission of the AIP with these settings in place:

    Code Block
    mets.dspaceAIP.ingest.crosswalk.METSRIGHTS = NIL
    mets.dspaceAIP.ingest.crosswalk.DSPACE-ROLES = NIL
    • Don't forget to remove these settings after you import your Community or Collection AIP. Leaving them in place will mean that every time you import an AIP, all of its Group/EPeople/Permissions would be ignored.

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This -w flag may also be used when AIP Backup and Restore#Submitting Submitting an AIP Hierarchy. For example, if you are migrating one or more Collections/Communities from one DSpace to another, you may choose to submit those AIPs with the -w option enabled. This will ensure that, if a Collection has a workflow approval process enabled, all its Items are available immediately rather than being all placed into the workflow approval process.

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Restoring is slightly different than just submitting. When restoring, we make every attempt to restore the object as it used to be (including its handle, parent object, etc.). For more information about how the "Replace/Restore Mode" differs from the "Submit mode", see AIP Backup and Restore#The The difference between "Submit" and "Restore/Replace" modes above.

There are currently three restore modes:

  1. AIP Backup and Restore#Default Default Restore Mode (-r) = Attempt to restore object (and optionally children). Rollback all changes if any object is found to already exist.
  2. AIP Backup and Restore#RestoreRestore, Keep Existing Mode (-r -k) = Attempt to restore object (and optionally children). If an object is found to already exist, skip over it (and all children objects), and continue to restore all other non-existing objects.
  3. AIP Backup and Restore#Force Force Replace Mode (-r -f) = Restore an object (and optionally children) and overwrite any existing objects in DSpace. Therefore, if an object is found to already exist in DSpace, its contents are replaced by the contents of the AIP. WARNING: This mode is potentially dangerous as it will permanently destroy any object contents that do not currently exist in the AIP. You may want to perform a secondary backup, unless you are sure you know what you are doing!

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Note
titleHighly Recommended to Update Database Sequences after a Large Restore

In some cases, when you restore a large amount of content to your DSpace, the internal database counts (called "sequences") may get out of sync with the Handles of the content you just restored. As a best practice, it is highly recommended to always re-run the "update-sequences.sql" script on your DSpace database after a larger scale restore. This database script can should be run while the system DSpace is online (i.e. no need to stopped (you may either stop Tomcat or PostgreSQL)just the DSpace webapps). PostgreSQL/Oracle must be running. The script can be found in the following locations for PostgreSQL and Oracle, respectively:
[dspace]/etc/postgres/update-sequences.sql
[dspace]/etc/oracle/update-sequences.sql

Info
titleMore Information on using Default Restore Mode with Community/Collection AIPs
  • Using the Default Restore Mode without the -a option, will only restore the metadata for that specific Community or Collection. No child objects will be restored.
  • Using the Default Restore Mode with the -a option, will only successfully restore a Community or Collection if that object along with any child objects (Sub-Communities, Collections or Items) do not already exist. In other words, if any objects belonging to that Community or Collection already exist in DSpace, the Default Restore Mode will report an error that those object(s) could not be recreated. If you encounter this situation, you will need to perform the restore using either the AIP Backup and Restore#RestoreRestore, Keep Existing Mode or the AIP Backup and Restore#Force Force Replace Mode (depending on whether you want to keep or replace those existing child objects).

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Note
titleHighly Recommended to Update Database Sequences after a Large Restore

In some cases, when you restore a large amount of content to your DSpace, the internal database counts (called "sequences") may get out of sync with the Handles of the content you just restored. As a best practice, it is highly recommended to always re-run the "update-sequences.sql" script on your DSpace database after a larger scale restore. This database script can should be run while the system DSpace is online (i.e. no need to stopped (you may either stop Tomcat or PostgreSQL)just the DSpace webapps). PostgreSQL/Oracle must be running. The script can be found in the following locations for PostgreSQL and Oracle, respectively:
 [dspace]/etc/postgres/update-sequences.sql
 [dspace]/etc/oracle/update-sequences.sql

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In additional to the various "modes" settings described under "AIP Backup and Restore#Running Running the Code" above, the AIP Packager supports the following packager options. These options allow you to better tweak how your AIPs are processed (especially during ingests/restores/replaces).

