DSpace 5.x Documentation

DSpace 5.x Documentation
DSpace 5.x Documentation
DSpace 5.x
Documentation
Author:
The DSpace Developer Team
Date:
29 September 2016
URL:
https://wiki.duraspace.org/display/DSDOC5x
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DSpace 5.x Documentation
Table of Contents
1 Introduction ___________________________________________________________________________ 7
1.1
1.2
Release Notes ____________________________________________________________________ 8
1.1.1
5.6 Release Notes ___________________________________________________________ 8
1.1.2
5.5 Release Notes ___________________________________________________________ 9
1.1.3
5.4 Release Notes __________________________________________________________ 10
1.1.4
5.3 Release Notes __________________________________________________________ 12
1.1.5
5.2 Release Notes __________________________________________________________ 13
1.1.6
5.1 Release Notes __________________________________________________________ 14
1.1.7
5.0 Release Notes __________________________________________________________ 15
1.1.8
Acknowledgments __________________________________________________________ 18
Functional Overview _______________________________________________________________ 20
1.2.1
Online access to your digital assets ____________________________________________ 22
1.2.2
Metadata Management ______________________________________________________ 23
1.2.3
Licensing _________________________________________________________________ 26
1.2.4
Persistent URLs and Identifiers ________________________________________________ 27
1.2.5
Getting content into DSpace __________________________________________________ 28
1.2.6
Getting content out of DSpace ________________________________________________ 31
1.2.7
User Management __________________________________________________________ 33
1.2.8
Access Control ____________________________________________________________ 34
1.2.9
Usage Metrics _____________________________________________________________ 36
1.2.10
Digital Preservation ________________________________________________________ 37
1.2.11
System Design ___________________________________________________________ 38
2 Installing DSpace ______________________________________________________________________ 41
2.1
For the Impatient _________________________________________________________________ 41
2.2
Hardware Recommendations ________________________________________________________ 42
2.3
2.4
2.5
Prerequisite Software ______________________________________________________________ 42
2.3.1
UNIX-like OS or Microsoft Windows ____________________________________________ 43
2.3.2
Oracle Java JDK 7 or OpenJDK 7 _____________________________________________ 43
2.3.3
Apache Maven 3.0.5+ (Java build tool) __________________________________________ 44
2.3.4
Apache Ant 1.8 or later (Java build tool) _________________________________________ 45
2.3.5
Relational Database: (PostgreSQL or Oracle) ____________________________________ 45
2.3.6
Servlet Engine (Apache Tomcat 7 or later, Jetty, Caucho Resin or equivalent) ___________ 46
2.3.7
Perl (only required for [dspace]/bin/dspace-info.pl) _________________________________ 47
Installation Instructions _____________________________________________________________ 48
2.4.1
Overview of Install Options ___________________________________________________ 48
2.4.2
Overview of DSpace Directories _______________________________________________ 49
2.4.3
Installation ________________________________________________________________ 50
Advanced Installation ______________________________________________________________ 60
2.5.1
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'cron' jobs / scheduled tasks __________________________________________________ 60
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DSpace 5.x Documentation
2.5.2
Multilingual Installation ______________________________________________________ 60
2.5.3
DSpace over HTTPS ________________________________________________________ 61
2.5.4
The Handle Server _________________________________________________________ 67
2.5.5
Google and HTML sitemaps __________________________________________________ 69
2.5.6
Statistics _________________________________________________________________ 70
2.6
Windows Installation _______________________________________________________________ 70
2.7
Checking Your Installation __________________________________________________________ 71
2.8
Known Bugs _____________________________________________________________________ 71
2.9
Common Problems ________________________________________________________________ 71
2.9.1
Common Installation Issues __________________________________________________ 72
2.9.2
General DSpace Issues _____________________________________________________ 73
3 Upgrading DSpace ____________________________________________________________________ 75
3.1
Backup your DSpace ______________________________________________________________ 77
3.2
Update Prerequisite Software (as necessary) ___________________________________________ 77
3.3
Upgrade Steps ___________________________________________________________________ 78
3.4
Troubleshooting Upgrade Issues _____________________________________________________ 84
3.4.1
Manually Upgrading Solr Indexes ______________________________________________ 84
3.4.2
"Property was circularly defined" errors _________________________________________ 86
4 Using DSpace ________________________________________________________________________ 87
4.1
4.2
4.3
Authentication and Authorization _____________________________________________________ 87
4.1.1
Authentication Plugins _______________________________________________________ 87
4.1.2
Embargo ________________________________________________________________ 109
4.1.3
Managing User Accounts ___________________________________________________ 129
4.1.4
Request a Copy __________________________________________________________ 133
Exporting Content and Metadata ____________________________________________________ 142
4.2.1
OAI ____________________________________________________________________ 142
4.2.2
Exchanging Content Between Repositories _____________________________________ 162
4.2.3
SWORDv1 Client _________________________________________________________ 163
4.2.4
Linked (Open) Data ________________________________________________________ 164
Ingesting Content and Metadata ____________________________________________________ 177
4.3.1
Submission User Interface __________________________________________________ 177
4.3.2
Configurable Workflow _____________________________________________________ 206
4.3.3
Importing and Exporting Content via Packages __________________________________ 218
4.3.4
Importing and Exporting Items via Simple Archive Format __________________________ 225
4.3.5
Registering Bitstreams via Simple Archive Format ________________________________ 238
4.3.6
Importing Items via basic bibliographic formats (Endnote, BibTex, RIS, TSV, CSV) and online
services (OAI, arXiv, PubMed, CrossRef, CiNii) ___________________________________________ 241
4.4
4.3.7
Importing Community and Collection Hierarchy __________________________________ 248
4.3.8
SWORDv1 Server _________________________________________________________ 250
4.3.9
SWORDv2 Server _________________________________________________________ 257
4.3.10
Ingesting HTML Archives __________________________________________________ 267
Items and Metadata ______________________________________________________________ 268
4.4.1
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Authority Control of Metadata Values __________________________________________ 268
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DSpace 5.x Documentation
4.5
4.4.2
Batch Metadata Editing _____________________________________________________ 272
4.4.3
DOI Digital Object Identifier __________________________________________________ 281
4.4.4
Item Level Versioning ______________________________________________________ 291
4.4.5
Mapping Items ____________________________________________________________ 303
4.4.6
Metadata Recommendations ________________________________________________ 305
4.4.7
Moving Items _____________________________________________________________ 306
4.4.8
ORCID Integration _________________________________________________________ 307
4.4.9
PDF Citation Cover Page ___________________________________________________ 320
4.4.10
Updating Items via Simple Archive Format _____________________________________ 323
Managing Community Hierarchy ____________________________________________________ 326
4.5.1
4.6
4.7
Sub-Community Management _______________________________________________ 326
Statistics and Metrics _____________________________________________________________ 328
4.6.1
DSpace Google Analytics Statistics ___________________________________________ 328
4.6.2
Elasticsearch Usage Statistics _______________________________________________ 331
4.6.3
SOLR Statistics ___________________________________________________________ 335
User Interfaces __________________________________________________________________ 354
4.7.1
Discovery _______________________________________________________________ 354
4.7.2
Localization L10n _________________________________________________________ 377
4.7.3
JSPUI Configuration and Customization ________________________________________ 382
4.7.4
XMLUI Configuration and Customization _______________________________________ 384
5 System Administration _________________________________________________________________ 453
5.1
Introduction to DSpace System Administration _________________________________________ 453
5.2
AIP Backup and Restore __________________________________________________________ 454
5.3
5.4
5.5
5.2.1
Background & Overview ____________________________________________________ 455
5.2.2
Running the Code _________________________________________________________ 460
5.2.3
Command Line Reference __________________________________________________ 473
5.2.4
Configuration in 'dspace.cfg' _________________________________________________ 479
5.2.5
Common Issues or Error Messages ___________________________________________ 483
5.2.6
DSpace AIP Format _______________________________________________________ 484
Ant targets and options ___________________________________________________________ 503
5.3.1
Options _________________________________________________________________ 503
5.3.2
Targets _________________________________________________________________ 504
Command Line Operations ________________________________________________________ 505
5.4.1
Executing command line operations ___________________________________________ 505
5.4.2
Available operations _______________________________________________________ 506
5.4.3
Executing streams of commands _____________________________________________ 507
5.4.4
Database Utilities _________________________________________________________ 508
Legacy methods for re-indexing content ______________________________________________ 509
5.5.1
Overview ________________________________________________________________ 509
5.5.2
Re-Enabling the legacy Lucene Search and/or DBMS Browse providers ______________ 510
5.5.3
Creating the Browse & Search Indexes ________________________________________ 511
5.5.4
Running the Indexing Programs ______________________________________________ 512
5.5.5
Indexing Customization _____________________________________________________ 513
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DSpace 5.x Documentation
5.6
5.7
5.8
Mediafilters for Transforming DSpace Content _________________________________________ 518
5.6.1
MediaFilters: Transforming DSpace Content ____________________________________ 519
5.6.2
ImageMagic Media Filters ___________________________________________________ 524
Performance Tuning DSpace _______________________________________________________ 526
5.7.1
Review the number of DSpace webapps you have installed in Tomcat ________________ 527
5.7.2
Give Tomcat (DSpace UIs) More Memory ______________________________________ 527
5.7.3
Choosing the size of memory spaces allocated to DSpace _________________________ 529
5.7.4
Give the Command Line Tools More Memory ___________________________________ 530
5.7.5
Give PostgreSQL Database More Memory ______________________________________ 531
5.7.6
SOLR Statistics Performance Tuning __________________________________________ 532
Scheduled Tasks via Cron _________________________________________________________ 532
5.8.1
5.9
Recommended Cron Settings ________________________________________________ 532
Search Engine Optimization ________________________________________________________ 535
5.9.1
Ensuring your DSpace is indexed _____________________________________________ 535
5.9.2
Google Scholar Metadata Mappings ___________________________________________ 542
5.10
Troubleshooting Information _______________________________________________________ 542
5.11
Validating CheckSums of Bitstreams ________________________________________________ 543
5.11.1
Checksum Checker _______________________________________________________ 543
6 DSpace Development _________________________________________________________________ 548
6.1
6.2
6.3
Advanced Customisation __________________________________________________________ 548
6.1.1
Additions module __________________________________________________________ 548
6.1.2
Maven WAR Overlays ______________________________________________________ 548
6.1.3
DSpace Source Release ____________________________________________________ 548
6.1.4
DSpace Service Manager ___________________________________________________ 549
REST API ______________________________________________________________________ 552
6.2.1
What is DSpace REST API __________________________________________________ 552
6.2.2
Introduction to Jersey for developers __________________________________________ 558
6.2.3
Configuration for DSpace REST ______________________________________________ 559
6.2.4
Recording Proxy Access by Tools ____________________________________________ 559
6.2.5
Additional Information ______________________________________________________ 559
Curation System _________________________________________________________________ 560
6.3.1
Changes in 1.8 ___________________________________________________________ 561
6.3.2
Tasks ___________________________________________________________________ 561
6.3.3
Activation ________________________________________________________________ 562
6.3.4
Writing your own tasks _____________________________________________________ 562
6.3.5
Task Invocation ___________________________________________________________ 563
6.3.6
Asynchronous (Deferred) Operation ___________________________________________ 566
6.3.7
Task Output and Reporting __________________________________________________ 567
6.3.8
Task Properties ___________________________________________________________ 568
6.3.9
Task Annotations _________________________________________________________ 570
6.3.10
Scripted Tasks __________________________________________________________ 571
6.3.11
Bundled Tasks __________________________________________________________ 572
6.3.12
Curation tasks in Jython ___________________________________________________ 581
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DSpace 5.x Documentation
6.4
Date parser tester ________________________________________________________________ 583
7 DSpace Reference ___________________________________________________________________ 584
7.1
7.2
7.3
7.4
7.5
7.6
Configuration Reference __________________________________________________________ 584
7.1.1
General Configuration ______________________________________________________ 587
7.1.2
The build.properties Configuration Properties File ________________________________ 588
7.1.3
The dspace.cfg Configuration Properties File ____________________________________ 591
7.1.4
Optional or Advanced Configuration Settings ____________________________________ 668
Directories and Files ______________________________________________________________ 677
7.2.1
Overview ________________________________________________________________ 677
7.2.2
Source Directory Layout ____________________________________________________ 678
7.2.3
Installed Directory Layout ___________________________________________________ 679
7.2.4
Contents of JSPUI Web Application ___________________________________________ 680
7.2.5
Contents of XMLUI Web Application (aka Manakin) _______________________________ 680
7.2.6
Log Files ________________________________________________________________ 681
Metadata and Bitstream Format Registries ____________________________________________ 683
7.3.1
Default Dublin Core Metadata Registry (DC) ____________________________________ 683
7.3.2
Dublin Core Terms Registry (DCTERMS) _______________________________________ 686
7.3.3
Default Bitstream Format Registry ____________________________________________ 690
Architecture ____________________________________________________________________ 692
7.4.1
Overview ________________________________________________________________ 692
7.4.2
Application Layer __________________________________________________________ 694
7.4.3
Business Logic Layer ______________________________________________________ 705
7.4.4
DSpace Services Framework ________________________________________________ 738
7.4.5
Storage Layer ____________________________________________________________ 744
History ________________________________________________________________________ 752
7.5.1
Changes in 5.x ___________________________________________________________ 752
7.5.2
Changes in 4.x ___________________________________________________________ 768
7.5.3
Changes in 3.x ___________________________________________________________ 781
7.5.4
Changes in 1.8.x __________________________________________________________ 790
7.5.5
Changes in 1.7.x __________________________________________________________ 797
7.5.6
Changes in 1.6.x __________________________________________________________ 804
7.5.7
Changes in 1.5.x __________________________________________________________ 812
7.5.8
Changes in 1.4.x __________________________________________________________ 819
7.5.9
Changes in 1.3.x __________________________________________________________ 822
7.5.10
Changes in 1.2.x _________________________________________________________ 824
7.5.11
Changes in 1.1.x _________________________________________________________ 829
DSpace Item State Definitions ______________________________________________________ 830
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DSpace 5.x Documentation
1 Introduction
DSpace is an open source software platform that enables organisations to:
capture and describe digital material using a submission workflow module, or a variety of programmatic
ingest options
distribute an organisation's digital assets over the web through a search and retrieval system
preserve digital assets over the long term
This system documentation includes a functional overview of the system, which is a good introduction to the
capabilities of the system, and should be readable by non-technical folk. Everyone should read this section first
because it introduces some terminology used throughout the rest of the documentation.
For people actually running a DSpace service, there is an installation guide, and sections on configuration and
the directory structure.
Finally, for those interested in the details of how DSpace works, and those potentially interested in modifying
the code for their own purposes, there is a detailed architecture and design section.
Other good sources of information are:
The DSpace Public API Javadocs. Build these with the command mvn javadoc:javadoc
The DSpace Wiki contains stacks of useful information about the DSpace platform and the work people
are doing with it. You are strongly encouraged to visit this site and add information about your own work.
Useful Wiki areas are:
A list of DSpace resources (Web sites, mailing lists etc.)
Technical FAQ
A list of projects using DSpace
Guidelines for contributing back to DSpace
www.dspace.org has announcements and contains useful information about bringing up an instance of
DSpace at your organization.
The DSpace General List. Join DSpace-General to ask questions or join discussions about non-technical
aspects of building and running a DSpace service. It is open to all DSpace users. Ask questions, share
news, and spark discussion about DSpace with people managing other DSpace sites. Watch DSpaceGeneral for news of software releases, user conferences, and announcements from the DSpace
Federation.
The DSpace Technical List. DSpace developers help answer installation and technology questions,
share information and help each other solve technical problems through the DSpace-Tech mailing list.
Post questions or contribute your expertise to other developers working with the system.
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DSpace 5.x Documentation
The DSpace Development List. Join Discussions among DSpace Developers. The DSpace-Devel listserv
is for DSpace developers working on the DSpace platform to share ideas and discuss code changes to
the open source platform. Join other developers to shape the evolution of the DSpace software. The
DSpace community depends on its members to frame functional requirements and high-level
architecture, and to facilitate programming, testing, documentation and to the project.
1.1 Release Notes
Online Version of Documentation also available
This documentation was produced with Confluence software. A PDF version was generated directly
from Confluence. An online, updated version of this 5.x Documentation is also available at: https://wiki.
duraspace.org/display/DSDOC5x
Welcome to Release 5.6, a bug-fix release for the DSpace 5.x platform. For information on upgrading to
DSpace 5, please see Upgrading DSpace.
1.1.1 5.6 Release Notes
We highly recommend ALL users of DSpace 5.x upgrade to 5.6
DSpace 5.6 contains security fixes for the XMLUI and JSPUI and REST. To ensure your 5.x site is
secure, we highly recommend ALL DSpace 5.x users upgrade to DSpace 5.6 .
DSpace 5.6 upgrade instructions are available at: Upgrading DSpace
DSpace 5.6 is a security & bug fix release to resolve several issues located in previous 5.x releases. As it only
provides only bug/security fixes, DSpace 5.6 should constitute an easy upgrade from DSpace 5.x for most
users. No database changes or additional configuration changes should be necessary when upgrading from
DSpace 5.x to 5.6.
Major bug fixes include:
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DSpace 5.x Documentation
JSPUI, XMLUI, REST security fixes:
JSPUI and XMLUI
[HIGH SEVERITY] XML External Entity (XXE) vulnerability in pdfbox. (DS-3309 - requires a
JIRA account to access)
Reported by Seth Robbins
JSPUI, XMLUI and REST
[HIGH SEVERITY] Bitstreams of embargoed and/or withdrawn items can be accessed by
anyone. (DS-3097 - requires a JIRA account to access)
Reported by Franziska Ackermann
JSPUI security fix:
[HIGH SEVERITY] Any registered user can modify inprogress submission. (DS-2895 - requires a
JIRA account to access)
Reported by Andrea Bollini
REST security fix:
[HIGH SEVERITY] SQL Injection Vulnerability in 5.x REST API (DS-3250 - requires a JIRA
account to access)
Reported by Bram Luyten (Atmire)
Other minor fixes and improvements
JSPUI: Creative Commons license fails with fetch directy the url (instead use the Creative
Commons REST API) (DS-2604)
JSPUI: Upload a file, multifile, with a description text during the submission process ( DS-2623)
XMLUI: Recyclable Cocoon components should clear local variables (DS-3246)
METSRightsCrosswalk NPE During AIP Restore - No Anonymous Read (DS-3140)
AIP Restore is not respecting access restrictions (on Items) (DS-3266)
In addition, this release fixes minor bugs in the 5.x releases. For more information, see the Changes in 5.x
page.
1.1.2 5.5 Release Notes
We highly recommend ALL users of DSpace 5.x upgrade to 5.5
DSpace 5.5 contains security fixes for the XMLUI and JSPUI. To ensure your 5.x site is secure, we
highly recommend ALL DSpace 5.x users upgrade to DSpace 5.5.
DSpace 5.5 upgrade instructions are available at: Upgrading DSpace
DSpace 5.5 is a security & bug fix release to resolve several issues located in previous 5.x releases. As it only
provides only bug/security fixes, DSpace 5.5 should constitute an easy upgrade from DSpace 5.x for most
users. No database changes or additional configuration changes should be necessary when upgrading from
DSpace 5.x to 5.5.
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DSpace 5.x Documentation
Major bug fixes include:
XMLUI security fixes:
[HIGH SEVERITY] The XMLUI "themes/" path is vulnerable to a full directory traversal. ( DS-3094 requires a JIRA account to access.) This means that ANY files on your system which are readable
to the Tomcat user account may be publicly accessed via your DSpace website.
Reported by Virginia Tech
JSPUI security fixes:
[MEDIUM SEVERITY] The JSPUI "Edit News" feature (accessible to Administrators) can be used
to view/edit ANY files which are readable to the Tomcat user account (DS-3063 - requires a JIRA
account to access.)
Reported by CINECA
REST fixes
Fixed the "/handle" endpoint (DS-2936)
REST webapp wasn't registering itself on startup (DS-2946)
OAI fixes
Fixed a few incorrect URL encoding issue (DS-3050)
Fixed the broken "NOT" filter (DS-2820)
Configuration Fixes
Fixed misspelling in dcterms registry (conformsTo) (DS-2998)
Updated our default DataCite configurations to point at the updated DataCite test server (DS-2923
)
Other minor fixes
Broken SQL query in Item.findByMetadataFieldAuthority API method (DS-2517)
Mirage2: Ensured printing the item page from doesn't include bitstream URLs ( DS-2893)
In addition, this release fixes minor bugs in the 5.x releases. For more information, see the Changes in 5.x
page.
1.1.3 5.4 Release Notes
We highly recommend any JSPUI users of DSpace 5.x upgrade to 5.4
DSpace 5.4 contains security fixes for the JSPUI only. To ensure your 5.x site is secure, we highly
recommend JSPUI DSpace 5.x users upgrade to DSpace 5.4.
DSpace 5.4 is a bug fix release to resolve several issues found in DSpace 5.x. As it only provides only bug
fixes, DSpace 5.4 should constitute an easy upgrade from any other DSpace 5.x version for most users.
Beginning with DSpace 5.x, we also provide an easier upgrade process from any prior version of DSpace (1.x.x,
3.x or 4.x).
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DSpace 5.x Documentation
Major bug fixes include:
JSPUI security fixes:
[MEDIUM SEVERITY] Cross-site scripting (XSS injection) is possible in JSPUI search interface (in
Firefox web browser). (DS-2736 - requires a JIRA account to access for two weeks, and then will
be public): This vulnerability could allow someone to embed dangerous Javascript code into links
to search results. If a user was emailed such a link and clicked it, the javascript would be run in
their local browser. This vulnerability has existed since DSpace 3.x
Discovered by Genaro Contreras
[LOW SEVERITY] Expression language injection (EL Injection) is possible in JSPUI search
interface. (DS-2737 - requires a JIRA account to access for two weeks, and then will be public):
This vulnerability could allow someone to obtain information from the site/server using JSP syntax .
This vulnerability has existed since DSpace 3.x
Discovered by Genaro Contreras
Google Scholar fix:
Google Scholar metadata did not guarantee proper ordering of authors (DS-2679)
Search / Browse fixes (for Discovery/Solr):
Resolved a significant memory leak when searching/browsing (gradual leak) (DS-2869)
Resolved a significant memory spike when reindexing (only triggered when running "indexdiscovery" with no arguments) (DS-2832)
Fixes to allow fielded or boolean searches to work once again (DS-2699, DS-2803)
Solr logging was broken. It did not properly log to the "[dspace]/log/solr.log" files (DS-2790
)
OAI-PMH fixes:
Upgraded the XOAI library to 3.2.10 to resolve several issues
OAI did not support harvesting by date (YYYY-MM-DD) without a time ( DS-2524, DS-2542)
OAI getRecord was wrongly including all virtual sets (DS-2573)
OAI was ignoring the "dspace.oai.url" setting in "oai.cfg" (DS-2744)
REST API fixes:
/handle not reflecting updates (DS-2692)
/collections/<id>/items ignores offset parameter (DS-2719)
login/logout thread safety (DS-2830)
Deposit/Submission fixes:
Fix issue where if PubMed server is down submission lookup fails (DS-2813)
JSPUI: Allow reviewers to upload files (DS-2814)
Minor fixes to XMLUI Mirage2 theme
In addition, this release fixes a variety of minor bugs in the 5.x releases. For more information, see the Changes
in 5.x page.
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DSpace 5.x Documentation
1.1.4 5.3 Release Notes
DSpace 5.3 is a bug fix release to resolve several issues found in DSpace 5.2. As it only provides only bug
fixes, DSpace 5.3 should constitute an easy upgrade from DSpace 5.0, 5.1 or 5.2 for most users. Beginning
with DSpace 5.x, we also provide an easier upgrade process from any prior version of DSpace (1.x.x, 3.x or 4.
x).
Major bug fixes include:
Security fixes:
[LOW SEVERITY] Possible to access files attached to "in-progress" submissions via a direct link (
DS-2614 - requires a JIRA account to access for two weeks, and then will be public) . This
vulnerability could allow anyone in the world to download a file attached to an "in-progress"
submission if they are provided with a direct link to that file (from either UI). While a direct file link
would be very hard to "guess" or stumble upon, this could allow an individual with deposit rights to
make available content which has not been approved by local DSpace administrators. This
vulnerability has at least existed since 5.0, but may effect versions as old as 3.0.
Discovered by Pascal-Nicolas Becker of Technische Universität Berlin
Search and browse fixes:
Solr and Lucene special characters no longer cause search errors (DS-2339, DS-2461, DS-2472)
Resolved issues jumping to values when browsing by title or date (DS-2571, DS-2602)
OAI fixes:
Performing a full OAI import now also cleans the OAI cache (DS-2543)
Harvested items are now properly imported in OAI (DS-2554)
Tombstones (deleted item status) are now properly applied for withdrawn items (DS-2593)
(note: this requires 'import' to be run, the OAI event consumer will not create tombstones
automatically)
dc.date.available is now properly exposed when using the mets metadata format (DS-2598)
Authorization policy fixes:
Custom policies for items in workspace or workflow (eg. embargo lifts) are now ignored by
AuthorizeManager (DS-2614)
NULL Resource Policy types (commonly found when upgrading from DSpace < 3.0) are now
handled correctly by AuthorizeManager (DS-2587)
Item-level versioning now carries across all custom policies in new item versions (eg. embargos) (
DS-2358)
Other notable fixes:
Optimized "Select Collection" query is now disabled by default as a workaround to ensure special
group lookups (LDAP, Shibboleth, IP-based) work out-of-the-box (DS-2673)
Resolved issue where citation_pdf_url metadata was NULL for items with multiple bitstreams but
no primary bitstream (DS-2603)
dc.rights metadata is now properly exposed in embedded XHTML head DC (DS-2568)
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DSpace 5.x Documentation
In addition, this release fixes a variety of minor bugs in the 5.x releases. For more information, see the Changes
in 5.x page.
1.1.5 5.2 Release Notes
DSpace 5.2 is a bug fix release to resolve several issues found in DSpace 5.1. As it only provides only bug
fixes, DSpace 5.2 should constitute an easy upgrade from DSpace 5.0 or 5.1 for most users. Beginning with
DSpace 5.x, we also provide an easier upgrade process from any prior version of DSpace (1.x.x, 3.x or 4.x).
Major bug fixes include:
Solr statistics upgrade fixes:
Resolve issues where index data was not being properly upgraded (DS-2486, DS-2487, DS-2489)
Failure when "sharding" the Solr statistics index (DS-2212)
OAI fixes:
Handle dates correctly in resumption tokens, so that harvesting captures the full specified range. (
DS-2546, DS-2582)
List all authors in METS formatted metadata. (DS-2474)
Change the declared OAI deletion mode to "transient", which corresponds to what DSpace
actually does. (DS-2491)
Restore the ability to create additional Filters for OAI-PMH interface. (DS-2423)
REST API fixes:
Wrong SQL in REST /items/find-by-metadata-field. (DS-2501)
Listing collections would fail when using Oracle DB. (DS-2508)
Correctly apply bitstream policies. (DS-2511)
Other notable fixes:
"dspace update-handle-prefix" failed when using Oracle DB. (DS-2218)
Do not index items that are still in a submitter's workspace. (DS-2403)
Remember the context (community, collection) during browsing. (DS-2482)
Better handle upload of file with a semicolon in its name. (DS-2513)
EZID DOI minting properly sets the URI of the identified item. (DS-2518)
Update of the list of robots recognized by DSpace. (DS-2531)
In addition, this release fixes a variety of minor bugs in the 5.x releases. For more information, see the Changes
in 5.x page.
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1.1.6 5.1 Release Notes
We highly recommend any users of DSpace 5.x upgrade to 5.1
DSpace 5.1 contains security fixes for both the XMLUI and JSPUI. To ensure your 5.x site is secure,
we highly recommend all DSpace 5.x users upgrade to DSpace 5.1 .
We also highly recommend removing any "allowLinking=true" settings from your Tomcat's <Context>
configuration. Previously our installation documentation erroneously listed examples which included
"allowLinking=true", while the Tomcat documentation lists it as a possible security concern. The
XMLUI Directory Traversal Vulnerability (see below) is also exacerbated by this setting.
DSpace 1.x.x, 3.x or 4.x users may wish to consider upgrading directly to DSpace 5.1
Several of the security vulnerabilities patched in DSpace 5.1 (and backported to 4.3 and 3.4) also
affect sites running unsupported DSpace 1.x.x releases. In order to ensure your site is patched, we
highly recommend upgrading to DSpace 3.4, DSpace 4.3 or DSpace 5.1.
If you are considering an upgrade from DSpace 1.x.x, note that, as of DSpace 5, your existing data (i.
e. database contents, search/browse indexes) will now be automatically upgraded from ANY prior
version of DSpace. Therefore, you may wish to consider upgrading directly to DSpace 5.1, as the 5.x
upgrade process is simplified.
DSpace 5.1 is a security and bug fix release to resolve several issues located in DSpace 5.0. As it only provides
only bug fixes, DSpace 5.1 should constitute an easy upgrade from DSpace 5.0 for most users. No database
changes or additional configuration changes should be necessary when upgrading from DSpace 5.0 to 5.1.
This release addresses the following security issues discovered in DSpace 5.x and below:
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XMLUI Security Fixes
[HIGH SEVERITY] XMLUI Directory Traversal Vulnerabilities (DS-2445 - requires a JIRA account
to access for two weeks, and then will be public): These vulnerabilities allow someone to
potentially access any file on your local filesystem which is readable to the Tomcat user account.
This includes files which are unrelated to DSpace or Tomcat, but are readable to all users on the
filesystem (e.g. /etc/passwd, /etc/hosts, etc.). This also includes Tomcat configuration files (which
may or may not contain passwords). These vulnerabilities have existed since DSpace 1.5.2.
Discovered by: Khalil Shreateh, with additional (related) vulnerabilities discovered by the
DSpace Committer Team
In some configurations of Tomcat, simply removing any "allowLinking=true" settings from your
Tomcat's <Context> configuration will limit the directory traversal vulnerability's severity to only
allow access to files within the XMLUI web application directory. In addition, the Tomcat
documentation details "allowLinking=true" as a possible security concern. However, you still must
upgrade or patch your DSpace in order to completely resolve this vulnerability.
JSPUI Security Fixes
[MEDIUM SEVERITY] JSPUI Directory Traversal Vulnerability (DS-2448 - requires a JIRA
account to access for two weeks, and then will be public): This vulnerability allows someone to
potentially access any file within the JSPUI web application directory (e.g. WEB-INF/web.xml).
This vulnerability is believed to have existed in all prior versions of DSpace.
Discovered by Khalil Shreateh
[LOW SEVERITY] Cross-site scripting (XSS injection) is possible in JSPUI Recent Submissions
listings (DS-1702 - requires a JIRA account to access for two weeks, and then will be public): This
vulnerability could allow a depositor/submitter to embed dangerous Javascript code into the
metadata of a new submission, thus causing that code to be run across other user accounts.
However, this vulnerability is only possible by someone with privileges to add content to your
DSpace site. This vulnerability has existed since DSpace 1.5.x.
Discovered by: Jean-Paul Zhao of University of Toronto
[LOW SEVERITY] Cross-site scripting (XSS injection) is possible in JSPUI Discovery search form (
DS-2044 - requires a JIRA account to access for two weeks, and then will be public): This
vulnerability could allow someone to embed dangerous Javascript code into links to search
results. If a user was emailed such a link and clicked it, the javascript would be run in their local
browser. This vulnerability has existed since DSpace 3.x
4.x / 5.x vulnerability discovered by Gabriela Mircea of McMaster University and Khalil
Shreateh
3.x vulnerability discovered by lyas Orak of Biznet Bilisim A.S.
In addition, this release fixes a variety of minor bugs in the 5.0 release. For more information, see the Changes
in 5.x page.
1.1.7 5.0 Release Notes
The following is a list of the new features included for the 5.x platform (not an exhaustive list):
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DSpace 5.0 ships with a number of new features. Certain features are automatically enabled by default while
others require deliberate activation.
The following non-exhaustive list contains the major new features in 5.0
Easier Upgrading to 5.x from ANY previous DSpace version (1.x.x, 3.x or 4.x).
Your underlying DSpace database now upgrades itself automatically when you first
run a newer version of DSpace (see DS-2167, by Tim Donohue with support
/feedback from 5.0 Release Team).
Solr/Lucene indexes now upgrade automatically during the "ant update" step of the
Upgrade process (see DS-2297 by Tim Donohue, with support/feedback from Ivan
Masár and 5.0 Release Team).
Perform Batch Imports from the User Interface (in both XMLUI and JSPUI)
XMLUI version (XMLUI Documentation, also see DS-1641) by Peter Dietz with the
support of Ohio State University Libraries and Longsight
JSPUI version (JSPUI Documentation, also see DS-2177) by the Greek National
Documentation Centre/EKT
XMLUI new features
Mirage 2 Responsive Theme, based on Bootstrap (disabled by default, see DS-2052
for screenshots) by @mire
ORCID Integration (disabled by default, see DS-2049) by @mire
Report Google Analytics statistics from Admin UI (disabled by default, see DS-2108
) by Robin Taylor
Track file downloads in Google Analytics statistics (see DS-2008) by Robin Taylor
Autogenerate PDF citation "cover pages" for all PDFs (disabled by default, see DS2175) by Peter Dietz with the support of Ohio State University Libraries and
Longsight
Sherpa/Romeo lookup during item submission process, see DS-2053 by Kevin Van
de Velde and Bert Vanderhallen with the support of @mire (previously available
only in JSPUI)
Rendering MathML code in abstracts using MathJax, see DS-635 by Peter Dietz
with the support of Ohio State University Libraries and Longsight
Ensure "page not found" error pages use configured theme, see DS-1596 by Tim
Donohue with the support of DuraSpace
Performance improvements for "Select Collection" dropdown in submission
process, see DS-682 by Peter Dietz with the support of Ohio State University
Libraries and Longsight
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JSPUI new features
Drag and drop file upload (using HTML5), see DS-1994 by Pascal-Nicolas Becker
with the support of TU Berlin
Item Visual Indicators in Browse/Search results, see DS-2162 by Greek National
Documentation Centre/EKT
Track file downloads in Google Analytics statistics (see DS-2008) by Robin Taylor
REST API new features
DSpace REST API now includes CRUD (Create/Read/Update/Delete) endpoints,
see DS-2168 by the Czech Technical University in Prague
RDF Interface to support Linked (Open) Data (NEW)
DSpace can now provide its content as Linked (Open) Data via a new RDF
interface (provided as an "rdf" webapp), see DS-2061 by Pascal -Nicolas Becker
OAI-PMH interface enhancements / bug fixes
OpenAIRE v3 compliance (operators over filters)
OAI respects item READ rights
/oai displays the list of available contexts; contexts have descriptions
See DS-1649 by João Melo
Enhanced Thumbnail Quality (disabled by default)
Enhanced image thumbnails can now be generated using ImageMagick
Enhanced PDF Thumbnails can now be generated using ImageMagick and
Ghostscript
See DS-2105 by Terry Brady with the support of Georgetown University
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Bug fixes / improvements to Biblio-Transformation-Engine (BTE)
BTE: batch import from various bibliographic formats was upgrade to the latest
version (see DS-2183)
Kindly contributed by the Greek National Documentation Centre/EKT
Enhancements to DOI Support (disabled by default)
Enhanced EZID IdentifierProvider Metadata Mapping via XSLT, see DS-2119 by
Mohamed Mohideen Abdul Rasheed
Apache Solr libraries were upgraded for all interfaces (JSPUI, XMLUI, and OAI)
See DS-2253 by Roeland Dillen with the support of @mire
Add a place for third-party JARs / plugins to be "found" by DSpace ( disabled by default)
DSpace will now look for JARs / plugins in the locations specified by "plugin.
classpath" value specified in dspace.cfg.
See DS-2107 by Mark H. Wood with the support of IUPUI University Library
All objects now have metadata support
All DSpace objects (Communities, Collections, Items, EPeople, Groups) now have
metadata, and most now use the default "dc" (Dublin Core) metadata schema.
NOTE: The only exception is EPeople metadata, which is stored in a new
"eperson" metadata schema.
The User Interfaces don't yet take advantage of this enhancement in DSpace 5.0.
Instead, this is an internal restructuring of data within DSpace. In the future, this
provides the potential to create more enhanced metadata (or even more
configurable metadata) on all objects
See DS-1582 by Mark H. Wood with the support of IUPUI University Library and Kevin
Van de Velde with the support of @mire
A full list of all changes / bug fixes in 5.x is available in the Changes in 5.x section.
1.1.8 Acknowledgments
The following individuals have contributed directly to this release of DSpace:
DSpace 5.0, 5.1 and 5.2 Acknowledgments
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DSpace 5.x Documentation
The following individuals provided code or bug fixes to the 5.0 release: Adan Roman, Àlex Magaz Graça ,
Andrea Bollini, Andrea Schweer, Antoine Snyers, Art Lowel, Artur Konczak, Bavo Van Geit, Bram Luyten,
Christian Scheible, Christian Völker, Christos Rhodosthenous, Claudia Jürgen , CTU Developers, Denis Fdz,
Ed Goulet, Eliana de Mattos Pinto Coelho, Elvi S. Nemiz, Emilio Lorenzo, George Simeonov, Graham Triggs ,
Hardy Pottinger, Ivan Masár, James Halliday, João Melo, Jon Gibson , Jordan Pišanc, Jozef M. , Keiji Suzuki,
Kevin Van de Velde, Kostas Stamatis, Luigi Andrea Pascarelli, Marina Muilwijk, Mark Diggory, Mark H. Wood,
Mohamed Mohideen Abdul Rasheed, Monika Mevenkamp, Ondej Košarko, Panagiotis Koutsourakis, PascalNicolas Becker, Pauline Ward, Paulo Graça , Peter Dietz, Petya Kohts, Philip Vissenaekens, Robert Faling,
Robin Taylor, Roeland Dillen, Royopa, Sonmez CELIK, Terry Brady, Thanos Kyritsis, Thomas Misilo, Tiago
Murakami, Tim Donohue, and others who reviewed and commented on their work. Many of these could not do
this work without the support (release time and financial) of their associated institutions. We offer thanks to
those institutions for supporting their staff to take time to contribute to the DSpace project.
DSpace 5.3 Acknowledgments
The following individuals provided code or bug fixes to the 5.3 release: Tim Donohue (tdonohue), Ondej
Košarko (kosarko), Bram Luyten (bram-atmire), Pascal-Nicolas Becker (pnbecker), Pablo Buenaposada
(pablobuenaposada), Nicolas Schwab (nicolasschwab), Andrea Schweer (aschweer), Àlex Magaz Graça
(rivaldi8), Roeland Dillen (rradillen), junwei1229, and Claudia Juergen (cjuergen).
DSpace 5.4 Acknowledgments
The following individuals provided code or bug fixes to the 5.4 release: Pascal-Nicolas Becker (pnbecker),
Arnaud de Bossoreille (arnodb), Brad Dewar (bdewar), Peter Dietz (peterdietz), Tim Donohue (tdonohue),
Ondrej Košarko (kosarko), Aleksander Kotynski-Buryla(akotynski), Ivan Masar (helix84), Hardy Pottinger
(hpottinger), Christian Scheible (christian-scheible), Andrea Schweer (aschweer), Bill Tantzen (wilee53), Jonas
Van Goolen, Chris Wilper (cwilper), Mark H Wood (mwoodiupui), Jun Won Jung (RomanticCat)
DSpace 5.5 Acknowledgments
The following individuals provided code or bug fixes to the 5.5 release: Pascal-Nicolas Becker (pnbecker),
Andrea Bollini (abollini), Tim Donohue (tdonohue), Claudia Juergen (cjuergen), Bram Luyten (bram-atmire),
Ivan Masar (helix84), Dylan Meeus (DylanMeeus), AmberPoo1, Christian Scheible (christian-scheible), Tim Van
de Langenbergh (tim-atmire), Mark Wood (mwoodiupui)
Additional Thanks
A big thank you also goes out to the DSpace Community Advisory Team (DCAT), who helped the developers to
prioritize and plan out several of the new features that made it into this release. The current DCAT members
include: Augustine Gitonga, Bram Luyten, Bharat Chaudhari, Claire Bundy, Dibyendra Hyoju, Elin Stangeland,
Felicity A Dykas, Iryna Kuchma, James Evans, Jim Ottaviani, Kate Dohe, Kathleen Schweitzberger, Leonie
Hayes, Lilly Li, Maureen Walsh, Pauline Ward, Roger Weaver, Sarah Molloy, Sarah Potvin, Sarah Shreeves,
Steve Van Tuyl, Terry Brady, Valorie Hollister and Yan Han.
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We apologize to any contributor accidentally left off this list. DSpace has such a large, active development
community that we sometimes lose track of all our contributors. Our ongoing list of all known people/institutions
that have contributed to DSpace software can be found on our DSpace Contributors page. Acknowledgments to
those left off will be made in future releases.
Want to see your name appear in our list of contributors? All you have to do is report an issue, fix a bug,
improve our documentation or help us determine the necessary requirements for a new feature! Visit our Issue
Tracker to report a bug, or join dspace-devel mailing list to take part in development work. If you'd like to help
improve our current documentation, please get in touch with one of our Committers with your ideas. You don't
even need to be a developer! Repository managers can also get involved by volunteering to join the DSpace
Community Advisory Team and helping our developers to plan new features.
The 5.0 Release Team consisted of:
Peter Dietz (Longsight)
Hardy Pottinger (University of Missouri Library Systems)
Ivan Masár
Mark H. Wood (Indiana University-Purdue University Indianapolis)
Robin Taylor (University of Edinburgh)
Pascal-Nicolas Becker (Technische Universität Berlin)
Andrea Schweer (Library Consortium of New Zealand)
The 5.1 release was led by Tim Donohue (DuraSpace) and the Committers.
The 5.2 release was led by Hardy Pottinger (University of Missouri Library Systems) and the Committers.
The 5.3 release was led by Kim Shepherd (University of Auckland Library) and the Committers.
The 5.4 release was led by Andrea Schweer (University of Waikato ITS), Tim Donohue and the Committers.
Additional thanks to Tim Donohue from DuraSpace for keeping all of us focused on the work at hand, for
calming us when we got excited, and for the general support for the DSpace project.
1.2 Functional Overview
The following sections describe the various functional aspects of the DSpace system.
1 Online access to your digital assets
1.1 Full-text search
1.2 Navigation
1.3 Supported file types
1.4 Optimized for Google Indexing
1.5 OpenURL Support
1.6 Support for modern browsers
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2 Metadata Management
2.1 Metadata
2.2 Choice Management and Authority Control
3 Licensing
3.1 Collection and Community Licenses
3.2 License granted by the submitter to the repository
3.3 Creative Commons Support for DSpace Items
4 Persistent URLs and Identifiers
4.1 Handles
4.2 Bitstream 'Persistent' Identifiers
5 Getting content into DSpace
5.1 The Manual DSpace Submission and Workflow System
5.1.1 Workflow Steps
5.1.2 Submission Workflow in DSpace
5.2 Command line import facilities
5.3 Registration for externally hosted files
6 Getting content out of DSpace
6.1 OAI Support
6.2 SWORD Support
6.3 Command Line Export Facilities
6.4 Packager Plugins
6.5 Crosswalk Plugins
6.6 Supervision and Collaboration
7 User Management
7.1 User Accounts (E-Person)
7.2 Subscriptions
7.3 Groups
8 Access Control
8.1 Authentication
8.2 Authorization
9 Usage Metrics
9.1 Item, Collection and Community Usage Statistics
9.2 System Statistics
10 Digital Preservation
10.1 Checksum Checker
11 System Design
11.1 Data Model
11.2 Storage Resource Broker (SRB) Support
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1.2.1 Online access to your digital assets
The online presentation of your content in an organized tree of Community and Collections is a main feature of
DSpace. Users can access pages for individual items, these are metadata descriptions together with files
available for download.
Full-text search
DSpace can process uploaded text based contents for full-text searching. This means that not only the
metadata you provide for a given file will be searchable, but all of its contents will be indexed as well. This
allows users to search for specific keywords that only appear in the actual content and not in the provided
description.
Navigation
DSpace allows users to find their way to relevant content in a number of ways, including:
Searching for one or more keywords in metadata or extracted full-text
Faceted browsing through any field provided in the item description.