Option

Ingest or Export

Default Value

Description

createMetadataFields=[value]

ingest-only

true

Tells the AIP ingester to automatically create any metadata fields which are found to be missing from the DSpace Metadata Registry. When 'true', this means as each AIP is ingested, new fields may be added to the DSpace Metadata Registry if they don't already exist. When 'false', an AIP ingest will fail if it encounters a metadata field that doesn't exist in the DSpace Metadata Registry. (NOTE: This will not create missing DSpace Metadata Schemas. If a schema is found to be missing, the ingest will always fail.)

filterBundles=[value]

export-only

defaults to exporting all Bundles

This option can be used to limit the Bundles which are exported to AIPs for each DSpace Item. By default, all file Bundles will be exported into Item AIPs. You could use this option to limit the size of AIPs by only exporting certain Bundles. WARNING: any bundles not included in AIPs will obviously be unable to be restored. This option can be run in two ways:

  • Exclude Bundles: By default, you can provide a comma-separated list of bundles to be excluded from AIPs (e.g. "TEXT, THUMBNAIL")
  • Include Bundles: If you prepend the list with the "+" symbol, then the list specifies the bundles to be included in AIPs (e.g. "+ORIGINAL,LICENSE" would only include those two bundles). This second option is identical to using "includeBundles" option described below.

    (NOTE: If you choose to no longer export LICENSE or CC_LICENSE bundles, you will also need to disable the License Dissemination Crosswalks in the aip.disseminate.rightsMD configuration for the changes to take affect)

ignoreHandle=[value]

ingest-only

Restore/Replace Mode defaults to 'false',
Submit Mode defaults to 'true'

If 'true', the AIP ingester will ignore any Handle specified in the AIP itself, and instead create a new Handle during the ingest process (this is the default when running in Submit mode, using the -s flag). If 'false', the AIP ingester attempts to restore the Handles specified in the AIP (this is the default when running in Restore/replace mode, using the -r flag).

ignoreParent=[value]

ingest-only

Restore/Replace Mode defaults to 'false',
Submit Mode defaults to 'true'

If 'true', the AIP ingester will ignore any Parent object specified in the AIP itself, and instead ingest under a new Parent object (this is the default when running in Submit mode, using the -s flag). The new Parent object must be specified via the -p flag (run dspace packager -h for more help). If 'false', the AIP ingester attempts to restore the object directly under its old Parent (this is the default when running in Restore/replace mode, using the -r flag).

includeBundlesincludeBundles=[value]

export-only

defaults to "all"

This option can be used to limit the Bundles which are exported to AIPs for each DSpace Item. By default, all file Bundles will be exported into Item AIPs. You could use this option to limit the size of AIPs by only exporting certain Bundles. WARNING: any bundles not included in AIPs will obviously be unable to be restored. This option expects a comma separated list of bundle names (e.g. "ORIGINAL,LICENSE,CC_LICENSE,METADATA"), or "all" if all bundles should be included.

(See "filterBundles" option above if you wish to exclude particular Bundles. However, this "includeBundles" option cannot be used at the same time as "filterBundles".)

(NOTE: If you choose to no longer export LICENSE or CC_LICENSE bundles, you will also need to disable the License Dissemination Crosswalks in the aip.disseminate.rightsMD configuration for the changes to take affect)

manifestOnly=[value]

both import and export

false

If 'true', the AIP Disseminator will export an AIP which only consists of the only import/export a METS Manifest XML file (i.e. result will be a single an unzipped 'mets.xml' file), instead of a full AIP. This METS Manifest contains URI references to all content files, but does not contain any content files. This option is experimental , and and is meant for debugging purposes only. It should never be set to 'true' if you want to be able to restore content files. Again, please note that when you use this option, the final result will be an XML file, NOT the normal ZIP-based AIP format.

passwords=[value]

export-only

false

If 'true' (and the 'DSPACE-ROLES' crosswalk is enabled, see #AIP Metadata Dissemination Configurations), then the AIP Disseminator will export user password hashes (i.e. encrypted passwords) into Site AIP's METS Manifest. This would allow you to restore user's passwords from Site AIP. If 'false', then user password hashes are not stored in Site AIP, and passwords cannot be restored at a later time.

skipIfParentMissing=[value]

import-only

false

If 'true', ingestion will skip over any "Could not find a parent DSpaceObject" errors that are encountered during the ingestion process (Note: those errors will still be logged as "warning" messages in your DSpace log file). If you are performing a full site restore (or a restore of a larger Community/Collection hierarchy), you may encounter these errors if you have a larger number of Item mappings between Collections (i.e. Items which are mapped into several collections at once). When you are performing a recursive ingest, skipping these errors should not cause any problems. Once the missing parent object is ingested it will automatically restore the Item mapping that caused the error. For more information on this "Could not find a parent DSpaceObject" error see AIP Backup and Restore#Common Common Issues or Error Messages.