Search is an essential component of discovery in DSpace. Users' expectations from a search engine are
quite high, so a goal for DSpace is to supply as many search features as possible. DSpace's indexing
and search module has a very simple API which allows for indexing new content, regenerating the index,
and performing searches on the entire corpus, a community, or collection. Behind the API is the Java
freeware search engine Lucene. Lucene gives us fielded searching, stop word removal, stemming, and
the ability to incrementally add new indexed content without regenerating the entire index. The specific
Lucene search indexes are configurable enabling institutions to customize which DSpace metadata fields
are indexed.
Through external reference, such as a Handle
Another important mechanism for discovery in DSpace is the browse. This is the process whereby the user
views a particular index, such as the title index, and navigates around it in search of interesting items. The
browse subsystem provides a simple API for achieving this by allowing a caller to specify an index, and a
subsection of that index. The browse subsystem then discloses the portion of the index of interest. Indices that
may be browsed are item title, item issue date, item author, and subject terms. Additionally, the browse can be
limited to items within a particular collection or community.
Supported file types
DSpace can accommodate any type of uploaded file. While DSpace is most known for hosting text based
materials including scholarly communication and electronic theses and dissertations (ETDs), there are many
stakeholders in the community who use DSpace for multimedia, data and learning objects. While some
restrictions apply, DSpace can even serve as a store for HTML Archives.
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Files that have been uploaded to DSpace are often referred to as "Bitstreams". The reason for this is mainly
historic and tracks back to the technical implementation. After ingestion, files in DSpace are stored on the file
system as a stream of bits without the file extension.
By default, DSpace only recognizes specific file types, as defined in its Bitstream Format Registry. The default
Bitstream Format Registry recognizes many common file formats, but it can be enhanced at your local
institution via the Admin User Interface.
Optimized for Google Indexing
The Duraspace community fosters a close relation with Google to ensure optimal indexing of DSpace content,
primarily in the Google Search and Google Scholar products. For the purpose of Google Scholar indexing,
DSpace added specific metadata in the page head tags facilitating indexing in Scholar. More information can be
retrieved on the Google Scholar Metadata Mappings page. Popular DSpace repositories often generate over
60% of their visits from Google pages.
OpenURL Support
DSpace supports the OpenURL protocol in a rather simple fashion. If your institution has an SFX server,
DSpace will display an OpenURL link on every item page, automatically using the Dublin Core metadata.
Additionally, DSpace can respond to incoming OpenURLs. Presently it simply passes the information in the
OpenURL to the search subsystem. A list of results is then displayed, which usually gives the relevant item (if it
is in DSpace) at the top of the list.
Support for modern browsers
The DSpace developer community aims to rely on modern web standards and well tested libraries where
possible. As a rule of thumb, users can expect that the DSpace web interfaces work on modern web browsers.
DSpace developers routinely test new interface developments on recent versions of Firefox, Safari and
Chrome. Because of fast moving, automatic, incremental updates to these browsers, support is no longer
targeted at specific versions of these browsers. The community attempts to support the latest official version
and up to 2 older versions of Microsoft's Internet Explorer.
In some cases, modern interfaces are developed alongside older interfaces that no longer receive active
maintenance or improvements. This is particularly true for the original themes for the XML User Interface such
as "Kubrick", "Classic" and "Reference". These themes still reside in the code base but are not optimized for
modern browsers.
1.2.2 Metadata Management
Metadata
Broadly speaking, DSpace holds three sorts of metadata about archived content:
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Descriptive Metadata: DSpace can support multiple flat metadata schemas for describing an item. A
qualified Dublin Core metadata schema loosely based on the Library Application Profile set of elements
and qualifiers is provided by default. This default schema is described in more detail in Metadata and
Bitstream Format Registries. However, you can configure multiple schemas and select metadata fields
from a mix of configured schemas to describe your items. Other descriptive metadata about items (e.g.
metadata described in a hierarchical schema) may be held in serialized bitstreams.
Administrative Metadata: This includes preservation metadata, provenance and authorization policy
data. Most of this is held within DSpace's relational DBMS schema. Provenance metadata (prose) is
stored in Dublin Core records. Additionally, some other administrative metadata (for example, bitstream
byte sizes and MIME types) is replicated in Dublin Core records so that it is easily accessible outside of
DSpace.
Structural Metadata: This includes information about how to present an item, or bitstreams within an
item, to an end-user, and the relationships between constituent parts of the item. As an example,
consider a thesis consisting of a number of TIFF images, each depicting a single page of the thesis.
Structural metadata would include the fact that each image is a single page, and the ordering of the TIFF
images/pages. Structural metadata in DSpace is currently fairly basic; within an item, bitstreams can be
arranged into separate bundles as described above. A bundle may also optionally have a primary
bitstream. This is currently used by the HTML support to indicate which bitstream in the bundle is the first
HTML file to send to a browser. In addition to some basic technical metadata, a bitstream also has a
'sequence ID' that uniquely identifies it within an item. This is used to produce a 'persistent' bitstream
identifier for each bitstream. Additional structural metadata can be stored in serialized bitstreams, but
DSpace does not currently understand this natively.
Choice Management and Authority Control
This is a configurable framework that lets you define plug-in classes to control the choice of values for a given
DSpace metadata fields. It also lets you configure fields to include "authority" values along with the textual
metadata value. The choice-control system includes a user interface in both the Configurable Submission UI
and the Admin UI (edit Item pages) that assists the user in choosing metadata values.
Introduction and Motivation
Definitions
Choice Management
This is a mechanism that generates a list of choices for a value to be entered in a given metadata field.
Depending on your implementation, the exact choice list might be determined by a proposed value or query, or
it could be a fixed list that is the same for every query. It may also be closed (limited to choices produced
internally) or open, allowing the user-supplied query to be included as a choice.
Authority Control
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This works in addition to choice management to supply an authority key along with the chosen value, which is
also assigned to the Item's metadata field entry. Any authority-controlled field is also inherently choicecontrolled.
About Authority Control
The advantages we seek from an authority controlled metadata field are:
1. There is a simple and positive way to test whether two values are identical, by comparing authority
keys.
Comparing plain text values can give false positive results e.g. when two different people have a
name that is written the same.
It can also give false negative results when the same name is written different ways, e.g. "J.
Smith" vs. "John Smith".
2. Help in entering correct metadata values. The submission and admin UIs may call on the authority to
check a proposed value and list possible matches to help the user select one.
3. Improved interoperability. By sharing a name authority with another application, your DSpace can
interoperate more cleanly with other applications.
For example, a DSpace institutional repository sharing a naming authority with the campus social
network would let the social network construct a list of all DSpace Items matching the shared
author identifier, rather than by error-prone name matching.
When the name authority is shared with a campus directory, DSpace can look up the email
address of an author to send automatic email about works of theirs submitted by a third party.
That author does not have to be an EPerson.
4. Authority keys are normally invisible in the public web UIs. They are only seen by administrators editing
metadata. The value of an authority key is not expected to be meaningful to an end-user or site visitor.
Authority control is different from the controlled vocabulary of keywords already implemented in the
submission UI:
1. Authorities are external to DSpace. The source of authority control is typically an external database or
network resource.
Plug-in architecture makes it easy to integrate new authorities without modifying any core code.
2. This authority proposal impacts all phases of metadata management.
The keyword vocabularies are only for the submission UI.
Authority control is asserted everywhere metadata values are changed, including unattended
/batch submission, LNI and SWORD package submission, and the administrative UI.
Some Terminology
Authority
An authority is a source of fixed values for a given domain, each unique value identified by a
key.
.
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Authority
The information associated with one of the values in an authority; may include alternate
Record
spellings and equivalent forms of the value, etc.
Authority
An opaque, hopefully persistent, identifier corresponding to exactly one record in the authority.
Key
1.2.3 Licensing
DSpace offers support for licenses on different levels
Collection and Community Licenses
Each community and collection in the hierarchy of a DSpace repository can contain its own license terms. This
allows an institution to use the repository both for collections where certain rights are reserved and others from
which the content may be accessed and distributed more freely.
License granted by the submitter to the repository
At the end of the manual submission process, the submitter is asked to grant the repository service an
appropriate distribution license. This license can be easily customized on a per collection basis. In its most
common form, the submitter grants to the repository service a non-exclusive distribution license, meaning that
he officially gives the repository service the right to share his or her work with the world.
Creative Commons Support for DSpace Items
DSpace provides support for Creative Commons licenses to be attached to items in the repository. They
represent an alternative to traditional copyright. To learn more about Creative Commons, visit their website.
Support for license selection is controlled by a site-wide configuration option, and since license selection
involves interaction with the Creative Commons website, additional parameters may be configured to work with
a proxy server. If the option is enabled, users may select a Creative Commons license during the submission
process, or elect to skip Creative Commons licensing. If a selection is made, metadata and (optionally) a copy
of the license text is stored along with the item in the repository. There is also an indication - text and a Creative
Commons icon - in the item display page of the web user interface when an item is licensed under Creative
Commons. For specifics of how to configure and use Creative Commons licenses, see the configuration
section.
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1.2.4 Persistent URLs and Identifiers
Handles
Researchers require a stable point of reference for their works. The simple evolution from sharing of citations to
emailing of URLs broke when Web users learned that sites can disappear or be reconfigured without notice,
and that their bookmark files containing critical links to research results couldn't be trusted in the long term. To
help solve this problem, a core DSpace feature is the creation of a persistent identifier for every item, collection
and community stored in DSpace. To persist identifiers, DSpace requires a storage- and location- independent
mechanism for creating and maintaining identifiers. DSpace uses the CNRI Handle System for creating these
identifiers. The rest of this section assumes a basic familiarity with the Handle system.
DSpace uses Handles primarily as a means of assigning globally unique identifiers to objects. Each site running
DSpace needs to obtain a unique Handle 'prefix' from CNRI, so we know that if we create identifiers with that
prefix, they won't clash with identifiers created elsewhere.
Presently, Handles are assigned to communities, collections, and items. Bundles and bitstreams are not
assigned Handles, since over time, the way in which an item is encoded as bits may change, in order to allow
access with future technologies and devices. Older versions may be moved to off-line storage as a new
standard becomes de facto. Since it's usually the item that is being preserved, rather than the particular bit
encoding, it only makes sense to persistently identify and allow access to the item, and allow users to access
the appropriate bit encoding from there.
Of course, it may be that a particular bit encoding of a file is explicitly being preserved; in this case, the
bitstream could be the only one in the item, and the item's Handle would then essentially refer just to that
bitstream. The same bitstream can also be included in other items, and thus would be citable as part of a
greater item, or individually.
The Handle system also features a global resolution infrastructure; that is, an end-user can enter a Handle into
any service (e.g. Web page) that can resolve Handles, and the end-user will be directed to the object (in the
case of DSpace, community, collection or item) identified by that Handle. In order to take advantage of this
feature of the Handle system, a DSpace site must also run a 'Handle server' that can accept and resolve
incoming resolution requests. All the code for this is included in the DSpace source code bundle.
Handles can be written in two forms:
hdl:1721.123/4567
http://hdl.handle.net/1721.123/4567
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The above represent the same Handle. The first is possibly more convenient to use only as an identifier;
however, by using the second form, any Web browser becomes capable of resolving Handles. An end-user
need only access this form of the Handle as they would any other URL. It is possible to enable some browsers
to resolve the first form of Handle as if they were standard URLs using CNRI's Handle Resolver plug-in, but
since the first form can always be simply derived from the second, DSpace displays Handles in the second
form, so that it is more useful for end-users.
It is important to note that DSpace uses the CNRI Handle infrastructure only at the 'site' level. For example, in
the above example, the DSpace site has been assigned the prefix '1721.123'. It is still the responsibility of the
DSpace site to maintain the association between a full Handle (including the '4567' local part) and the
community, collection or item in question.
Bitstream 'Persistent' Identifiers
Similar to handles for DSpace items, bitstreams also have 'Persistent' identifiers. They are more volatile than
Handles, since if the content is moved to a different server or organization, they will no longer work (hence the
quotes around 'persistent'). However, they are more easily persisted than the simple URLs based on database
primary key previously used. This means that external systems can more reliably refer to specific bitstreams
stored in a DSpace instance.
Each bitstream has a sequence ID, unique within an item. This sequence ID is used to create a persistent ID, of
the form:
dspace url/bitstream/handle/sequence ID/filename
For example:
https://dspace.myu.edu/bitstream/123.456/789/24/foo.html
The above refers to the bitstream with sequence ID 24 in the item with the Handle hdl:123.456/789. The foo.html
is really just there as a hint to browsers: Although DSpace will provide the appropriate MIME type, some
browsers only function correctly if the file has an expected extension.
1.2.5 Getting content into DSpace
The Manual DSpace Submission and Workflow System
Rather than being a single subsystem, ingesting is a process that spans several. Below is a simple illustration of
the current ingesting process in DSpace.
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DSpace Ingest Process
The batch item importer is an application, which turns an external SIP (an XML metadata document with some
content files) into an "in progress submission" object. The Web submission UI is similarly used by an end-user
to assemble an "in progress submission" object.
Depending on the policy of the collection to which the submission in targeted, a workflow process may be
started. This typically allows one or more human reviewers or 'gatekeepers' to check over the submission and
ensure it is suitable for inclusion in the collection.
When the Batch Ingester or Web Submit UI completes the InProgressSubmission object, and invokes the next
stage of ingest (be that workflow or item installation), a provenance message is added to the Dublin Core which
includes the filenames and checksums of the content of the submission. Likewise, each time a workflow
changes state (e.g. a reviewer accepts the submission), a similar provenance statement is added. This allows
us to track how the item has changed since a user submitted it.
Once any workflow process is successfully and positively completed, the InProgressSubmission object is
consumed by an "item installer", that converts the InProgressSubmission into a fully blown archived item in
DSpace. The item installer:
Assigns an accession date
Adds a "date.available" value to the Dublin Core metadata record of the item
Adds an issue date if none already present
Adds a provenance message (including bitstream checksums)
Assigns a Handle persistent identifier
Adds the item to the target collection, and adds appropriate authorization policies
Adds the new item to the search and browse index
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Workflow Steps
A collection's workflow can have up to three steps. Each collection may have an associated e-person group for
performing each step; if no group is associated with a certain step, that step is skipped. If a collection has no eperson groups associated with any step, submissions to that collection are installed straight into the main
archive.
In other words, the sequence is this: The collection receives a submission. If the collection has a group
assigned for workflow step 1, that step is invoked, and the group is notified. Otherwise, workflow step 1 is
skipped. Likewise, workflow steps 2 and 3 are performed if and only if the collection has a group assigned to
those steps.
When a step is invoked, the submission is put into the 'task pool' of the step's associated group. One member of
that group takes the task from the pool, and it is then removed from the task pool, to avoid the situation where
several people in the group may be performing the same task without realizing it.
The member of the group who has taken the task from the pool may then perform one of three actions:
Workflow
Possible actions
Step
1
Can accept submission for inclusion, or reject submission.
2
Can edit metadata provided by the user with the submission, but cannot change the submitted
files. Can accept submission for inclusion, or reject submission.
3
Can edit metadata provided by the user with the submission, but cannot change the submitted
files. Must then commit to archive; may not reject submission.
Submission Workflow in DSpace
If a submission is rejected, the reason (entered by the workflow participant) is e-mailed to the submitter, and it is
returned to the submitter's 'My DSpace' page. The submitter can then make any necessary modifications and resubmit, whereupon the process starts again.
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If a submission is 'accepted', it is passed to the next step in the workflow. If there are no more workflow steps
with associated groups, the submission is installed in the main archive.
One last possibility is that a workflow can be 'aborted' by a DSpace site administrator. This is accomplished
using the administration UI.
The reason for this apparently arbitrary design is that is was the simplest case that covered the needs of the
early adopter communities at MIT. The functionality of the workflow system will no doubt be extended in the
future.
Command line import facilities
DSpace includes batch tools to import items in a simple directory structure, where the Dublin Core metadata is
stored in an XML file. This may be used as the basis for moving content between DSpace and other systems.
For more information see Item Importer and Exporter.
DSpace also includes various package importer tools, which support many common content packaging formats
like METS. For more information see Package Importer and Exporter.
Registration for externally hosted files
Registration is an alternate means of incorporating items, their metadata, and their bitstreams into DSpace by
taking advantage of the bitstreams already being in accessible computer storage. An example might be that
there is a repository for existing digital assets. Rather than using the normal interactive ingest process or the
batch import to furnish DSpace the metadata and to upload bitstreams, registration provides DSpace the
metadata and the location of the bitstreams. DSpace uses a variation of the import tool to accomplish
registration.
1.2.6 Getting content out of DSpace
OAI Support
The Open Archives Initiative has developed a protocol for metadata harvesting. This allows sites to
programmatically retrieve or 'harvest' the metadata from several sources, and offer services using that
metadata, such as indexing or linking services. Such a service could allow users to access information from a
large number of sites from one place.
DSpace exposes the Dublin Core metadata for items that are publicly (anonymously) accessible. Additionally,
the collection structure is also exposed via the OAI protocol's 'sets' mechanism. OCLC's open source OAICat
framework is used to provide this functionality.
You can also configure the OAI service to make use of any crosswalk plugin to offer additional metadata
formats, such as MODS.
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DSpace's OAI service does support the exposing of deletion information for withdrawn items, but not for items
that are 'expunged' (see above). DSpace also supports OAI-PMH resumption tokens.
SWORD Support
SWORD (Simple Web-service Offering Repository Deposit) is a protocol that allows the remote deposit of items
into repositories. SWORD was further developed in SWORD version 2 to add the ability to retrieve, update, or
delete deposits. DSpace supports the SWORD protocol via the 'sword' web application and SWord v2 via the
swordv2 web application. The specification and further information can be found at http://swordapp.org.
Command Line Export Facilities
DSpace includes batch tools to export items in a simple directory structure, where the Dublin Core metadata is
stored in an XML file. This may be used as the basis for moving content between DSpace and other systems.
For more information see Item Importer and Exporter.
DSpace also includes various package exporter tools, which support many common content packaging formats
like METS. For more information see Package Importer and Exporter.
Packager Plugins
Packagers are software modules that translate between DSpace Item objects and a self-contained external
representation, or "package". A Package Ingester interprets, or ingests, the package and creates an Item. A
Package Disseminator writes out the contents of an Item in the package format.
A package is typically an archive file such as a Zip or "tar" file, including a manifest document which contains
metadata and a description of the package contents. The IMS Content Package is a typical packaging standard.
A package might also be a single document or media file that contains its own metadata, such as a PDF
document with embedded descriptive metadata.
Package ingesters and package disseminators are each a type of named plugin (see Plugin Manager), so it is
easy to add new packagers specific to the needs of your site. You do not have to supply both an ingester and
disseminator for each format; it is perfectly acceptable to just implement one of them.
Most packager plugins call upon Crosswalk Plugins to translate the metadata between DSpace's object model
and the package format.
More information about calling Packagers to ingest or disseminate content can be found in the Package
Importer and Exporter section of the System Administration documentation.
Crosswalk Plugins
Crosswalks are software modules that translate between DSpace object metadata and a specific external
representation. An Ingestion Crosswalk interprets the external format and crosswalks it to DSpace's internal
data structure, while a Dissemination Crosswalk does the opposite.
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For example, a MODS ingestion crosswalk translates descriptive metadata from the MODS format to the
metadata fields on a DSpace Item. A MODS dissemination crosswalk generates a MODS document from the
metadata on a DSpace Item.
Crosswalk plugins are named plugins (see Plugin Manager), so it is easy to add new crosswalks. You do not
have to supply both an ingester and disseminator for each format; it is perfectly acceptable to just implement
one of them.
There is also a special pair of crosswalk plugins which use XSL stylesheets to translate the external metadata
to or from an internal DSpace format. You can add and modify XSLT crosswalks simply by editing the DSpace
configuration and the stylesheets, which are stored in files in the DSpace installation directory.
The Packager plugins and OAH-PMH server make use of crosswalk plugins.
Supervision and Collaboration
In order to facilitate, as a primary objective, the opportunity for thesis authors to be supervised in the
preparation of their e-theses, a supervision order system exists to bind groups of other users (thesis
supervisors) to an item in someone's pre-submission workspace. The bound group can have system policies
associated with it that allow different levels of interaction with the student's item; a small set of default policy
groups are provided:
Full editorial control
View item contents
No policies
Once the default set has been applied, a system administrator may modify them as they would any other
policy set in DSpace
This functionality could also be used in situations where researchers wish to collaborate on a particular
submission, although there is no particular collaborative workspace functionality.
1.2.7 User Management
Although many of DSpace's functions such as document discovery and retrieval can be used anonymously,
some features (and perhaps some documents) are only available to certain "privileged" users. E-People and
Groups are the way DSpace identifies application users for the purpose of granting privileges. This identity is
bound to a session of a DSpace application such as the Web UI or one of the command-line batch programs.
Both E-People and Groups are granted privileges by the authorization system described below.
User Accounts (E-Person)
DSpace holds the following information about each e-person:
E-mail address
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First and last names
Whether the user is able to log in to the system via the Web UI, and whether they must use an X509
certificate to do so;
A password (encrypted), if appropriate
A list of collections for which the e-person wishes to be notified of new items
Whether the e-person 'self-registered' with the system; that is, whether the system created the e-person
record automatically as a result of the end-user independently registering with the system, as opposed to
the e-person record being generated from the institution's personnel database, for example.
The network ID for the corresponding LDAP record, if LDAP authentication is used for this E-Person.
Subscriptions
As noted above, end-users (e-people) may 'subscribe' to collections in order to be alerted when new items
appear in those collections. Each day, end-users who are subscribed to one or more collections will receive an
e-mail giving brief details of all new items that appeared in any of those collections the previous day. If no new
items appeared in any of the subscribed collections, no e-mail is sent. Users can unsubscribe themselves at
any time. RSS feeds of new items are also available for collections and communities.
Groups
Groups are another kind of entity that can be granted permissions in the authorization system. A group is
usually an explicit list of E-People; anyone identified as one of those E-People also gains the privileges granted
to the group.
However, an application session can be assigned membership in a group without being identified as an EPerson. For example, some sites use this feature to identify users of a local network so they can read restricted
materials not open to the whole world. Sessions originating from the local network are given membership in the
"LocalUsers" group and gain the corresponding privileges.
Administrators can also use groups as "roles" to manage the granting of privileges more efficiently.
1.2.8 Access Control
Authentication
Authentication is when an application session positively identifies itself as belonging to an E-Person and/or
Group. In DSpace 1.4 and later, it is implemented by a mechanism called Stackable Authentication: the DSpace
configuration declares a "stack" of authentication methods. An application (like the Web UI) calls on the
Authentication Manager, which tries each of these methods in turn to identify the E-Person to which the session
belongs, as well as any extra Groups. The E-Person authentication methods are tried in turn until one
succeeds. Every authenticator in the stack is given a chance to assign extra Groups. This mechanism offers the
following advantages:
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Separates authentication from the Web user interface so the same authentication methods are used for
other applications such as non-interactive Web Services
Improved modularity: The authentication methods are all independent of each other. Custom
authentication methods can be "stacked" on top of the default DSpace username/password method.
Cleaner support for "implicit" authentication where username is found in the environment of a Web
request, e.g. in an X.509 client certificate.
Authorization
DSpace's authorization system is based on associating actions with objects and the lists of EPeople who can
perform them. The associations are called Resource Policies, and the lists of EPeople are called Groups. There
are two built-in groups: 'Administrators', who can do anything in a site, and 'Anonymous', which is a list that
contains all users. Assigning a policy for an action on an object to anonymous means giving everyone
permission to do that action. (For example, most objects in DSpace sites have a policy of 'anonymous' READ.)
Permissions must be explicit - lack of an explicit permission results in the default policy of 'deny'. Permissions
also do not 'commute'; for example, if an e-person has READ permission on an item, they might not necessarily
have READ permission on the bundles and bitstreams in that item. Currently Collections, Communities and
Items are discoverable in the browse and search systems regardless of READ authorization.
The following actions are possible:
Collection
ADD/REMOVE
add or remove items (ADD = permission to submit items)
DEFAULT_ITEM_READ
inherited as READ by all submitted items
DEFAULT_BITSTREAM_READ
inherited as READ by Bitstreams of all submitted items. Note: only affects
Bitstreams of an item at the time it is initially submitted. If a Bitstream is
added later, it does not get the same default read policy.
COLLECTION_ADMIN
collection admins can edit items in a collection, withdraw items, map other
items into this collection.
Item
ADD/REMOVE
add or remove bundles
READ
can view item (item metadata is always viewable)
WRITE
can modify item
Bundle
ADD/REMOVE
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Bitstream
READ
view bitstream
WRITE
modify bitstream
Note that there is no 'DELETE' action. In order to 'delete' an object (e.g. an item) from the archive, one must
have REMOVE permission on all objects (in this case, collection) that contain it. The 'orphaned' item is
automatically deleted.
Policies can apply to individual e-people or groups of e-people.
1.2.9 Usage Metrics
DSpace is equipped with SOLR based infrastructure to log and display pageviews and file downloads.
Item, Collection and Community Usage Statistics
Usage statistics can be retrieved from individual item, collection and community pages. These Usage Statistics
pages show:
Total page visits (all time)
Total Visits per Month
File Downloads (all time)*
Top Country Views (all time)
Top City Views (all time)
*File Downloads information is only displayed for item-level statistics. Note that downloads from separate
bitstreams are also recorded and represented separately. DSpace is able to capture and store File Download
information, even when the bitstream was downloaded from a direct link on an external website.
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System Statistics
Various statistical reports about the contents and use of your system can be automatically generated by the
system. These are generated by analyzing DSpace's log files. Statistics can be broken down monthly.
The report includes following sections
A customizable general overview of activities in the archive, by default including:
Number of items archived
Number of bitstream views
Number of item page views
Number of collection page views
Number of community page views
Number of user logins
Number of searches performed
Number of license rejections
Number of OAI Requests
Customizable summary of archive contents
Broken-down list of item viewings
A full break-down of all performed actions
User logins
Most popular searches
Log Level Information
Processing information!stats_genrl_overview.png!
The results of statistical analysis can be presented on a by-month and an in-total report, and are
available via the user interface. The reports can also either be made public or restricted to administrator
access only.
1.2.10 Digital Preservation
Checksum Checker
The purpose of the checker is to verify that the content in a DSpace repository has not become corrupted or
been tampered with. The functionality can be invoked on an ad-hoc basis from the command line, or configured
via cron or similar. Options exist to support large repositories that cannot be entirely checked in one run of the
tool. The tool is extensible to new reporting and checking priority approaches.
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1.2.11 System Design
Data Model
Data Model Diagram
The way data is organized in DSpace is intended to reflect the structure of the organization using the DSpace
system. Each DSpace site is divided into communities, which can be further divided into sub-communities
reflecting the typical university structure of college, department, research center, or laboratory.
Communities contain collections, which are groupings of related content. A collection may appear in more than
one community.
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Each collection is composed of items, which are the basic archival elements of the archive. Each item is owned
by one collection. Additionally, an item may appear in additional collections; however every item has one and
only one owning collection.
Items are further subdivided into named bundles of bitstreams. Bitstreams are, as the name suggests, streams
of bits, usually ordinary computer files. Bitstreams that are somehow closely related, for example HTML files
and images that compose a single HTML document, are organized into bundles.
In practice, most items tend to have these named bundles:
ORIGINAL – the bundle with the original, deposited bitstreams
THUMBNAILS – thumbnails of any image bitstreams
TEXT – extracted full-text from bitstreams in ORIGINAL, for indexing
LICENSE – contains the deposit license that the submitter granted the host organization; in other words,
specifies the rights that the hosting organization have
CC_LICENSE – contains the distribution license, if any (a Creative Commons license) associated with
the item. This license specifies what end users downloading the content can do with the content
Each bitstream is associated with one Bitstream Format. Because preservation services may be an important
aspect of the DSpace service, it is important to capture the specific formats of files that users submit. In
DSpace, a bitstream format is a unique and consistent way to refer to a particular file format. An integral part of
a bitstream format is an either implicit or explicit notion of how material in that format can be interpreted. For
example, the interpretation for bitstreams encoded in the JPEG standard for still image compression is defined
explicitly in the Standard ISO/IEC 10918-1. The interpretation of bitstreams in Microsoft Word 2000 format is
defined implicitly, through reference to the Microsoft Word 2000 application. Bitstream formats can be more
specific than MIME types or file suffixes. For example, application/ms-word and .doc span multiple versions of
the Microsoft Word application, each of which produces bitstreams with presumably different characteristics.
Each bitstream format additionally has a support level, indicating how well the hosting institution is likely to be
able to preserve content in the format in the future. There are three possible support levels that bitstream
formats may be assigned by the hosting institution. The host institution should determine the exact meaning of
each support level, after careful consideration of costs and requirements. MIT Libraries' interpretation is shown
below:
Supported
The format is recognized, and the hosting institution is confident it can make bitstreams of
this format usable in the future, using whatever combination of techniques (such as migration,
emulation, etc.) is appropriate given the context of need.
Known
The format is recognized, and the hosting institution will promise to preserve the bitstream asis, and allow it to be retrieved. The hosting institution will attempt to obtain enough
information to enable the format to be upgraded to the 'supported' level.
Unsupported The format is unrecognized, but the hosting institution will undertake to preserve the
bitstream as-is and allow it to be retrieved.
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Each item has one qualified Dublin Core metadata record. Other metadata might be stored in an item as a
serialized bitstream, but we store Dublin Core for every item for interoperability and ease of discovery. The
Dublin Core may be entered by end-users as they submit content, or it might be derived from other metadata as
part of an ingest process.
Items can be removed from DSpace in one of two ways: They may be 'withdrawn', which means they remain in
the archive but are completely hidden from view. In this case, if an end-user attempts to access the withdrawn
item, they are presented with a 'tombstone,' that indicates the item has been removed. For whatever reason, an
item may also be 'expunged' if necessary, in which case all traces of it are removed from the archive.
Object
Example
Community
Laboratory of Computer Science; Oceanographic Research Center
Collection
LCS Technical Reports; ORC Statistical Data Sets
Item
A technical report; a data set with accompanying description; a video recording of a lecture
Bundle
A group of HTML and image bitstreams making up an HTML document
Bitstream
A single HTML file; a single image file; a source code file
Bitstream
Microsoft Word version 6.0; JPEG encoded image format
Format
Storage Resource Broker (SRB) Support
DSpace offers two means for storing bitstreams. The first is in the file system on the server. The second is
using SRB (Storage Resource Broker). Both are achieved using a simple, lightweight API.
SRB is purely an option but may be used in lieu of the server's file system or in addition to the file system.
Without going into a full description, SRB is a very robust, sophisticated storage manager that offers essentially
unlimited storage and straightforward means to replicate (in simple terms, backup) the content on other local or
remote storage resources.
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2 Installing DSpace
1 For the Impatient
2 Hardware Recommendations
3 Prerequisite Software
3.1 UNIX-like OS or Microsoft Windows
3.2 Oracle Java JDK 7 or OpenJDK 7
3.2.1 Elasticsearch requirements for Java
3.3 Apache Maven 3.0.5+ (Java build tool)
3.3.1 Configuring a Proxy
3.4 Apache Ant 1.8 or later (Java build tool)
3.5 Relational Database: (PostgreSQL or Oracle)
3.6 Servlet Engine (Apache Tomcat 7 or later, Jetty, Caucho Resin or equivalent)
3.7 Perl (only required for [dspace]/bin/dspace-info.pl)
4 Installation Instructions
4.1 Overview of Install Options
4.2 Overview of DSpace Directories
4.3 Installation
5 Advanced Installation
5.1 'cron' jobs / scheduled tasks
5.2 Multilingual Installation
5.3 DSpace over HTTPS
5.3.1 Enabling the HTTPS support in Tomcat itself (running on ports 8080 and 8443)
5.3.2 Using SSL on Apache HTTPD in front of Tomcat (running on ports 80 and 443)
5.4 The Handle Server
5.4.1 Updating Existing Handle Prefixes
5.5 Google and HTML sitemaps
5.6 Statistics
6 Windows Installation
7 Checking Your Installation
8 Known Bugs
9 Common Problems
9.1 Common Installation Issues
9.2 General DSpace Issues
2.1 For the Impatient
Since some users might want to get their test version up and running as fast as possible, offered below is an
unsupported outline of getting DSpace to run quickly in a Unix-based environment using the DSpace source
release.
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Only experienced unix admins should even attempt the following without going to the detailed
Installation Instructions
useradd -m dspace
gzip xzf dspace-5.x-src-release.tar.gz
createuser --username=postgres --no-superuser --pwprompt dspace
createdb --username=postgres --owner=dspace --encoding=UNICODE dspace
cd [dspace-source]
vi build.properties
mkdir [dspace]
chown dspace [dspace]
su - dspace
cd [dspace-source]
mvn package
cd [dspace-source]/dspace/target/dspace-installer
ant fresh_install
cp -r [dspace]/webapps/* [tomcat]/webapps
/etc/init.d/tomcat start
[dspace]/bin/dspace create-administrator
2.2 Hardware Recommendations
You can install and run DSpace on most modern PC, laptop or server hardware. However, if you intend to run
DSpace for a large community of potential end users, carefully review the Hardware Recommendations in the
User FAQ.
2.3 Prerequisite Software
The list below describes the third-party components and tools you'll need to run a DSpace server. These are
just guidelines. Since DSpace is built on open source, standards-based tools, there are numerous other
possibilities and setups.
Also, please note that the configuration and installation guidelines relating to a particular tool below are here for
convenience. You should refer to the documentation for each individual component for complete and up-to-date
details. Many of the tools are updated on a frequent basis, and the guidelines below may become out of date.
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2.3.1 UNIX-like OS or Microsoft Windows
UNIX-like OS (Linux, HP/UX, Mac OSX, etc.) : Many distributions of Linux/Unix come with some of the
dependencies below pre-installed or easily installed via updates. You should consult your particular
distribution's documentation or local system administrators to determine what is already available.
Microsoft Windows: After verifying all prerequisites below, see the Windows Installation section for
Windows tailored instructions
2.3.2 Oracle Java JDK 7 or OpenJDK 7
OpenJDK download and installation instructions can be found here http://openjdk.java.net/install/. Most
operating systems provide an easy path to install OpenJDK. Just be sure to install the full JDK (development
kit), and not the JRE (which is often the default example).
Oracle's Java can be downloaded from the following location: http://www.oracle.com/technetwork/java/javase
/downloads/index.html. Make sure to download the appropriate version of the Java SE JDK.
Make sure to install the JDK and not just the JRE
At this time, DSpace requires the full JDK (Java Development Kit) be installed, rather than just the
JRE (Java Runtime Environment). So, please be sure that you are installing the full JDK and not just
the JRE.
Be aware that Tomcat 7 uses Java 1.6 to compile JSPs by default. See information about Tomcat
below on how to configure it to use Java 1.7 for JSPs. Tomcat 8 uses Java 1.7 for JSPs by default. If
you use another Servlet Contain please refer to its documentation on this matter.
DSpace 5 is not officially tested with Java 8
DSpace 5 has not yet been fully tested with Java 8. The latest information on the testing efforts are
available at: DS-2653-Java 8 Support for DSpaceClosed
Elasticsearch requirements for Java
Elasticsearch (used in DSpace for Elasticsearch Usage Statistics, an optional feature) has its own
recommendations regarding Java flavour and version:
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http://www.elasticsearch.org/guide/en/elasticsearch/reference/current/setup.html
"Elasticsearch is built using Java, and requires at least Java 7 in order to run Only Oracle’s Java and the
OpenJDK are supported.
We recommend installing the Java 8 update 20 or later , or Java 7 update 55 or later . Previous versions of
Java 7 are known to have bugs that can cause index corruption and data loss."
2.3.3 Apache Maven 3.0.5+ (Java build tool)
Maven is necessary in the first stage of the build process to assemble the installation package for your DSpace
instance. It gives you the flexibility to customize DSpace using the existing Maven projects found in the [dspace-
source]/dspace/modules directory or by adding in your own Maven project to build the installation package for
DSpace, and apply any custom interface "overlay" changes.
Maven can be downloaded from the following location: http://maven.apache.org/download.html
Configuring a Proxy
You can configure a proxy to use for some or all of your HTTP requests in Maven. The username and password
are only required if your proxy requires basic authentication (note that later releases may support storing your
passwords in a secured keystore‚ in the mean time, please ensure your settings.xml file (usually ${user.home}/.
m2/settings.xml) is secured with permissions appropriate for your operating system).
Example:
<settings>
.
.
<proxies>
<proxy>
<active>true</active>
<protocol>http</protocol>
<host>proxy.somewhere.com</host>
<port>8080</port>
<username>proxyuser</username>
<password>somepassword</password>
<nonProxyHosts>www.google.com|*.somewhere.com</nonProxyHosts>
</proxy>
</proxies>
.
.
</settings>
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2.3.4 Apache Ant 1.8 or later (Java build tool)
Apache Ant is required for the second stage of the build process. It is used once the installation package has
been constructed in [dspace-source]/dspace/target/dspace-installer and still uses some of the familiar ant build
targets found in the 1.4.x build process.
Ant can be downloaded from the following location: http://ant.apache.org
2.3.5 Relational Database: (PostgreSQL or Oracle)
PostgreSQL 9.0 or later: PostgreSQL can be downloaded from http://www.postgresql.org/ .Unicode
(specifically UTF-8) support must be enabled (but this is enabled by default). Once installed, you need to
enable TCP/IP connections (DSpace uses JDBC):
In postgresql.conf: uncomment the line starting: listen_addresses = 'localhost'.
This is the default, in recent PostgreSQL releases, but you should at least check it.
Then tighten up security a bit by editing pg_hba.conf and adding this line: host dspace
dspace 127.0.0.1 255.255.255.255 md5. This should appear before any lines matching
all databases, because the first matching rule governs.
Then restart PostgreSQL.
Oracle 10g or later: Details on acquiring Oracle can be downloaded from the following location:
http://www.oracle.com/database/. You will need to create a database for DSpace. Make sure that the
character set is one of the Unicode character sets. DSpace uses UTF-8 natively, and it is suggested that
the Oracle database use the same character set. You will also need to create a user account for DSpace
(e.g. dspace) and ensure that it has permissions to add and remove tables in the database. Refer to the
Quick Installation for more details.
NOTE: If the database server is not on the same machine as DSpace, you must install the Oracle
client to the DSpace server and point tnsnames.ora and listener.ora files to the database the
Oracle server.
NOTE: DSpace uses sequences to generate unique object IDs — beware Oracle sequences,
which are said to lose their values when doing a database export/import, say restoring from a
backup. Be sure to run the script etc/oracle/update-sequences.sql after importing.
For people interested in switching from Postgres to Oracle, I know of no tools that would do this
automatically. You will need to recreate the community, collection, and eperson structure in the
Oracle system, and then use the item export and import tools to move your content over.
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2.3.6 Servlet Engine (Apache Tomcat 7 or later, Jetty, Caucho
Resin or equivalent)
Tomcat 7 Version
If you are using Tomcat 7, we recommend running Tomcat 7.0.30 or above. Tomcat 7.0.29 and lower
versions suffer from a memory leak. As a result, those versions of tomcat require an unusual high
amount of memory to run DSpace. This has been resolved as of Tomcat 7.0.30. More information can
be found in DS-1553
Apache Tomcat 7 or later. Tomcat can be downloaded from the following location: http://tomcat.apache.
org.
Note that DSpace will need to run as the same user as Tomcat, so you might want to install and
run Tomcat as a user called 'dspace'. Set the environment variable TOMCAT_USER
appropriately.
You need to ensure that Tomcat has a) enough memory to run DSpace and b) uses UTF-8 as its
default file encoding for international character support. So ensure in your startup scripts (etc) that
the following environment variable is set: JAVA_OPTS="-Xmx512M -Xms64M -Dfile.
encoding=UTF-8"
Modifications in [tomcat]/conf/server.xml : You also need to alter Tomcat's default
configuration to support searching and browsing of multi-byte UTF-8 correctly. You need to add a
configuration option to the <Connector> element in [tomcat]/config/server.xml: URIEncoding="
UTF-8"e.g. if you're using the default Tomcat config, it should read:
<!-- Define a non-SSL HTTP/1.1 Connector on port 8080 -->
<Connector port="8080"
maxThreads="150"
minSpareThreads="25"
maxSpareThreads="75"
enableLookups="false"
redirectPort="8443"
acceptCount="100"
connectionTimeout="20000"
disableUploadTimeout="true"
URIEncoding="UTF-8"/>
You may change the port from 8080 by editing it in the file above, and by setting the variable
CONNECTOR_PORT in server.xml.
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Tomcat 8 and above is using at least Java 1.7 for JSP compilation. However, by default, Tomcat 7
uses Java 1.6 for JSP compilation. If you want to use Java 1.7 in your .jsp files, you have to
change the configuration of Tomcat 7. Edit the file called web.xml in the configuration directory of
your Tomcat instance (${CATALINA_HOME}/conf in Tomcat notation). Look for a servlet definition
using the org.apache.jasper.servlet.JSPServlet servlet-class and add two init parameters
compilerSourceVM and compilerTargetVM as you see it in the example below. Then restart
Tomcat.
${CATALINA_BASE}/conf/web.xml
<servlet>
<servlet-name>jsp</servlet-name>
<servlet-class>org.apache.jasper.servlet.JspServlet</servlet-class>
<init-param>
<param-name>fork</param-name>
<param-value>false</param-value>
</init-param>
<init-param>
<param-name>xpoweredBy</param-name>
<param-value>false</param-value>
</init-param>
<init-param>
<param-name>compilerSourceVM</param-name>
<param-value>1.7</param-value>
</init-param>
<init-param>
<param-name>compilerTargetVM</param-name>
<param-value>1.7</param-value>
</init-param>
<load-on-startup>3</load-on-startup>
</servlet>
Jetty or Caucho Resin DSpace will also run on an equivalent servlet Engine, such as Jetty (http://www.
mortbay.org/jetty/index.html) or Caucho Resin (http://www.caucho.com/). Jetty and Resin are configured
for correct handling of UTF-8 by default.
2.3.7 Perl (only required for [dspace]/bin/dspace-info.pl)
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2.4 Installation Instructions
2.4.1 Overview of Install Options
Two different distributions are available for DSpace, both of which require you to build the distribution using
Apache Maven 3. The steps that are required to execute the build are identical. In a nutshell, the binary release
build will download pre-compiled parts of DSpace, while the building the source release will compile most of
DSpace's source code on your local machine.
It's important to notice that both releases will require outgoing internet connections on the machine or server
where you are executing the build, because maven needs to download 3rd party dependencies that are not
even included in the DSpace source release distribution.
Binary Release (dspace-<version>-release.zip)
This distribution will be adequate for most cases of running a DSpace instance. It is intended to be
the quickest way to get DSpace installed and running while still allowing for customization of the
themes and branding of your DSpace instance.
This method allows you to customize DSpace configurations (in dspace.cfg) or user interfaces,
using basic pre-built interface "overlays".
It downloads "precompiled" libraries for the core dspace-api, supporting servlets, taglibraries,
aspects and themes for the dspace-xmlui, dspace-xmlui and other webservice/applications.
This approach only exposes selected parts of the application for customization. All other modules
are downloaded from the 'Maven Central Repository' The directory structure for this release is the
following:
[dspace-source]
dspace/ - DSpace 'build' and configuration module
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Source Release (dspace-<version>-src-release.zip)
This method is recommended for those who wish to develop DSpace further or alter its underlying
capabilities to a greater degree.
It contains all dspace code for the core dspace-api, supporting servlets, taglibraries, aspects and
themes for Manakin (dspace-xmlui), and other webservice/applications.
Provides all the same capabilities as the binary release. The directory structure for this release is
more detailed:
[dspace-source]
dspace/ - DSpace 'build' and configuration module
dspace-api/ - Java API source module
dspace-jspui/ - JSP-UI source module
dspace-lni - Lightweight Network Interface source module (deprecated as of 5.0)
dspace-oai - OAI-PMH source module
dspace-rdf - RDF source module
dspace-rest - REST API source module
dspace-services - Common Services module
dspace-sword - SWORD (Simple Web-serve Offering Repository Deposit) deposit
service source module
dspace-swordv2 - SWORDv2 source module
dspace-xmlui - XML-UI (Manakin) source module
dspace-xmlui-mirage2 - Mirage 2 theme for the XMLUI
pom.xml - DSpace Parent Project definition
2.4.2 Overview of DSpace Directories
Before beginning an installation, it is important to get a general understanding of the DSpace directories and the
names by which they are generally referred. (Please attempt to use these below directory names when asking
for help on the DSpace Mailing Lists, as it will help everyone better understand what directory you may be
referring to.)