unauthorized=[value]

export-only

unspecified

If 'skip', the AIP Disseminator will skip over any unauthorized Bundle or Bitstream encountered (i.e. it will not be added to the AIP). If 'zero', the AIP Disseminator will add a Zero-length "placeholder" file to the AIP when it encounters an unauthorized Bitstream. If unspecified (the default value), the AIP Disseminator will throw an error if an unauthorized Bundle or Bitstream is encountered.

updatedAfter=[value]

export-only

unspecified

This option works as a basic form of "incremental backup". This option requires that an ISO-8601 date is specified. When specified, the AIP Disseminator will only export Item AIPs which have a last-modified date after the specified ISO-8601 date. This option has no affect on the export of Site, Community or Collection AIPs as DSpace does not record a last-modified date for Sites, Communities or Collections. For example, when this option is specified during a full-site export, the AIP Disseminator will export the Site AIP, all Community AIPs, all Collection AIPs, and only Item AIPs modified after that date and time.

validate=[value]

both import and export

Export defaults to 'true',
Ingest defaults to 'false'

If 'true', every METS file in AIP will be validated before ingesting or exporting. By default, DSpace will validate everything on export, but will skip validation during import. Validation on export will ensure that all exported AIPs properly conform to the METS profile (and will throw errors if any do not). Validation on import will ensure every METS file in every AIP is first validated before importing into DSpace (this will cause the ingestion processing to take longer, but tips on speeding it up can be found in the "AIP Backup and Restore#AIP Configurations To Improve Ingestion Speed while Validating" section below). DSpace recommends minimally validating AIPs on export. Ideally, you should validate both on export and import, but import validation is disabled by default in order to increase the speed of AIP restores.

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Code Block
 [dspace]/bin/dspace packager -r -a -t AIP -o [option1-]=[value] -o [option2-]=[value] -e admin@myu.edu aip4567.zip

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Issue / Error Message

How to Fix this Problem

Ingest/Restore Error: "Group Administrator already exists"

If you receive this problem, you are likely attempting to Restore an Entire Site, but are not running the command in Force Replace Mode (-r -f). Please see the section on Restoring an Entire Site for more details on the flags you should be using.

Ingest/Restore Error: "Unknown Metadata Schema encountered (mycustomschema)"

If you receive this problem, one or more of your Items is using a custom metadata schema which DSpace is currently not aware of (in the example, the schema is named "mycustomschema"). Because DSpace AIPs do not contain enough details to recreate the missing Metadata Schema, you must create it manually via the DSpace Admin UI. Please note that you only need to create the Schema. You do not need to manually create all the fields belonging to that schema, as DSpace will do that for you as it restores each AIP. Once the schema is created in DSpace, re-run your restore command. DSpace will automatically re-create all fields belonging to that custom metadata schema as it restores each Item that uses that schema.

Ingest Error: "Could not find a parent DSpaceObject referenced as 'xxx/xxx'"

When you encounter this error message it means that an object could not be ingested/restored as it belongs to a parent object which doesn't currently exist in your DSpace instance. During a full restore process, this error can be skipped over and treated as a warning by specifying the 'skipIfParentMissing=true' option (see AIP Backup and Restore#Additional Additional Packager Options). If you have a larger number of Items which are mapped to multiple Collections, the AIP Ingester will sometimes attempt to restore an item mapping before the Collection itself has been restored (thus throwing this error). Luckily, this is not anything to be concerned about. As soon as the Collection is restored, the Item Mapping which caused the error will also be automatically restored. So, if you encounter this error during a full restore, it is safe to bypass this error message using the 'skipIfParentMissing=true' option. All your Item Mappings should still be restored correctly.

Submit Error: PSQLException: ERROR: duplicate key value violates unique constraint "handle_handle_key"

This error means that while submitting one or more AIPs, DSpace encountered a Handle conflict. This is a general error the may occur in DSpace if your Handle sequence has somehow become out-of-date. However, it's easy to fix. Just run the [dspace]/etc/postgres/update-sequences.sql script (or if you are using Oracle, run: [dspace]/etc/oracle/update-sequences.sql).