DSpace uses three separate directory trees. Although you don't need to know all the details of them in order to
install DSpace, you do need to know they exist and also know how they're referred to in this document:
1. The installation directory, referred to as [dspace]. This is the location where DSpace is installed and
running. It is the location that is defined in the dspace.cfg as "dspace.dir". It is where all the DSpace
configuration files, command line scripts, documentation and webapps will be installed.
2. The source directory, referred to as [dspace-source] . This is the location where the DSpace
release distribution has been unpacked. It usually has the name of the archive that you expanded such
as dspace-<version>-release or dspace-<version>-src-release. Normally it is the directory
where all of your "build" commands will be run.
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3. The web deployment directory. This is the directory that contains your DSpace web application(s).This
corresponds to [dspace]/webapps by default. However, if you are using Tomcat, you may decide to
copy your DSpace web applications from [dspace]/webapps/ to [tomcat]/webapps/ (with
[tomcat] being wherever you installed Tomcat‚ also known as $CATALINA_HOME).
For details on the contents of these separate directory trees, refer to directories.html. Note that the
[dspace-source] and [dspace] directories are always separate!
If you ever notice that many files seems to have duplicates under [dspace-source]/dspace/target do not
worry about it. This "target" directory will be used by Maven for the build process and you should not change
any file in it unless you know exactly what you are doing.
2.4.3 Installation
This method gets you up and running with DSpace quickly and easily. It is identical in both the Default Release
and Source Release distributions.
1. Create the DSpace user. This needs to be the same user that Tomcat (or Jetty etc.) will run as. e.g. as
root run:
useradd -m dspace
2. Download the latest DSpace release. There are two version available with each release of DSpace: (
dspace-n.x-release. and dspace-n.x-src-release.zzz); you only need to choose one. If you want a copy of
all underlying Java source code, you should download the dspace-n.x-src-release.xxxWithin each
version, you have a choice of compressed file format. Choose the one that best fits your environment.
a. Alternatively, you may choose to check out the latest release from the DSpace GitHub Repository.
In this case, you'd be checking out the full Java source code. You'd also want to be sure to
checkout the appropriate tag or branch. For more information on using / developing from the
GitHub Repository, see: Development with Git
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3. Unpack the DSpace software. After downloading the software, based on the compression file format,
choose one of the following methods to unpack your software:
a. Zip file. If you downloaded dspace-5.x-release.zip do the following:
unzip dspace-5.x-release.zip
b. .gz file. If you downloaded dspace-5.x-release.tar.gz do the following:
gunzip -c dspace-5.x-release.tar.gz | tar -xf -
c. .bz2 file. If you downloaded _dspace-5.x-release.tar.bz do the following:
bunzip2 dspace-5.x-release.tar.bz | tar -xf -
For ease of reference, we will refer to the location of this unzipped version of the DSpace release
as [dspace-source] in the remainder of these instructions. After unpacking the file, the user may
wish to change the ownership of the dspace-5.x-release to the "dspace" user. (And you may need
to change the group).
4. Database Setup
Also see "Relational Database" prerequisite notes above
PostgreSQL:
A PostgreSQL JDBC driver is configured as part of the default DSpace build. You no longer
need to copy any PostgreSQL jars to get PostgreSQL installed.
Create a dspace database user. This is entirely separate from the dspace operatingsystem user created above (you are still logged in as "root"):
createuser --username=postgres --no-superuser --pwprompt dspace
You will be prompted (twice) for a password for the new dspace user. Then you'll be
prompted for the password of the PostgreSQL superuser (postgres).
Create a dspace database, owned by the dspace PostgreSQL user (you are still logged in
as 'root'):
createdb --username=postgres --owner=dspace --encoding=UNICODE dspace
You will be prompted for the password of the PostgreSQL superuser ( postgres).
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Oracle:
Setting up DSpace to use Oracle is a bit different now. You will need still need to get a copy
of the Oracle JDBC driver, but instead of copying it into a lib directory you will need to
install it into your local Maven repository. (You'll need to download it first from this location:
http://www.oracle.com/technetwork/database/enterprise-edition/jdbc-112010-090769.html.)
Run the following command (all on one line):
mvn install:install-file
-Dfile=ojdbc6.jar
-DgroupId=com.oracle
-DartifactId=ojdbc6
-Dversion=11.2.0.4.0
-Dpackaging=jar
-DgeneratePom=true
You need to compile DSpace with an Oracle driver (ojdbc6.jar) corresponding to your
Oracle version - update the version in [dspace-source]/pom.xml E.g.:
<dependency>
<groupId>com.oracle</groupId>
<artifactId>ojdbc6</artifactId>
<version>11.2.0.4.0</version>
</dependency>
Create a database for DSpace. Make sure that the character set is one of the Unicode
character sets. DSpace uses UTF-8 natively, and it is required that the Oracle database
use the same character set. Create a user account for DSpace (e.g. dspace) and ensure
that it has permissions to add and remove tables in the database.
Uncomment and edit the Oracle database settings in [dspace-source]/build.properties (see
below for more information on the build.properties file):
db.driver = oracle.jdbc.OracleDriver
db.url = jdbc:oracle:thin:@host:port/SID
Where SID is the SID of your database defined in tnsnames.ora, default Oracle port is 1521.
Alternatively, you can use a full SID definition, e.g.:
db.url = jdbc:oracle:thin:@(description=(address_list=(address=(protocol=TCP)
(host=localhost)(port=1521)))(connect_data=(service_name=DSPACE)))
Later, during the Maven build step, don't forget to specify mvn -Ddb.name=oracle
package
5.
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5. Initial Configuration: Edit [dspace-source]/build.properties. This properties file contains the
basic settings necessary to actually build/install DSpace for the first time (see build.properties
Configuration for more detail). In particular you'll need to set these properties -- examples or defaults are
provided in the file:
dspace.install.dir - must be set to the [dspace] (installation) directory (On Windows be sure
to use forward slashes for the directory path! For example: "C:/dspace" is a valid path for
Windows.)
dspace.hostname - fully-qualified domain name of web server.
dspace.baseUrl - complete URL of this server's DSpace home page but without any context
eg. /xmlui, /oai, etc.
dspace.name - "Proper" name of your server, e.g. "My Digital Library".
solr.server - complete URL of the Solr server. DSpace makes use of Solr for indexing
purposes.
default.language
db.driver
db.url
db.username - the database username used in the previous step.
db.password - the database password used in the previous step.
mail.server - fully-qualified domain name of your outgoing mail server.
mail.from.address - the "From:" address to put on email sent by DSpace.
mail.feedback.recipient - mailbox for feedback mail.
mail.admin - mailbox for DSpace site administrator.
mail.alert.recipient - mailbox for server errors/alerts (not essential but very useful!)
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mail.registration.notify- mailbox for emails when new users register (optional)
The "build.properties" file is provided as a convenient method of setting only those
configurations necessary to install/upgrade DSpace. Any settings changed in this file, will
be automatically copied over to the full "dspace.cfg" file (which is held in [dspacesource]/dspace/config/dspace.cfg). Refer to the General Configuration section
for a fuller explanation.
It is also worth noting that you may choose to copy/rename the "build.properties" under a
different name for different environments (e.g. "development.properties", "test.
properties", and "production.properties"). You can choose which properties file you want
to build DSpace with by passing a "-Denv" (environment) flag to the "mvn package"
command (e.g. "mvn package -Denv=test" would build using "test.properties). See
General Configuration section for more details.
Do not remove or comment out settings in build.properties
When you edit the "build.properties" file (or a custom *.properties file), take care not to
remove or comment out any settings. Doing so, may cause your final "dspace.cfg" file to
be misconfigured with regards to that particular setting. Instead, if you wish to remove
/disable a particular setting, just clear out its value. For example, if you don't want to be
notified of new user registrations, ensure the "mail.registration.notify" setting has no
value, e.g.
mail.registration.notify=
6. DSpace Directory: Create the directory for the DSpace installation (i.e. [dspace]). As root (or a user
with appropriate permissions), run:
mkdir [dspace]
chown dspace [dspace]
(Assuming the dspace UNIX username.)
7. Build the Installation Package: As the dspace UNIX user, generate the DSpace installation package.
cd [dspace-source]
mvn package
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Building with Oracle Database Support
Without any extra arguments, the DSpace installation package is initialized for PostgreSQL. If
you want to use Oracle instead, you should build the DSpace installation package as follows:
mvn -Ddb.name=oracle package
Enabling and building the DSpace 5 Mirage 2 theme
Mirage 2 is a responsive theme for the XML User Interface, added as a new feature in DSpace
5. It has not yet replaced the Mirage 1 theme as the XMLUI default theme.
The Mirage 2 build requires git to be installed on your server. Install git before attempting the
Mirage 2 build.
To enable Mirage 2, add the following to the <themes> section of src/dspace/config
/xmlui.xconf , replacing the currently active theme:
<theme
name=
"Mirage 2"
regex=
".*"
path=
"Mirage2/"
/>
It is important to do this before executing the maven build.
Mirage 2 is not yet activated in the default "mvn package" build. To include it as part of the
build, run:
mvn package -Dmirage2.on=
true
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The speed of this specific step of the build can be increased by installing local copies of the
specific dependencies required for building Mirage 2. The Mirage 2 developer documentation
provides detailed instructions for these installations. After the installation of these
dependencies, you can choose to run:
mvn package -Dmirage2.on=
true
-Dmirage2.deps.included=
false
Warning: The Mirage 2 build process should NOT be run as "root". It must be run as a non-root
user. For more information see: Mirage 2 Common Build Issues
Defaults to building installation package with settings from "build.properties"
Without any extra arguments, the DSpace installation package will be initialized using the
settings in the [dspace-source]/build.properties file. However, if you want it to build
using a custom properties file, you may specify the "-Denv" (environment) flag as follows:
mvn -Denv=test package (would build the installation package using a custom [dspacesource]/test.properties file)
mvn -Denv=local package (would build the installation package using a custom [dspacesource]/local.properties file)
See General Configuration section for more details.
8. Install DSpace: As the dspace UNIX user, install DSpace to [dspace]:
cd [dspace-source]/dspace/target/dspace-installer
ant fresh_install
To see a complete list of build targets, run: ant help The most likely thing to go wrong here is
the test of your database connection. See the Common Problems Section below for more
details.
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9. Decide which DSpace Web Applications you want to install. DSpace comes with a variety of web
applications (in [dspace]/webapps), each of which provides a different "interface" to your DSpace.
Which ones you install is up to you, but there are a few that we highly recommend (see below):
a. "xmlui" = This is the XML-based User Interface (XMLUI), based on Apache Cocoon. It comes with
a variety of out-of-the-box themes, including Mirage 1 (the default) and Mirage 2 (based on
Bootstrap). Between the "xmlui" and "jspui", you likely only need to choose one.
b. "jspui" = This is the JSP-based User Interface (JSPUI), which is based on Bootstrap. Between the
"xmlui" and "jspui", you likely only need to choose one.
c. "solr" (required) = This is Apache Solr web application, which is used by the "xmlui" and "jspui"
(for search & browse functionality), as well as the OAI-PMH interface. It must be installed in
support of either UI.
d. "oai" = This is the DSpace OAI interface. It allows for Metadata and Bitstream (content-file)
harvesting, supporting OAI-PMH (Protocol for Metadata Harvest) and OAI-ORE (Object Reuse
and Exchange) protocols
e. "rdf" ( new ) = This is the DSpace RDF interface supporting Linked (Open) Data.
f. "rest" = This is the DSpace REST API
g. "sword" = This is the DSpace SWORDv1 interface. More info on SWORD protocol and its usage.
h. "swordv2" = This is the DSpace SWORDv2 interface. More info on SWORD protocol and its usage
.
i. "lni" (deprecated) = This is the DSpace Lightweight Networking Interface (LNI), supporting
WebDAV / SOAP / RPC API. It is disabled by default as we recommend using REST or SWORD
for most activities. In order to build it you must rebuild DSpace with the following flag: mvn
package -Pdspace-lni
10. Deploy Web Applications:
Please note that in the first instance you should refer to the appropriate documentation for your Web
Server of choice. The following instructions are meant as a handy guide. You have two choices or
techniques for having Tomcat/Jetty/Resin serve up your web applications:
Technique A. Tell your Tomcat/Jetty/Resin installation where to find your DSpace web application
(s). As an example, in the directory [tomcat]/conf/Catalina/localhost you could add files
similar to the following (but replace [dspace]with your installation location):
DEFINE A CONTEXT FOR DSpace XML User Interface: xmlui.xml
<?xml version='1.0'?>
<Context
docBase="[dspace]/webapps/xmlui"
reloadable="true"
cachingAllowed="false"/>
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DEFINE A CONTEXT PATH FOR DSpace JSP User Interface: jspui.xml
<?xml version='1.0'?>
<Context
docBase="[dspace]/webapps/jspui"
reloadable="true"
cachingAllowed="false"/>
DEFINE A CONTEXT PATH FOR DSpace Solr index: solr.xml
<?xml version='1.0'?>
<Context
docBase="[dspace]/webapps/solr"
reloadable="true"
cachingAllowed="false"/>
DEFINE A CONTEXT PATH FOR DSpace OAI User Interface: oai.xml
<?xml version='1.0'?>
<Context
docBase="[dspace]/webapps/oai"
reloadable="true"
cachingAllowed="false"/>
DEFINE ADDITIONAL CONTEXT PATHS FOR OTHER DSPACE WEB APPLICATIONS (REST, SWORD, RDF,
LNI, etc.): \[app\].xml
<?xml version='1.0'?>
<!-- CHANGE THE VALUE OF "[app]" FOR EACH APPLICATION YOU WISH TO ADD -->
<Context
docBase="[dspace]/webapps/[app]"
reloadable="true"
cachingAllowed="false"/>
The name of the file (not including the suffix ".xml") will be the name of the context, so for example
xmlui.xml defines the context at http://host:8080/xmlui. To define the root context (
http://host:8080/), name that context's file ROOT.xml.
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Tomcat Context Settings in Production
The above Tomcat Context Settings show adding the following to each <Context>
element:reloadable="true" cachingAllowed="false"
These settings are extremely useful to have when you are first getting started with
DSpace, as they let you tweak the DSpace XMLUI (XSLTs or CSS) or JSPUI (JSPs) and
see your changes get automatically reloaded by Tomcat (without having to restart
Tomcat). However, it is worth noting that the Apache Tomcat documentation
recommends Production sites leave the default values in place (reloadable="
false" cachingAllowed="true"), as allowing Tomcat to automatically reload all
changes may result in "significant runtime overhead".
It is entirely up to you whether to keep these Tomcat settings in place. We just
recommend beginning with them, so that you can more easily customize your site
without having to require a Tomcat restart. Smaller DSpace sites may not notice any
performance issues with keeping these settings in place in Production. Larger DSpace
sites may wish to ensure that Tomcat performance is more streamlined.
Technique B. Simple and complete. You copy only (or all) of the DSpace Web application(s) you
wish to use from the [dspace]/webapps directory to the appropriate directory in your Tomcat/Jetty
/Resin installation. For example:
cp -R [dspace]/webapps/* [tomcat]/webapps* (This will copy all the web applications to
Tomcat).
cp -R [dspace]/webapps/jspui [tomcat]/webapps* (This will copy only the jspui web
application to Tomcat.)
11. Initialize the DSpace Database (optional): While this step is optional (as the DSpace database will
auto-initialize itself on first startup), it's always good to verify one last time that your database connection
is working properly. To initialize the database run: (for more information on "database migrate" see
Database Utilities)
[dspace]/bin/dspace database migrate
12. Administrator Account: Create an initial administrator account from the command line:
[dspace]/bin/dspace create-administrator
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13. Initial Startup! Now the moment of truth! Start up (or restart) Tomcat/Jetty/Resin. Visit the base URL(s)
of your server, depending on which DSpace web applications you want to use. You should see the
DSpace home page. Congratulations! Base URLs of DSpace Web Applications:
a.
JSP User Interface - (e.g.) http://dspace.myu.edu:8080/jspui
XML User Interface (aka. Manakin) - (e.g.) http://dspace.myu.edu:8080/xmlui
OAI-PMH Interface - (e.g.) http://dspace.myu.edu:8080/oai/request?
verb=Identify (Should return an XML-based response)
In order to set up some communities and collections, you'll need to login as your DSpace Administrator (which
you created with create-administrator above) and access the administration UI in either the JSP or XML
user interface.
2.5 Advanced Installation
The above installation steps are sufficient to set up a test server to play around with, but there are a few other
steps and options you should probably consider before deploying a DSpace production site.
2.5.1 'cron' jobs / scheduled tasks
A few DSpace features require that a script is run regularly (via cron, or similar):
the e-mail subscription feature that alerts users of new items being deposited;
the 'media filter' tool, that generates thumbnails of images and extracts the full-text of documents for
indexing;
the 'checksum checker' that tests the bitstreams in your repository for corruption;
the sitemap generator, which enhances the ability of major search engines to index your content and
make it findable;
the curation system queueing feature, which allows administrators to "queue" tasks (to run at a later
time) from the Admin UI;
and Discovery (search & browse), OAI-PMH and Usage Statistics all receive performance benefits from
regular re-optimization
For much more information on recommended scheduled tasks, please see Scheduled Tasks via Cron.
2.5.2 Multilingual Installation
In order to deploy a multilingual version of DSpace you have to configure two parameters in [dspace-source]
/config/dspace.cfg:
default.locale, e.g. default.locale = en
webui.supported locales, e.g. webui.supported.locales = en, de
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The Locales might have the form country, country_language, country_language_variant.
According to the languages you wish to support, you have to make sure that all the i18n related files are
available. See the Configuring Multilingual Support section for the JSPUI or the Multilingual Support for XMLUI
in the configuration documentation.
2.5.3 DSpace over HTTPS
If your DSpace is configured to have users login with a username and password (as opposed to, say, client
Web certificates), then you should consider using HTTPS. Whenever a user logs in with the Web form (e.g.
dspace.myuni.edu/dspace/password-login) their DSpace password is exposed in plain text on the network. This
is a very serious security risk since network traffic monitoring is very common, especially at universities. If the
risk seems minor, then consider that your DSpace administrators also login this way and they have ultimate
control over the archive.
The solution is to use HTTPS (HTTP over SSL, i.e. Secure Socket Layer, an encrypted transport), which
protects your passwords against being captured. You can configure DSpace to require SSL on all
"authenticated" transactions so it only accepts passwords on SSL connections.
The following sections show how to set up the most commonly-used Java Servlet containers to support HTTP
over SSL.
Enabling the HTTPS support in Tomcat itself (running on ports 8080 and
8443)
Loosely based on http://tomcat.apache.org/tomcat-7.0-doc/ssl-howto.html.
1. For Production use: Follow this procedure to set up SSL on your server. Using a "real" server certificate
ensures your users' browsers will accept it without complaints. In the examples below,
$CATALINA_BASE is the directory under which your Tomcat is installed.
a. Create a Java keystore for your server with the password changeit, and install your server
certificate under the alias "tomcat". This assumes the certificate was put in the file server.pem:
$JAVA_HOME/bin/keytool -import -noprompt -v -storepass changeit -keystore
$CATALINA_BASE/conf/keystore -alias tomcat -file myserver.pem
b. Install the CA (Certifying Authority) certificate for the CA that granted your server cert, if
necessary. This assumes the server CA certificate is in ca.pem:
$JAVA_HOME/bin/keytool -import -noprompt -storepass changeit -trustcacerts -keystore
$CATALINA_BASE/conf/keystore -alias ServerCA -file ca.pem
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c. Optional – ONLY if you need to accept client certificates for the X.509 certificate stackable
authentication module See the configuration section for instructions on enabling the X.509
authentication method. Load the keystore with the CA (certifying authority) certificates for the
authorities of any clients whose certificates you wish to accept. For example, assuming the client
CA certificate is in client1.pem:
$JAVA_HOME/bin/keytool -import -noprompt -storepass changeit -trustcacerts -keystore
$CATALINA_BASE/conf/keystore
-alias client1 -file client1.pem
d. Now add another Connector tag to your server.xmlTomcat configuration file, like the example
below. The parts affecting or specific to SSL are shown in bold. (You may wish to change some
details such as the port, pathnames, and keystore password)
<Connector port="8443"
URIEncoding="UTF-8"
maxThreads="150" minSpareThreads="25"
enableLookups="false"
disableUploadTimeout="true"
acceptCount="100"
scheme="https" secure="true" sslProtocol="TLS"
keystoreFile="conf/keystore" keystorePass="changeit"
clientAuth="true" - ONLY if using client X.509 certs for authentication!
truststoreFile="conf/keystore" truststorePass="changeit" />
Also, check that the default Connector is set up to redirect "secure" requests to the same port as
your SSL connector, e.g.:
<Connector port="8080"
maxThreads="150" minSpareThreads="25"
enableLookups="false"
redirectPort="8443"
acceptCount="100" />
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2. Quick-and-dirty Procedure for Testing: If you are just setting up a DSpace server for testing, or to
experiment with HTTPS, then you don't need to get a real server certificate. You can create a "selfsigned" certificate for testing; web browsers will issue warnings before accepting it, but they will function
exactly the same after that as with a "real" certificate. In the examples below, $CATALINA_BASE is the
directory under which your Tomcat is installed.
a. Create a new key pair under the alias name "tomcat". When generating your key, give the
Distinguished Name fields the appropriate values for your server and institution. CN should be the
fully-qualified domain name of your server host. Here is an example:
$JAVA_HOME/bin/keytool -genkey \
-alias tomcat \
-keyalg RSA \
-keysize 1024 \
-keystore $CATALINA_BASE/conf/keystore \
-storepass changeit \
-validity 365 \
-dname 'CN=dspace.myuni.edu, OU=MIT Libraries, O=Massachusetts Institute of
Technology, L=Cambridge, S=MA, C=US'
You should be prompted for a password to protect the private key.
Since you now have a signed server certificate in your keystore you can, obviously, skip the next
steps of installing a signed server certificate and the server CA's certificate.
b. Optional – ONLY if you need to accept client certificates for the X.509 certificate stackable
authentication module See the configuration section for instructions on enabling the X.509
authentication method. Load the keystore with the CA (certifying authority) certificates for the
authorities of any clients whose certificates you wish to accept. For example, assuming the client
CA certificate is in client1.pem:
$JAVA_HOME/bin/keytool -import -noprompt -storepass changeit \
-trustcacerts -keystore $CATALINA_BASE/conf/keystore -alias client1 \
-file client1.pem
c. Follow the procedure in the section above to add another Connector tag, for the HTTPS port, to
your server.xml file.
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Using SSL on Apache HTTPD in front of Tomcat (running on ports 80 and
443)
When using Apache 2.4.2 (and lower) in front of a DSpace webapp deployed in Tomcat,
mod_proxy_ajp and possibly mod_proxy_http breaks the connection to the back end (Tomcat)
prematurely leading to response mixups. This is reported as bug CVE-2012-3502 ( http://web.nvd.nist.
gov/view/vuln/detail?vulnId=CVE-2012-3502 ) of Apache and fixed in Apache 2.4.3 (see http://www.
apache.org/dist/httpd/CHANGES_2.4) . The 2.2.x branch hasn't shown this problem only the 2.4.x
branch has.
Before following these instructions, it's HIGHLY recommended to first get DSpace running in
standalone Tomcat on port 8080. Once DSpace is running, you can use the below instructions to add
Apache HTTP Server in front of Tomcat in order to allow DSpace to run on port 80 and optionally port
443 (for SSL).
One of the easiest routes to both running DSpace on standard ports (80 and 443) as well as using HTTPS is to
install Apache HTTP Server as your primary HTTP server, and use it to forward requests to Tomcat.
1. Install Apache HTTP Server alongside your Tomcat instance
2. In your Tomcat's server.xml, ensure that the AJP Connector is UNCOMMENTED. Usually this runs on
port 8009, but you can decide to change the port if you desire
<!-- Define an AJP 1.3 Connector on port 8009 -->
<Connector port="8009" protocol="AJP/1.3" />
3. Choose how you'd like to redirect requests from Apache HTTP Server to Tomcat. There are two primary
options (mod_proxy OR mod_jk), just choose ONE. (NOTE: "mod_proxy" is often the easier of the two):
a. OPTION 1: Use "mod_proxy" and "mod_proxy_ajp" Apache modules to redirect requests to
Tomcat (via AJP Connector) - RECOMMENDED
i. Install "mod_proxy" and "mod_proxy_ajp" (usually they are installed by default with Apache
HTTP Server)
ii. Enable both "mod_proxy" and "mod_proxy_ajp" modules. How you do this is often based
on your operating system
1. In Debian / Ubuntu, there's an "a2enmod" command that enables Apache 2
modules. So, you can just run: sudo a2enmod proxy proxy_ajp
2. In other operating systems, you may need to find the appropriate "LoadModule"
configurations (in Apache HTTP Server's main config) and uncomment it. You'll then
need to restart Apache HTTP Server
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iii. Create a new Virtual Host in Apache HTTP Server to represent your DSpace site. Here's a
basic example of a Virtual Host responding to any port 80 requests for "my.dspace.edu":
<VirtualHost *:80>
# Obviously, replace the ServerName with your DSpace site URL
ServerName my.dspace.edu
## Apache HTTP Server Logging Settings - modify how you see fit
ErrorLog ${APACHE_LOG_DIR}/my.dspace.edu-error.log
CustomLog ${APACHE_LOG_DIR}/my.dspace.edu-access.log combined
# Possible values include: debug, info, notice, warn, error, crit, alert,
emerg.
LogLevel warn
# There are many more configurations available for Virtual Hosts,
# see the documentation for more details
# http://httpd.apache.org/docs/2.4/vhosts/
</VirtualHost>
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iv. If you want your site to also respond to SSL requests, you'll need to install and enable "
mod_ssl" and create a second Virtual Host to respond to port 443 requests. An example is
provided below. But much more details are available in the Apache HTTP SSL
Documentation and the mod_ssl documentation
<VirtualHost *:443>
# Obviously, replace the ServerName with your DSpace site URL
ServerName my.dspace.edu
# You can have SSL Apache logging settings here too (see the port 80 example
above)
# Configure your SSL Certificate (you must create one, obviously)
# See the "keytool" instructions above for examples of creating this
certificate
# There are also many good guides on the web for generating SSL certificates f
or Apache
SSLEngine on
SSLCertificateChainFile /path/to/your/chainfile.crt
SSLCertificateFile
/path/to/your/public-cert.crt
SSLCertificateKeyFile
/path/to/your/private-key.key
# More information on SSL configurations can be found in the mod_ssl
documentation
# http://httpd.apache.org/docs/2.4/mod/mod_ssl.html
</VirtualHost>
Extra SSL Configurations for X.509 Client Certificates authentication
If you are using X.509 Client Certificates for authentication: add these
configuration options to the appropriate httpd configuration file, e.g. ssl.conf, and
be sure they are in force for the virtual host and namespace locations dedicated
to DSpace:
## SSLVerifyClient can be "optional" or "require"
SSLVerifyClient optional
SSLVerifyDepth 10
SSLCACertificateFile /path/to/your/client-CA-certificate
SSLOptions StdEnvVars ExportCertData
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v. In each of your Apache HTTP Virtual Hosts (see above), use "ProxyPass" configurations to
configure the redirects from Apache HTTP Server to Apache Tomcat. The exact
configurations depend on whether you want to redirect ALL requests to Tomcat, or just
certain paths. Here's a basic example. But much more information and examples can be
found in the mod_proxy documentation
# These are just examples. THEY LIKELY WILL NEED MODIFICATION.
# Again, remember to add these to your EXISTING <VirtualHost> settings
<VirtualHost>
... (existing settings) ...
# If there's a single path you do NOT want redirected, you can use ! to ignore
it
# In this case any requests to "/ignored_path" will be handled by Apache HTTPD
and NOT forwarded to Tomcat
ProxyPass /ignored_path !
# These configurations say: By default, redirect ALL requests to port 8009
# (The port MUST match the port of your Tomcat AJP Connector. By default this
usually is 8009)
ProxyPass
ProxyPassReverse
/
/
ajp://localhost:8009/
ajp://localhost:8009/
# You may also wish to provide additional "mod_proxy" configurations,
# for more examples and details see the documentation at
# http://httpd.apache.org/docs/2.4/mod/mod_proxy.html
</VirtualHost>
b. OPTION 2: Alternatively, use "mod_jk" Apache module to redirect requests to Tomcat (via AJP
Connector). For information on configuring mod_jk, please see the Apache Tomcat Connector
documentation (specifically the "How To" on using the Tomcat Connector with Apache HTTP
Server). You may also refer to our wiki guide for installing DSpace with ModJk.
4. Finally, restart your Apache HTTP Server and test things out.
a. If you hit any issues, it is recommended to search around for guides to running Apache HTTP
Server and Apache Tomcat using either "mod_proxy" or "mod_jk". DSpace does not require any
unique configurations with regards to this redirection from Apache to Tomcat. So, any guides that
generally explain how to redirect requests from Apache to Tomcat should also work for DSpace.
2.5.4 The Handle Server
First a few facts to clear up some common misconceptions:
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You don't have to use CNRI's Handle system. At the moment, you need to change the code a little to use
something else (e.g PURLs) but that should change soon.
You'll notice that while you've been playing around with a test server, DSpace has apparently been
creating handles for you looking like hdl:123456789/24 and so forth. These aren't really Handles, since
the global Handle system doesn't actually know about them, and lots of other DSpace test installs will
have created the same IDs. They're only really Handles once you've registered a prefix with CNRI (see
below) and have correctly set up the Handle server included in the DSpace distribution. This Handle
server communicates with the rest of the global Handle infrastructure so that anyone that understands
Handles can find the Handles your DSpace has created.
If you want to use the Handle system, you'll need to set up a Handle server. This is included with
DSpace. Note that this is not required in order to evaluate DSpace; you only need one if you are running
a production service. You'll need to obtain a Handle prefix from the central CNRI Handle site.
A Handle server runs as a separate process that receives TCP requests from other Handle servers, and issues
resolution requests to a global server or servers if a Handle entered locally does not correspond to some local
content. The Handle protocol is based on TCP, so it will need to be installed on a server that can send and
receive TCP on port 2641.
1. To configure your DSpace installation to run the handle server, run the following command:
[dspace]/bin/dspace make-handle-config [dspace]/handle-server
Ensure that [dspace]/handle-server matches whatever you have in dspace.cfg for the handle.dir property.
a. If you are using Windows, the proper command is:
[dspace]/bin/dspace dsrun net.handle.server.SimpleSetup [dspace]/handle-server
Ensure that [dspace]/handle-server matches whatever you have in dspace.cfg for the handle.dir
property.
2. Edit the resulting [dspace]/handle-server/config.dct file to include the following lines in the "server_config"
clause:
"storage_type" = "CUSTOM"
"storage_class" = "org.dspace.handle.HandlePlugin"
This tells the Handle server to get information about individual Handles from the DSpace code.
3. Once the configuration file has been generated, you will need to go to http://hdl.handle.net/4263537/5014
to upload the generated sitebndl.zip file. The upload page will ask you for your contact information. An
administrator will then create the naming authority/prefix on the root service (known as the Global Handle
Registry), and notify you when this has been completed. You will not be able to continue the handle
server installation until you receive further information concerning your naming authority.
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4. When CNRI has sent you your naming authority prefix, you will need to edit the config.dct file. The file
will be found in /[dspace]/handle-server. Look for "300:0.NA/YOUR_NAMING_AUTHORITY". Replace
YOUR_NAMING_AUTHORITY with the assigned naming authority prefix sent to you.
5. Now start your handle server (as the dspace user):
[dspace]/bin/start-handle-server
a. If you are using Windows, the proper command is (please replace "[dspace]\handle-server" with
the full path of the handle-server directory):
[dspace]/bin/dspace dsrun net.handle.server.Main [dspace]/handle-server
Ensure that [dspace]/handle-server matches whatever you have in dspace.cfg for the handle.dir
property.
Note that since the DSpace code manages individual Handles, administrative operations such as Handle
creation and modification aren't supported by DSpace's Handle server.
Updating Existing Handle Prefixes
If you need to update the handle prefix on items created before the CNRI registration process you can run the
[dspace]/bin/dspace update-handle-prefix script. You may need to do this if you loaded items prior to CNRI
registration (e.g. setting up a demonstration system prior to migrating it to production). The script takes the
current and new prefix as parameters. For example:
[dspace]/bin/dspace update-handle-prefix 123456789 1303
This script will change any handles currently assigned prefix 123456789 to prefix 1303, so for example handle
123456789/23 will be updated to 1303/23 in the database.
2.5.5 Google and HTML sitemaps
To aid web crawlers index the content within your repository, you can make use of sitemaps. There are
currently two forms of sitemaps included in DSpace: Google sitemaps and HTML sitemaps.
Sitemaps allow DSpace to expose its content without the crawlers having to index every page. HTML sitemaps
provide a list of all items, collections and communities in HTML format, whilst Google sitemaps provide the
same information in gzipped XML format.
To generate the sitemaps, you need to run [dspace]/bin/dspace generate-sitemaps This creates the sitemaps in
[dspace]/sitemaps/
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The sitemaps can be accessed from the following URLs:
http://dspace.example.com/dspace/sitemap - Index sitemap
http://dspace.example.com/dspace/sitemap?map=0 - First list of items (up to 50,000)
http://dspace.example.com/dspace/sitemap?map=n - Subsequent lists of items (e.g. 50,0001 to 100,000)
etc...
HTML sitemaps follow the same procedure:
http://dspace.example.com/dspace/htmlmap - Index HTML based sitemap
etc...
When running [dspace]/bin/dspace generate-sitemaps the script informs Google that the sitemaps have been
updated. For this update to register correctly, you must first register your Google sitemap index page ( /dspace
/sitemap) with Google at http://www.google.com/webmasters/sitemaps/. If your DSpace server requires the use
of a HTTP proxy to connect to the Internet, ensure that you have set http.proxy.host and http.proxy.port in
[dspace]/config/dspace.cfg
The URL for pinging Google, and in future, other search engines, is configured in [dspace]/config/dspace.cfg
using the sitemap.engineurls setting where you can provide a comma-separated list of URLs to 'ping'.
You can generate the sitemaps automatically every day using an additional cron job:
# Generate sitemaps at 6:00 am local time each day
0 6 * * * [dspace]/bin/dspace generate-sitemaps
More information on why we highly recommend enabling sitemaps can be found at Search Engine
Optimization (SEO).
2.5.6 Statistics
DSpace uses the Apache Solr application underlaying the statistics. There is no need to download any separate
software. All the necessary software is included. To understand all of the configuration property keys, the user
should refer to DSpace Statistic Configuration for detailed information.
2.6 Windows Installation
Essentially installing on Windows is the same as installing on Unix so please refer back to the main Installation
Instructions section.
Download the DSpace source from SourceForge and unzip it (WinZip will do this)
If you install PostgreSQL, it's recommended to select to install the pgAdmin III tool. It provides a nice
User Interface for interacting with PostgreSQL databases.
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For all path separators use forward slashes (e.g. "/"). For example: "C:/dspace" is a valid Windows path.
But, be warned that "C:\dspace" IS INVALID and will cause errors.
2.7 Checking Your Installation
The administrator needs to check the installation to make sure all components are working. Here is list of
checks to be performed. In brackets after each item, it the associated component or components that might be
the issue needing resolution.
System is up and running. User can see the DSpace home page. [Tomcat/Jetty, firewall, IP assignment,
DNS]
Database is running and working correctly. Attempt to create a user, community or collection.
[PostgreSQL, Oracle] Run the database connection testing command to see if other issues are being
reported: [dspace]/bin/dspace database test
Email subsystem is running. The user can issue this command to test the email system: [dspace]/bin
/dspace test-email It attempts to send a test email to the email address that is set in dspace.cfg (mail.
admin). If it fails, you will get messages informing you as to why, referring you to the DSpace
documentation.
2.8 Known Bugs
In any software project of the scale of DSpace, there will be bugs. Sometimes, a stable version of DSpace
includes known bugs. We do not always wait until every known bug is fixed before a release. If the software is
sufficiently stable and an improvement on the previous release, and the bugs are minor and have known
workarounds, we release it to enable the community to take advantage of those improvements.
The known bugs in a release are documented in the KNOWN_BUGS file in the source package.
Please see the DSpace bug tracker for further information on current bugs, and to find out if the bug has
subsequently been fixed. This is also where you can report any further bugs you find.
2.9 Common Problems
In an ideal world everyone would follow the above steps and have a fully functioning DSpace. Of course, in the
real world it doesn't always seem to work out that way. This section lists common problems that people
encounter when installing DSpace, and likely causes and fixes. This is likely to grow over time as we learn
about users' experiences.
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2.9.1 Common Installation Issues
Database errors occur when you run ant fresh_install: There are two common errors that
occur.
If your error looks like this:
[java] 2004-03-25 15:17:07,730 INFO
org.dspace.storage.rdbms.InitializeDatabase @ Initializing Database
[java] 2004-03-25 15:17:08,816 FATAL
org.dspace.storage.rdbms.InitializeDatabase @ Caught exception:
[java] org.postgresql.util.PSQLException: Connection refused. Check
that the hostname and port are correct and that the postmaster is
accepting TCP/IP connections.
[java]
at
org.postgresql.jdbc1.AbstractJdbc1Connection.openConnection(AbstractJd
bc1Connection.java:204)
[java]
at org.postgresql.Driver.connect(Driver.java:139)
it usually means you haven't yet added the relevant configuration parameter to your PostgreSQL
configuration (see above), or perhaps you haven't restarted PostgreSQL after making the change.
Also, make sure that the db.username and db.password properties are correctly set in [dspace]
/config/dspace.cfg. An easy way to check that your DB is working OK over TCP/IP is to try this on
the command line:
psql -U dspace -W -h localhost
Enter the dspace database password, and you should be dropped into the psql tool with a
dspace=> prompt.
Another common error looks like this:
[java] 2004-03-25 16:37:16,757 INFO
org.dspace.storage.rdbms.InitializeDatabase @ Initializing Database
[java] 2004-03-25 16:37:17,139 WARN
org.dspace.storage.rdbms.DatabaseManager @ Exception initializing DB
pool
[java] java.lang.ClassNotFoundException: org.postgresql.Driver
[java]
at java.net.URLClassLoader$1.run(URLClassLoader.java:198)
[java]
at java.security.AccessController.doPrivileged(Native
Method)
[java]
at
java.net.URLClassLoader.findClass(URLClassLoader.java:186)
This means that the PostgreSQL JDBC driver is not present in [dspace]/lib. See above.
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GeoLiteCity Database file fails to download or install, when you run ant fresh_install: There
are two common errors that may occur:
If your error looks like this:
[get] Error getting http://geolite.maxmind.com/download/geoip/database/GeoLiteCity.dat.
gz to /usr/local/dspace/config/GeoLiteCity.dat.gz
BUILD FAILED
/dspace-release/dspace/target/dspace-installer/build.xml:931: java.net.
ConnectException: Connection timed out
it means that you likely either (a) don't have an internet connection to download the necessary
GeoLite Database file (used for DSpace Statistics), or (b) the GeoLite Database file's URL is no
longer valid.
Another common message looks like this:
[echo] WARNING : FAILED TO DOWNLOAD GEOLITE DATABASE FILE
[echo]
(Used for DSpace Solr Usage Statistics)
Again, this means the GeoLite Database file cannot be downloaded or is unavailable for some
reason. You should be able to resolve this issue by following the "Manually Installing/Updating
GeoLite Database File" instructions.
2.9.2 General DSpace Issues
Tomcat doesn't shut down: If you're trying to tweak Tomcat's configuration but nothing seems to make
a difference to the error you're seeing, you might find that Tomcat hasn't been shutting down properly,
perhaps because it's waiting for a stale connection to close gracefully which won't happen.
To see if this is the case, try running: ps -ef | grep java and look for Tomcat's Java
processes. If they stay around after running Tomcat's shutdown.sh script, trying running kill on
them (or kill -9 if necessary), then starting Tomcat again.
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Database connections don't work, or accessing DSpace takes forever: If you find that when you try
to access a DSpace Web page and your browser sits there connecting, or if the database connections
fail, you might find that a 'zombie' database connection is hanging around preventing normal operation.
To see if this is the case, try running: ps -ef | grep postgres
You might see some processes like this:
dspace 16325 1997 0
idle in transaction
Feb 14
?
0:00 postgres: dspace dspace
127.0.0.1
This is normal. DSpace maintains a 'pool' of open database connections, which are re-used to
avoid the overhead of constantly opening and closing connections. If they're 'idle' it's OK; they're
waiting to be used.
However sometimes, if something went wrong, they might be stuck in the middle of a query, which
seems to prevent other connections from operating, e.g.:
dspace 16325
SELECT
1997
0
Feb 14
?
0:00 postgres: dspace dspace
127.0.0.1
This means the connection is in the middle of a SELECT operation, and if you're not using
DSpace right that instant, it's probably a 'zombie' connection. If this is the case, try running kill
on the process, and stopping and restarting Tomcat.
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3 Upgrading DSpace
These instructions are valid for any of the following upgrade paths:
Upgrading ANY prior version (1.x.x, 3.x or 4.x) of DSpace to DSpace 5.x (latest version)
For more information about specific fixes released in each 5.x version, please refer to the appropriate
release notes:
DSpace 5.x Release Notes
For more information about new features or major changes in previous releases of DSpace, please
refer to following:
Releases - Provides links to release notes for all prior releases of DSpace
Version History - Provides detailed listing of all changes in all prior releases of DSpace
Upgrading database structure/data is now automated!
As of DSpace 5.0, the underlying DSpace database structure changes are now AUTOMATED (using
FlywayDB). This means that you no longer need to manually run SQL scripts. Instead, the first time
you run DSpace, it will auto-update your database structure (as needed) and migrate all your data to
be compatible with the installed version of DSpace. This allows you to concentrate your upgrade
efforts on customizing your site without having to worry about migrating your data!
For example, if you were running DSpace 1.4, and you wish to upgrade to DSpace 5, you can follow
the simplified instructions below. As soon as you point your DSpace 5 installation against the older
DSpace 1.4-compatible database, your database tables (and data) will automatically be migrated to be
compatible with DSpace 5.
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Please refrain for customizing the DSpace database tables. It will complicate your next
upgrade!
With the addition of our automated database upgrades, we highly recommend AGAINST customizing
the DSpace database tables/structure or backporting any features that change the DSpace tables
/structure. Doing so will often cause the automated database upgrade process to fail (and therefore
will complicate your next upgrade).
If you must add features requiring new database tables/structure, we recommend creating new tables
(instead of modifying existing ones), as that is usually much less disruptive to our automated database
upgrade.
Test Your Upgrade Process
In order to minimize downtime, it is always recommended to first perform a DSpace upgrade using a
Development or Test server. You should note any problems you may have encountered (and also how
to resolve them) before attempting to upgrade your Production server. It also gives you a chance to
"practice" at the upgrade. Practice makes perfect, and minimizes problems and downtime.
Additionally, if you are using a version control system, such as subversion or git, to manage your
locally developed features or modifications, then you can do all of your upgrades in your local version
control system on your Development server and commit the changes. That way your Production
server can just checkout your well tested and upgraded code.
In the notes below [dspace] refers to the install directory for your existing DSpace installation, and
[dspace-source] to the source directory for DSpace 5.x. Whenever you see these path references,
be sure to replace them with the actual path names on your local system.
1 Backup your DSpace
2 Update Prerequisite Software (as necessary)
3 Upgrade Steps
4 Troubleshooting Upgrade Issues
4.1 Manually Upgrading Solr Indexes
4.2 "Property was circularly defined" errors
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3.1 Backup your DSpace
Before you start your upgrade, it is strongly recommended that you create a backup of your DSpace instance.
Backups are easy to recover from; a botched install/upgrade is very difficult if not impossible to recover from.
The DSpace specific things to backup are: configs, source code modifications, database, and assetstore. On
your server that runs DSpace, you might additionally consider checking on your cron/scheduled tasks, servlet
container, and database.
Make a complete backup of your system, including:
Database: Make a snapshot/dump of the database. For the PostgreSQL database use Postgres'
pg_dump command. For example:
pg_dump -U [database-user] -f [backup-file-location] [database-name]
Assetstore: Backup the directory ([dspace]/assetstore by default, and any other assetstores
configured in the [dspace]/config/dspace.cfg "assetstore.dir" and "assetstore.dir.#" settings)
Configuration: Backup the entire directory content of [dspace]/config.
Customizations: If you have custom code, such as themes, modifications, or custom scripts, you will
want to back them up to a safe location.
Statistics data: what to back up depends on what you were using before: the options are the default
SOLR statistics, optional Elastic Search statistics, or the legacy statistics. Legacy stats utilizes the
dspace.log files, Elastic Search stats stores data in [dspace]/elasticsearch, SOLR Statistics
stores data in [dspace]/solr/statistics. A simple copy of the data directory should give you a
point of recovery, should something go wrong in the update process. We can't stress this enough, your
users depend on these statistics more than you realize. You need a backup.
3.2 Update Prerequisite Software (as necessary)
DSpace 5.x requires the following versions of prerequisite software:
Java 7 (Oracle or OpenJDK)
Apache Maven 3.0.5 or above
Apache Ant 1.8 or above
Database
PostgreSQL 9.0 or above, OR
Oracle 10g or above
Tomcat 7 or above
Refer to the Prerequisite Software section of "Installing DSpace" for more details around configuring and
installing these prerequisites.
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3.3 Upgrade Steps
1. Download DSpace 5.x: Either download DSpace 5.x from DSpace.org or check it out directly from the
Github repository.
a. NOTE: If you downloaded DSpace do not unpack it on top of your existing installation. Refer to
Installation Instructions, Step 3 for unpacking directives.
2. Merge any User Interface customizations or other customizations (if needed or desired). If you
have made any local customizations to your DSpace installation they may need to be migrated over to
the new DSpace.
a. NOTE: If you are upgrading across many versions of DSpace at once (e.g. from 1.x.x to 5.x), you
may find it easier to first upgrade DSpace, and then attempt to migrate over your various
customizations. Because each major version of DSpace tends to add new configurations and
features to the User Interface, older customizations may require more work to "migrate" to the
latest version of DSpace. In some situations, it may even be easier to "start fresh", and just recustomize the brand new User Interface with your local color scheme, header/footer, etc.
b. Customizations are typically housed in one of the following places:
i. JSPUI modifications: [dspace-source]/dspace/modules/jspui/src/main
/webapp/
ii. XMLUI modifications: [dspace-source]/dspace/modules/xmlui/src/main
/webapp/
iii. Config modifications: [dspace]/config
3. Edit the build.properties file (if needed) ([dspace-source]/build.properties). Any settings
changed in this build.properties file are automatically copied over to the final dspace.cfg file
during the "Build DSpace" process (in the next step). For more information on the build.properties file,
see "The build.properties Configuration Properties File" section of the Configuration Reference
documentation.
4. Build DSpace. Run the following commands to compile DSpace :
cd [dspace-source]/dspace/
mvn -U clean package
The above command will re-compile the DSpace source code and build its "installer". You will find the
result in [dspace-source]/dspace/target/dspace-installer
Defaults to PostgreSQL settings
Without any extra arguments, the DSpace installation package is initialized for PostgreSQL. If
you use Oracle instead, you should build the DSpace installation package as follows:
mvn -Ddb.name=oracle -U clean package
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Enabling and building the DSpace 5 Mirage 2 theme
Mirage 2 is a responsive theme for the XML User Interface, added as a new feature in DSpace
5. It has not yet replaced the Mirage 1 theme as the XMLUI default theme.
To enable Mirage 2, add the following to the <themes> section of src/dspace/config
/xmlui.xconf , replacing the currently active theme:
<theme
name=
"Mirage 2"
regex=
".*"
path=
"Mirage2/"
/>
It is important to do this before executing the maven build.
Mirage 2 is not yet activated in the default "mvn package" build. To include it as part of the
build, run:
mvn -U clean package -Dmirage2.on=
true
The speed of this specific step of the build can be increased by installing local copies of the
specific dependencies required for building Mirage 2. The Mirage 2 developer documentation
provides detailed instructions for these installations. After the installation of these
dependencies, you can choose to run:
mvn -U clean package -Dmirage2.on=
true
-Dmirage2.deps.included=
false
Warning: The Mirage 2 build process should NOT be run as "root". It must be run as a non-root
user. For more information see: Mirage 2 Common Build Issues
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5. Stop Tomcat (or servlet container). Take down your servlet container.
a. For Tomcat, use the $CATALINA_HOME/shutdown.sh script. (Many Unix-based installations will
have a startup/shutdown script in the /etc/init.d or /etc/rc.d directories.)
6. Update DSpace Installation. Update the DSpace installation directory with the new code and libraries.
Issue the following commands:
cd [dspace-source]/dspace/target/dspace-installer
ant update
The above command will also automatically upgrade all your existing Solr indexes (e.g. for Discovery,
Statistics, OAI-PMH) to the latest version. For large instances, this may take some time. But, it is
important to ensure that your indexes are usable by the latest version of DSpace.
a. If the Solr index upgrade fails, you may need to Manually Upgrade your Solr Indexes. See the
"Troubleshooting Upgrade Issues" section below.
7. Update your DSpace Configurations. You should review your configuration for new and changed
configurations in DSpace 5.x.
a. In the specific case of dspace.cfg it is recommended to start with a fresh copy of the file from
the new version and copy your site-specific settings from the old file. Read the new file carefully to
see if you need (or want) other alterations.
b. Please notice that as of DSpace 4, the default search and browse support has changed from the
old Lucene/DBMS-based method to Discovery.
c. It is recommended to review all configuration changes that exist in the config directory, and its
subdirectories. It is helpful to compare your current configs against a clean checkout of your
current version to see what you have customized. You might then also want to compare your
current configs with the configs of the version you are upgrading to. A tool that compares files in
directories such as Meld or DiffMerge is useful for this purpose.
i. Upgrading from 4.x to 5.x, notice that file config/crosswalks/google-metadata.properties
uses google.citation_author instead of google.citation_authors
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8. Decide which DSpace Web Applications you want to install. DSpace comes with a variety of web
applications (in [dspace]/webapps), each of which provides a different "interface" to your DSpace.
Which ones you install is up to you, but there are a few that we highly recommend (see below):
a. "xmlui" = This is the XML-based User Interface, based on Apache Cocoon. It comes with a variety
of out-of-the-box themes, including Mirage 1 (the default) and Mirage 2 (based on Bootstrap).
b.
c.
d.
e.
f.
g.
h.
i.
Between the "xmlui" and "jspui", you likely only need to choose one.
"jspui" = This is the JSPUI-based User Interface, which is based on Bootstrap. Between the
"xmlui" and "jspui", you likely only need to choose one.
"solr" (required) = This is Apache Solr web application, which is used by the "xmlui" and "jspui"
(for search & browse functionality), as well as the OAI-PMH interface. It must be installed in
support of either UI.
"oai" = This is the DSpace OAI interface. It allows for metadata and bitstream (content-file)
harvesting, supporting OAI-PMH (Protocol for Metadata Harvest) and OAI-ORE (Object Reuse
and Exchange) protocols
"rest" = This is the DSpace REST API
"sword" = This is the DSpace SWORDv1 interface. More info on SWORD protocol and its usage.
"swordv2" = This is the DSpace SWORDv2 interface. More info on SWORD protocol and its usage
.
"rdf" (new) = This is the DSpace RDF interface supporting Linked (Open) Data.
"lni" (deprecated) = This is the DSpace Lightweight Networking Interface, supporting WebDAV /
SOAP / RPC API. It is disabled by default as we recommend using REST or SWORD for most
activities. In order to build it you must rebuild DSpace with the following flag: mvn package Pdspace-lni
9. Deploy DSpace Web Applications. If necessary, copy the web applications from your [dspace]
/webapps directory to the subdirectory of your servlet container (e.g. Tomcat):
cp -R [dspace]/webapps/* [tomcat]/webapps/
See the installation guide for full details.
10. Upgrade your database (optional, but recommended for major upgrades). As of DSpace 5, the DSpace
code will automatically upgrade your database (from any prior version of DSpace). By default, this
database upgrade occurs automatically when you restart Tomcat (or your servlet container). However, if
you have a large repository or are upgrading across multiple versions of DSpace at once, you may wish
to manually perform the upgrade (as it could take some time, anywhere from 5-15 minutes for large
sites).
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a. First, you can optionally verify whether DSpace correctly detects the version of your DSpace
database. It is very important that the DSpace version is detected correctly before you attempt
the migration:
[dspace]/bin/dspace database info
# Look for a line at the bottom that says something like:
# "Your database looks to be compatible with DSpace version ___"
b. In some scenarios, if your database's "sequences" are outdated, inconsistent or incorrect, a
database migration error may occur (in your DSpace logs). In order to AVOID this scenario, you
may wish to manually run the "update-sequences.sql" script PRIOR to upgrade. This "updatesequences.sql" script will auto-correct any possible database sequence issues. In the future, we
hope to automate this step to avoid any sequence problems:
# General PostgreSQL example
psql -U [database-user] -f [dspace]/etc/postgres/update-sequences.sql [database-name]
# Example for a PostgreSQL database named "dspace", and a user account named "dspace"
# psql -U dspace -f [dspace]/etc/postgres/update-sequences.sql dspace
c. Then, you can upgrade your DSpace database to the latest version of DSpace. (NOTE: check the
DSpace log, [dspace]/log/dspace.log.[date], for any output from this command)
[dspace]/bin/dspace database migrate
d. The database migration should also automatically trigger your metadata/file registries to be
updated (based on the config files in [dspace]/config/registries/). However, if this update was NOT
triggered, you can also manually run these registry updates (they will not harm existing registry
contents) as follows:
[dspace]/bin/dspace
xml
[dspace]/bin/dspace
types.xml
[dspace]/bin/dspace
xml
[dspace]/bin/dspace
xml
[dspace]/bin/dspace
metadata.xml
[dspace]/bin/dspace
types.xml
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registry-loader -metadata [dspace]/config/registries/dcterms-types.
registry-loader -metadata [dspace]/config/registries/dublin-coreregistry-loader -metadata [dspace]/config/registries/eperson-types.
registry-loader -metadata [dspace]/config/registries/local-types.
registry-loader -metadata [dspace]/config/registries/swordregistry-loader -metadata [dspace]/config/registries/workflow-
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e. If the database upgrade process fails or throws errors, then you likely have manually customized
your database structure (and/or backported later DSpace features to an older version of DSpace).
In this scenario, you may need to do some manual migrations before the automatic migrations will
succeed. The general process would be something like this:
i. Revert back to your current DSpace database
ii. Manually upgrade just your database past the failing migration. For example, if you are
current using DSpace 1.5 and the "V1.6" migration is failing, you may need to first manually
upgrade your database to 1.6 compatibility. This may involve either referencing the
upgrade documentation for that older version of DSpace, or running the appropriate SQL
script from under [dspace-src]/dspace-api/src/main/resources/org/dspace
/storage/rdbms/sqlmigration/)
iii. Then, re-run the migration process from that point forward (i.e. re-run ./dspace
database migrate)
f. More information on this new "database" command can be found in Database Utilities
documentation.
11. Remove deprecated Database Browse Tables (optional, but recommended)
a. By default, DSpace now uses Discovery (backed by Solr) for its Search and Browse engine.
Discovery offers additional features like filtered (or faceted) searching, and "access aware"
searching which was not offered by the Legacy Search and Browse system. We highly
recommend using Discovery for a better Search and Browse experience. In the future, the Legacy
Search and Browse system likely will be removed.
b. As long as you plan to use the default settings in DSpace (with Discovery enabled), you can safely
remove any old Legacy browse tables (named "bi_*", where "bi" = browse index). To do so, simply
run:
[dspace]/bin/dspace index-db-browse -f -d
c. The contents of one more leftover Legacy browse table needs to be removed, the
"communities2item" table. From an SQL client, execute the following SQL (and commit the
changes/purge the recyclebin if you're using Oracle):
DELETE FROM COMMUNITIES2ITEM;
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12. Restart Tomcat (servlet container). Now restart your servlet container (Tomcat/Jetty/Resin) and test
out the upgrade.
a. Upgrade of database: If you didn't manually upgrade your database in the previous step, then
your database will be automatically upgraded to the latest version. This may take some time
(seconds to minutes), depending on the size of your repository, etc. Check the DSpace log (
[dspace]/log/dspace.log.[date]) for information on its status.
b. Reindexing of all content for search/browse: If your database was just upgraded (either
manually or automatically), all the content in your DSpace will be automatically re-indexed for
searching/browsing. As the process can take some time (minutes to hours, depending on the size
of your repository), it is performed in the background; meanwhile, DSpace can be used as the
index is gradually filled. But, keep in mind that not all content will be visible until the indexing
process is completed. Again, check the DSpace log ( [dspace]/log/dspace.log.[date]) for
information on its status.
13. Reindex SOLR Stats. If you were previously using SOLR stats, the schema has changed with DSpace
5; you will need to reindex your stats in order to ensure all of your stats data conforms to the new
schema specification. NOTE: it is safe to run a reindex on a live site, the script will store incoming usage
data in a temporary core.
14. Check your cron / Task Scheduler jobs. In recent versions of DSpace, some of the scripts names
have changed.
a. Check the Scheduled Tasks via Cron documentation for details. Especially pay attention to the
Solr Index optimization commands, which ideally should be run regularly (as noted in the previous
step).
3.4 Troubleshooting Upgrade Issues
3.4.1 Manually Upgrading Solr Indexes
If you run into issues with the auto-upgrade of your Solr search/browse indexes (during the final part of the ant
update step), then you may need to manually upgrade your Solr indexes. Depending on the type of failure,
there are a few possible fixes.
1. If the "ant update" process failed to download the lucene-core-3.5.0.jar, in order to upgrade a
DSpace 1.6.x, 1.7.x or 1.8.x index.
a. You can manually download the lucene-core-3.5.0.jar from http://search.maven.org
/remotecontent?filepath=org/apache/lucene/lucene-core/3.5.0/lucene-core-3.5.0.jar
b. Place the lucene-core-3.5.0.jar in your [dspace-source]/dspace/target/dspaceinstaller/ directory (i.e. the directory where you ran "ant update" from)
c. Re-Run "ant update". This time, it should find the lucene-core-3.5.0.jar locally and reattempt the upgrade of your Solr indexes.
2. If some other error occurred, you may need to manually upgrade your Solr indexes.
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2.
DSpace 5.x Documentation
a. Upgrading from DSpace 1.6.x, 1.7.x or 1.8.x: In DSpace 1.x versions, we used and older
version of Solr which is no longer compatible with the current version of Solr.
i. If you are using an older version of DSpace, you will see errors similar to this one until you
manually upgrade your index:
Caused by: org.apache.lucene.index.IndexFormatTooOldException: Format version is
not supported (resource: segment _386q in resource ChecksumIndexInput
(MMapIndexInput(path="/space/dspace/solr/statistics/data/index/segments_37m6"))):
2.x. This version of Lucene only supports indexes created with release 3.0 and
later.
ii. Manually upgrading your Solr index involves temporarily downloading an older version of
Lucene (on which Solr is based), and calling its IndexUpgrader script, e.g.
# Download Lucene 3.5.0, which can upgrade older Solr/Lucene indexes
wget "http://search.maven.org/remotecontent?filepath=org/apache/lucene/lucenecore/3.5.0/lucene-core-3.5.0.jar" -O lucene-core-3.5.0.jar
# Then, actually upgrade the indexes by loading the lucene-core-3.5.0.jar and
calling IndexUpgrader
# Upgrade the Usage Statistics index. Run this if you have Solr Usage Statistics
enabled in your UI.
java -cp lucene-core-3.5.0.jar org.apache.lucene.index.IndexUpgrader [dspace]
/solr/statistics/data/index/
# Upgrade the OAI-PMH indexes. Run this if you use the "oai" webapp.
java -cp lucene-core-3.5.0.jar org.apache.lucene.index.IndexUpgrader [dspace]
/solr/oai/data/index/
# NOTE: You do not need to upgrade the Discovery Search and Browse indexes as
they will be automatically rebuilt on upgrade (See previous upgrade step)
iii. At this point in time, your older indexes will now be compatible with Solr / Lucene 3.5. At
this point they are readable by the latest version of Solr.
iv. However, as a final step, you should still optimize each of these indexes using the
commands detailed in the "Upgrading from DSpace 3.x or Above" step below
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b. Upgrading from DSpace 3.x or above: DSpace provides optimization commands for all Solr
indexes. Which ones you need to run depend on which features you are using in DSpace.
# First, ensure your Tomcat is started up. All of the below commands will call Solr
directly, which requires Tomcat to be running.
# Optimize Usage Statistics (based on Solr). Run this if you have Usage Statistics
enabled in your UI.
[dspace]/bin/dspace stats-util -o
# Optimize OAI-PMH indexes (based on Solr). Run this if you use the "oai" webapp.
[dspace]/bin/dspace oai import -o
# NOTE: You should not need to optimize the Discovery Search and Browse indexes, as
they will be automatically rebuilt on upgrade (See previous upgrade step)
# However, you still may wish to schedule optimizing of Discovery Search & Browse (via
cron or similar)
# [dspace]/bin/dspace index-discovery -o
3.4.2 "Property was circularly defined" errors
If, after running ant update, you see an error like this:
[dspace-src]/dspace/target/dspace-installer/build.xml:88: Property ____ was circularly defined.
This usually means that you are attempting to build the new version of DSpace using an outdated build.
properties file. Specifically, the property which is reported as being "circularly defined" is likely missing from
your local [dspace-source]/build.properties file. To resolve this issue, simply:
1. Check your local build.properties file to ensure it is up to date, specifically looking for properties which
are missing and adding them in.
2. Rebuild DSpace (e.g. mvn -U clean package). See Upgrade Steps (step #4) above.
3. Continue the rest of the upgrade process (again from step #4) above
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4 Using DSpace
This page offers access to all aspects of the documentation relevant to using DSpace after it has been properly
installed or upgraded. These pages assume that DSpace is functioning properly. Please refer to the section on
System Administration if you are looking for information on diagnosing DSpace issues and measures you can
take to restore your DSpace to a state in which it functions properly.
4.1 Authentication and Authorization
Authentication Plugins
Embargo
Managing User Accounts
Request a Copy
4.1.1 Authentication Plugins
1 Stackable Authentication Method(s)
1.1 Authentication by Password
1.1.1 Enabling Authentication by Password
1.1.2 Configuring Authentication by Password
1.2 Shibboleth Authentication
1.2.1 Enabling Shibboleth Authentication
1.2.2 Configuring Shibboleth Authentication
1.2.2.1 Apache "mod_shib" Configuration (required)
1.2.2.2 Sample shibboleth2.xml Configuration
1.2.2.3 DSpace Shibboleth Configuration Options
1.3 LDAP Authentication
1.3.1 Enabling LDAP Authentication
1.3.2 Configuring LDAP Authentication
1.3.3 Enabling Hierarchical LDAP Authentication
1.3.4 Configuring Hierarchical LDAP Authentication
1.4 IP Authentication
1.4.1 Enabling IP Authentication
1.4.2 Configuring IP Authentication
1.5 X.509 Certificate Authentication
1.5.1 Enabling X.509 Certificate Authentication
1.5.2 Configuring X.509 Certificate Authentication
1.6 Example of a Custom Authentication Method
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Stackable Authentication Method(s)
Since many institutions and organizations have existing authentication systems, DSpace has been designed to
allow these to be easily integrated into an existing authentication infrastructure. It keeps a series, or "stack", of
authentication methods, so each one can be tried in turn. This makes it easy to add new authentication
methods or rearrange the order without changing any existing code. You can also share authentication code
with other sites.
Configuration
[dspace]/config/modules/authentication.cfg
File:
Property:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod
Example Value:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod = \
org.dspace.authenticate.PasswordAuthentication
The configuration property plugin.sequence.org.dspace.authenticate.AuthenticationMethod
defines the authentication stack. It is a comma-separated list of class names. Each of these classes implements
a different authentication method, or way of determining the identity of the user. They are invoked in the
order specified until one succeeds.
Existing Authentication Methods include
Authentication by Password (class: org.dspace.authenticate.PasswordAuthentication)
(DEFAULT)
Shibboleth Authentication (class: org.dspace.authenticate.ShibAuthentication)
LDAP Authentication (class: org.dspace.authenticate.LDAPAuthentication)
IP Address based Authentication (class: org.dspace.authenticate.IPAuthentication)
X.509 Certificate Authentication (class: org.dspace.authenticate.X509Authentication)
An authentication method is a class that implements the interface org.dspace.authenticate.
AuthenticationMethod. It authenticates a user by evaluating the credentials (e.g. username and
password) he or she presents and checking that they are valid.
The basic authentication procedure in the DSpace Web UI is this:
1. A request is received from an end-user's browser that, if fulfilled, would lead to an action requiring
authorization taking place.
2. If the end-user is already authenticated:
If the end-user is allowed to perform the action, the action proceeds
If the end-user is NOT allowed to perform the action, an authorization error is displayed.
If the end-user is NOT authenticated, i.e. is accessing DSpace anonymously:
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3. The parameters etc. of the request are stored.
4. The Web UI's startAuthentication method is invoked.
5. First it tries all the authentication methods which do implicit authentication (i.e. they work with just the
information already in the Web request, such as an X.509 client certificate). If one of these succeeds, it
proceeds from Step 2 above.
6. If none of the implicit methods succeed, the UI responds by putting up a "login" page to collect
credentials for one of the explicit authentication methods in the stack. The servlet processing that
page then gives the proffered credentials to each authentication method in turn until one succeeds, at
which point it retries the original operation from Step 2 above.
Please see the source files AuthenticationManager.java and AuthenticationMethod.java for
more details about this mechanism.
Authentication by Password
Enabling Authentication by Password
By default, this authentication method is enabled in DSpace.
However, to enable Authentication by Password, you must ensure the org.dspace.authenticate.
PasswordAuthentication class is listed as one of the AuthenticationMethods in the following configuration:
Configuration
[dspace]/config/modules/authentication.cfg
File:
Property:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod
Example Value:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod = \
org.dspace.authenticate.PasswordAuthentication
Configuring Authentication by Password
The default method org.dspace.authenticate.PasswordAuthentication has the following properties:
Use of inbuilt e-mail address/password-based log-in. This is achieved by forwarding a request that is
attempting an action requiring authorization to the password log-in servlet, /password-login. The
password log-in servlet (org.dspace.app.webui.servlet.PasswordServlet) contains code that
will resume the original request if authentication is successful, as per step 3. described above.
Users can register themselves (i.e. add themselves as e-people without needing approval from the
administrators), and can set their own passwords when they do this
Users are not members of any special (dynamic) e-person groups
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You can restrict the domains from which new users are able to register. To enable this feature,
uncomment the following line from dspace.cfg: authentication.password.domain.valid =
example.com Example options might be '@example.com' to restrict registration to users with
addresses ending in @example.com, or '@example.com, .ac.uk' to restrict registration to users with
addresses ending in @example.com or with addresses in the .ac.uk domain.
A full list of all available Password Authentication Configurations:
Configuration
[dspace]/config/modules/authentication-password.cfg
File:
Property:
domain.valid
Example
domain.value = @mit.edu, .ac.uk
Value:
Informational
This option allows you to limit self-registration to email addresses ending in a particular
Note:
domain value. The above example would limit self-registration to individuals with "@mit.edu"
email addresses and all ".ac.uk" email addresses.
Property:
login.specialgroup
Example
login.specialgroup = My DSpace Group
Value:
Informational
This option allows you to automatically add all password authenticated users to a specific
Note:
DSpace Group (the group must exist in DSpace) for the remainder of their logged in
session.
Property:
digestAlgorithm
Example
digestAlgorithm = SHA-512
Value:
Informational
This option specifies the hashing algorithm to be used in converting plain-text passwords to
Note:
more secure password digests. The example value is the default. You may select any digest
algorithm available through java.security.MessageDigest on your system. At least MD2,
MD5, SHA-1, SHA-256, SHA-384, and SHA-512 should be available, but you may have
installed others. Most sites will not need to adjust this.
Shibboleth Authentication
Enabling Shibboleth Authentication
To enable Shibboleth Authentication, you must ensure the org.dspace.authenticate.
ShibAuthentication class is listed as one of the AuthenticationMethods in the following configuration:
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Configuration
[dspace]/config/modules/authentication.cfg
File:
Property:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod
Example Value:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod = \
org.dspace.authenticate.ShibAuthentication
Configuring Shibboleth Authentication
Shibboleth is a distributed authentication system for securely authenticating users and passing attributes about
the user from one or more identity providers. In the Shibboleth terminology DSpace is a Service Provider which
receives authentication information and then based upon that provides a service to the user. To use Shibboleth,
DSpace requires that you use Apache installed with the mod_shib module acting as a proxy for all HTTP
requests for your servlet container (typically Tomcat). DSpace will receive authentication information from the
mod_shib module through HTTP headers.
Before DSpace will work with Shibboleth, you must have the following:
1. An Apache web server with the "mod_shib" module installed. As mentioned, this mod_shib module acts
as a proxy for all HTTP requests for your servlet container (typically Tomcat). Any requests to DSpace
that require authentication via Shibboleth should be redirected to 'shibd' (the shibboleth daemon) by this
"mod_shib" module. Details on installing/configuring mod_shib in Apache are available at: https://wiki.
shibboleth.net/confluence/display/SHIB2/NativeSPApacheConfig We also have a sample Apache +
mod_shib configuration provided below.
2. An external Shibboleth Idp (Identity Provider). Using mod_shib, DSpace will only act as a Shibboleth SP
(Service Provider). The actual Shibboleth Authentication & Identity information must be provided by an
external IdP. If you are using Shibboleth at your institution already, then there already should be a
Shibboleth IdP available. More information about Shibboleth IdPs versus SPs is available at: https://wiki.
shibboleth.net/confluence/display/SHIB2/UnderstandingShibboleth
For more information on installing and configuring a Shibboleth Service Provider see: https://wiki.shibboleth.net
/confluence/display/SHIB2/Installation
Note about Shibboleth Active vs Lazy Sessions:
When configuring your Shibboleth Service Provider there are two Shibboleth paradigms you may use: Active or
Lazy Sessions. Active sessions is where the mod_shib module is configured to product an entire URL space.
No one will be able to access that URL without first authenticating with Shibboleth. Using this method you will
need to configure shibboleth to protect the URL: "/shibboleth-login". The alternative, Lazy Session does not
protect any specific URL. Instead Apache will allow access to any URL, and when the application wants to it
may initiate an authenticated session.
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The Lazy Session method is preferable for most DSpace installations, as you usually want to provide public
access to (most) DSpace content, while restricting access to only particular areas (e.g. administration UI/tools,
private Items, etc.). When Active Sessions are enabled your entire DSpace site will be access restricted. In
other words, when using Active Sesssions, Shibboleth will require everyone to first authenticate before they can
access any part of your repository (which essentially results in a "dark archive", as anonymous access will not
be allowed).
Apache "mod_shib" Configuration (required)
As mentioned above, you must have Apache with the "mod_shib" module installed in order for DSpace to be
able to act as a Shibboleth Service Provider (SP). The mod_shib module acts as a proxy for all HTTP requests
for your servlet container (typically Tomcat). Any requests to DSpace that require authentication via Shibboleth
should be redirected to 'shibd' (the shibboleth daemon) by this "mod_shib" module. Details on installing
/configuring mod_shib in Apache are available at: https://wiki.shibboleth.net/confluence/display/SHIB2
/NativeSPApacheConfig General information about installing/configuring Shibboleth Service Providers (SPs)
can be found at: https://wiki.shibboleth.net/confluence/display/SHIB2/Installation
A few extra notes/hints when configuring mod_shib & Apache:
The Shibboleth setting "ShibUseHeaders" is no longer required to be set to "On", as DSpace will
correctly utilize attributes instead of headers.
When "ShibUseHeaders" is set to "Off" (which is recommended in the mod_shib documentation),
proper configuration of Apache to pass attributes to Tomcat (via either mod_jk or mod_proxy) can
be a bit tricky, SWITCH has some great documentation on exactly what you need to do. We will
eventually paraphrase/summarize this documentation here, but for now, the SWITCH page will
have to do.
When initially setting up Apache & mod_shib, https://www.testshib.org/ provides a great testing ground
for your configurations. This site provides a sample/demo Shibboleth IdP (as well as a sample Shibboleth
SP) which you can test against. It acts as a "sandbox" to get your configurations working properly, before
you point DSpace at your production Shibboleth IdP.
Below, we have provided a sample Apache configuration. However, as every institution has their own specific
Apache setup/configuration, it is highly likely that you will need to tweak this configuration in order to get it
working properly. Again, see the official mod_shib documentation for much more detail about each of these
settings: https://wiki.shibboleth.net/confluence/display/SHIB2/NativeSPApacheConfig These configurations are
meant to be added to an Apache <VirtualHost> which acts as a proxy to your Tomcat (or other servlet
container) running DSpace. More information on Apache VirtualHost settings can be found at: https://httpd.
apache.org/docs/2.2/vhosts/
#### SAMPLE MOD_SHIB CONFIGURATION FOR APACHE2 (it may require local modifications based on your
Apache setup) ####
# While this sample VirtualHost is for HTTPS requests (recommended for Shibboleth, obviously),
# you may also need/want to create one for HTTP (*:80)
<VirtualHost *:443>
...
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# PLEASE NOTE: We have omitted many Apache settings (ServerName, LogLevel, SSLCertificateFile,
etc)
# which you may need/want to add to your VirtualHost
# As long as Shibboleth module is installed, enable all Shibboleth/mod_shib related settings
<IfModule mod_shib>
# Shibboleth recommends turning on UseCanonicalName
# See "Prepping Apache" in https://wiki.shibboleth.net/confluence/display/SHIB2
/NativeSPApacheConfig
UseCanonicalName On
# Most DSpace instances will want to use Shibboleth "Lazy Session", which ensures that
users
# can access DSpace without first authenticating via Shibboleth.
# This section turns on Shibboleth "Lazy Session". Also ensures that once they have
authenticated
# (by accessing /Shibboleth.sso/Login path), then their Shib session is kept alive
<Location />
AuthType shibboleth
ShibRequireSession Off
require shibboleth
# If your "shibboleth2.xml" file specifies an <ApplicationOverride> setting for your
# DSpace Service Provider, then you may need to tell Apache which "id" to redirect Shib
requests to.
# Just uncomment this and change the value "my-dspace-id" to the associated @id attribute
value.
#ShibRequestSetting applicationId my-dspace-id
</Location>
# If a user attempts to access the DSpace shibboleth login page, force them to authenticate
via Shib
<Location "/shibboleth-login">
AuthType shibboleth
ShibRequireSession On
# Please note that setting ShibUseHeaders to "On" is a potential security risk.
# You may wish to set it to "Off". See the mod_shib docs for details about this setting:
# https://wiki.shibboleth.net/confluence/display/SHIB2
/NativeSPApacheConfig#NativeSPApacheConfig-AuthConfigOptions
# Here's a good guide to configuring Apache + Tomcat when this setting is "Off":
# https://www.switch.ch/de/aai/support/serviceproviders/sp-access-rules.
html#javaapplications
ShibUseHeaders On
require valid-user
</Location>
# Ensure /Shibboleth.sso path (in Apache) can be accessed
# By default it may be inaccessible if your Apache security is tight.
<Location "/Shibboleth.sso">
Order deny,allow
Allow from all
# Also ensure Shibboleth/mod_shib responds to this path
SetHandler shib
</Location>
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# Finally, you may need to ensure requests
# to Tomcat (as they need to be handled by
# NOTE: THIS SETTING IS LIKELY ONLY NEEDED
# ALL REQUESTS TO TOMCAT (e.g. ProxyPass /
# ProxyPass /Shibboleth.sso !
</IfModule>
to /Shibboleth.sso are NOT redirected
mod_shib instead).
IF YOU ARE USING mod_proxy TO REDIRECT
ajp://localhost:8009/)
...
</VirtualHost>
Sample shibboleth2.xml Configuration
In addition, here's a sample "ApplicationOverride" configuration for "shibboleth2.xml". This particular
"ApplicationOverride" is configured to use the Test IdP provided by http://www.testshib.org/ and is just meant as
an example. In order to enable it for testing purposes, you must specify ShibRequestSetting
applicationId testshib in your Apach mod_shib configuration (see above).
<!-- *** Sample Shibboleth Settings for http://www.testshib.org/ ***
-->
<!-- This provides a simple sample of how you could configure
<!-- shibboleth2.xml for DSpace sites.
-->
-->
<!-- TO ENABLE: You'd need to specify "applicationId" as "testshib" in
-->
<!-- your mod_shib settings, e.g.
-->
<!-- <Location />
-->
<!-...
-->
<!-ShibRequestSetting applicationId testshib
-->
<!-- </Location>
-->
<ApplicationOverride id="testshib" entityID="http://mydspace.edu/shibboleth" REMOTE_USER="p
rincipal-id">
<!-- We'll use a TEST IdP, hosted by the awesome http://www.testshib.org/ testing
service. -->
<!-- See also: https://wiki.shibboleth.net/confluence/display/SHIB2/NativeSPServiceSSO
-->
<Sessions lifetime="28800" timeout="3600" checkAddress="false" relayState="ss:mem"
handlerSSL="true">
<SSO entityID="https://idp.testshib.org/idp/shibboleth">
SAML2 SAML1
</SSO>
</Sessions>
<!-- Loads and trusts a metadata file that describes the IdP and how to communicate
with it. -->
<!-- By default, metadata is retrieved from the TEST IdP at http://www.testshib.org -->
<!-- and is cached in a local file named "testshib-idp-metadata.xml". -->
<!-- See also: https://wiki.shibboleth.net/confluence/display/SHIB2
/NativeSPMetadataProvider -->
<MetadataProvider type="XML" uri="http://www.testshib.org/metadata/testshib-providers.
xml"
backingFilePath="testshib-idp-metadata.xml" reloadInterval="180000"/>
</ApplicationOverride>
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DSpace Shibboleth Configuration Options
Authentication Methods:
DSpace supports authentication using NetID, or email address. A user's NetID is a unique identifier from the
IdP that identifies a particular user. The NetID can be of almost any form such as a unique integer, string, or
with Shibboleth 2.0 you can use "targeted ids". You will need to coordinate with your shibboleth federation or
identity provider. There are three ways to supply identity information to DSpace:
1) NetID from Shibboleth Header (best)
The NetID-based method is superior because users may change their email address with the identity provider.
When this happens DSpace will not be able to associate their new address with their old account.
2) Email address from Shibboleth Header (okay)
In the case where a NetID header is not available or not found DSpace will fall back to identifying a user basedupon their email address.
3) Tomcat's Remote User (worst)
In the event that neither Shibboleth headers are found then as a last resort DSpace will look at Tomcat's remote
user field. This is the least attractive option because Tomcat has no way to supply additional attributes about a
user. Because of this the autoregister option is not supported if this method is used.
Identity Scheme Migration Strategies:
If you are currently using Email based authentication (either 1 or 2) and want to upgrade to NetID based
authentication then there is an easy path. Simply enable shibboleth to pass the NetID attribute and set the netidheader below to the correct value. When a user attempts to log in to DSpace first DSpace will look for an
EPerson with the passed NetID, however when this fails DSpace will fall back to email based authentication.
Then DSpace will update the user's EPerson account record to set their netted so all future authentications for
this user will be based upon netted. One thing to note is that DSpace will prevent an account from switching
NetIDs. If an account all ready has a NetID set and then they try and authenticate with a different NetID the
authentication will fail.
EPerson Metadata:
One of the primary benefits of using Shibboleth based authentication is receiving additional attributes about
users such as their names, telephone numbers, and possibly their academic department or graduation
semester if desired. DSpace treats the first and last name attributes differently because they (along with email
address) are the three pieces of minimal information required to create a new user account. For both first and
last name supply direct mappings to the Shibboleth headers. In additional to the first and last name DSpace
supports other metadata fields such as phone, or really anything you want to store on an eperson object.
Beyond the phone field, which is accessible in the user's profile screen, none of these additional metadata fields
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will be used by DSpace out-of-the box. However if you develop any local modification you may access these
attributes from the EPerson object. The Vireo ETD workflow system utilizes this to aid students when submitting
an ETD.
Role-based Groups:
DSpace is able to place users into pre-defined groups based upon values received from Shibboleth. Using this
option you can place all faculty members into a DSpace group when the correct affiliation's attribute is provided.
When DSpace does this they are considered 'special groups', these are really groups but the user's
membership within these groups is not recorded in the database. Each time a user authenticates they are
automatically placed within the pre-defined DSpace group, so if the user loses their affiliation then the next time
they login they will no longer be in the group.
Depending upon the shibboleth attributed use in the role-header it may be scoped. Scoped is shibboleth
terminology for identifying where an attribute originated from. For example a students affiliation may be
encoded as "[email protected]". The part after the @ sign is the scope, and the preceding value is the value.
You may use the whole value or only the value or scope. Using this you could generate a role for students and
one institution different than students at another institution. Or if you turn on ignore-scope you could ignore the
institution and place all students into one group.
The values extracted (a user may have multiple roles) will be used to look up which groups to place the user
into. The groups are defined as "role.<role-name>" which is a comma separated list of DSpace groups.
Configuration
[dspace]/config/modules/authentication-shibboleth.cfg
File:
Property:
lazysession
Example
lazysession = true
Value:
Informational
Whether to use lazy sessions or active sessions. For more DSpace instances, you will likely
Note:
want to use lazy sessions. Active sessions will force every user to authenticate via
Shibboleth before they can access your DSpace (essentially resulting in a "dark archive").
Property:
lazysession.loginurl
Example
lazysession.loginurl = /Shibboleth.sso/Login
Value:
Informational
The url to start a shibboleth session (only for lazy sessions). Generally this setting will be "
Note:
/Shibboleth.sso/Login"
Property:
lazysession.secure
lazysession.secure = true
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Configuration
[dspace]/config/modules/authentication-shibboleth.cfg
File:
Example
Value:
Informational
Force HTTPS when authenticating (only for lazy sessions). Generally this is recommended
Note:
to be "true".
Property:
netid-header
Example
netid-header = SHIB-NETID
Value:
Informational
The HTTP header where shibboleth will supply a user's NetID. This HTTP header should be
Note:
specified as an Attribute within your Shibboleth "attribute-map.xml" configuration file.
Property:
email-header
Example
email-header = SHIB-MAIL
Value:
Informational
The HTTP header where the shibboleth will supply a user's email address. This HTTP
Note:
header should be specified as an Attribute within your Shibboleth "attribute-map.xml"
configuration file.
Property:
email-use-tomcat-remote-user
Example
email-use-tomcat-remote-user = false
Value:
Informational
Used when a netid or email headers are not available should Shibboleth authentication fall
Note:
back to using Tomcat's remote user feature? Generally this is not recommended. See the
"Authentication Methods" section above.
Property:
reconvert.attributes
Example
reconvert.attributes = false
Value
Informational
Shibboleth attributes are by default UTF-8 encoded. Some servlet container automatically
Note:
converts the attributes from ISO-8859-1 (latin-1) to UTF-8. As the attributes already were
UTF-8 encoded it may be necessary to reconvert them. If you set this property true, DSpace
converts all shibboleth attributes retrieved from the servlet container from UTF-8 to ISO8859-1 and uses the result as if it were UTF-8. This procedure restores the shibboleth
attributes if the servlet container wrongly converted them from ISO-8859-1 to UTF-8. Set
this true, if you notice character encoding problems within shibboleth attributes.
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Configuration
[dspace]/config/modules/authentication-shibboleth.cfg
File:
Property:
autoregister
Example
autoregister = true
Value:
Informational
Should we allow new users to be registered automatically?
Note:
Property:
sword.compatibility
Example
sword.compatibility = false
Value:
Informational
SWORD compatibility will allow this authentication method to work when using SWORD.
Note:
SWORD relies on username and password based authentication and is entirely incapable of
supporting shibboleth. This option allows you to authenticate username and passwords for
SWORD sessions with out adding another authentication method onto the stack. You will
need to ensure that a user has a password. One way to do that is to create the user via the
create-administrator command line command and then edit their permissions.
WARNING: If you enable this option while ALSO having "PasswordAuthentication" enabled,
then you should ensure that "PasswordAuthentication" is listed prior to "ShibAuthentication"
in your authentication.cfg file. Otherwise, ShibAuthentication will be used to authenticate all
of your users INSTEAD OF PasswordAuthentication.
Property:
firstname-header
Example
firstname-header = SHIB_GIVENNAME
Value:
Informational
The HTTP header where the shibboleth will supply a user's given name. This HTTP header
Note:
should be specified as an Attribute within your Shibboleth "attribute-map.xml" configuration
file.
Property:
lastname-header
Example
lastname-header = SHIB_SN
Value:
Informational
The HTTP header where the shibboleth will supply a user's surname. This HTTP header
Note:
should be specified as an Attribute within your Shibboleth "attribute-map.xml" configuration
file.
Property:
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Configuration
[dspace]/config/modules/authentication-shibboleth.cfg
File:
Example
Value:
eperson.metadata = \
SHIB-telephone => phone, \
SHIB-cn => cn
Informational
Additional user attributes mapping, multiple attributes may be stored for each user. The left
Note:
side is the Shibboleth-based metadata Header and the right side is the eperson metadata
field to map the attribute to.
Property:
eperson.metadata.autocreate
Example
eperson.metadata.autocreate = true
Value:
Informational
If the eperson metadata field is not found, should it be automatically created?
Note:
Property:
role-header
Example
role-header = SHIB_SCOPED_AFFILIATION
Value:
Informational
The shibboleth header to do role-based mappings (see section on roll based mapping
Note:
section above)
Property:
role-header.ignore-scope
Example
role-header.ignore-scope = true
Value:
Informational
Weather to ignore the attribute's scope (everything after the @ sign for scoped attributes)
Note:
Property:
role-header.ignore-value
Example
role-header.ignore-value = false
Value:
Informational
Weather to ignore the attribute's value (everything before the @ sign for scoped attributes)
Note:
Property:
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Configuration
[dspace]/config/modules/authentication-shibboleth.cfg
File:
Example
Value:
role.faculty = Faculty, Member \
role.staff = Staff, Member \
role.student = Students, Member
Informational
Mapping of affiliation values to DSpace groups. See the "Role-based Groups" section above
Note:
for more info.
LDAP Authentication
Enabling LDAP Authentication
To enable LDAP Authentication, you must ensure the org.dspace.authenticate.LDAPAuthentication
class is listed as one of the AuthenticationMethods in the following configuration:
Configuration
[dspace]/config/modules/authentication.cfg
File:
Property:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod
Example Value:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod = \
org.dspace.authenticate.LDAPAuthentication
Configuring LDAP Authentication
If LDAP is enabled, then new users will be able to register by entering their username and password without
being sent the registration token. If users do not have a username and password, then they can still register and
login with just their email address the same way they do now.
If you want to give any special privileges to LDAP users, create a stackable authentication method to
automatically put people who have a netid into a special group. You might also want to give certain email
addresses special privileges. Refer to the Custom Authentication Code section below for more information
about how to do this.
Here is an explanation of each of the different LDAP configuration parameters:
Configuration
[dspace]/config/modules/authentication-ldap.cfg
File:
Property:
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Configuration
[dspace]/config/modules/authentication-ldap.cfg
File:
Example
enable = false
Value:
Informational
This setting will enable or disable LDAP authentication in DSpace. With the setting off,
Note:
users will be required to register and login with their email address. With this setting on,
users will be able to login and register with their LDAP user ids and passwords.
Property:
autoregister
Example
autoregister = true
Value:
Informational
This will turn LDAP autoregistration on or off. With this on, a new EPerson object will be
Note:
created for any user who successfully authenticates against the LDAP server when they first
login. With this setting off, the user must first register to get an EPerson object by entering
their ldap username and password and filling out the forms.
Property:
provider_url
Example
provider_url = ldap://ldap.myu.edu/o=myu.edu
Value:
Informational
This is the url to your institution's LDAP server. You may or may not need the /o=myu.edu
Note:
part at the end. Your server may also require the ldaps:// protocol. (This field has no default
value)
Property:
id_field
Example
id_field = uid
Value:
Explanation:
This is the unique identifier field in the LDAP directory where the username is stored. (This
field has no default value)
Property:
object_context
Example
object_context = ou=people, o=myu.edu
Value:
Informational
This is the LDAP object context to use when authenticating the user. By default, DSpace will
Note:
use this value to create the user's DN in order to attempt to authenticate them. It is
appended to the id_field and username. For example uid=username,ou=people,
o=myu.edu. You will need to modify this to match your LDAP configuration. (This field has
no default value)
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Configuration
[dspace]/config/modules/authentication-ldap.cfg
File:
If your users do NOT all exist under a single "object_context" in LDAP, then you should
ignore this setting and INSTEAD use the Hierarchical LDAP Authentication settings below
(especially see "search.user" or "search.anonymous")
Property:
search_context
Example
search_context = ou=people
Value:
Informational
This is the search context used when looking up a user's LDAP object to retrieve their data
Note:
for autoregistering. With autoregister=true, when a user authenticates without an
EPerson object we search the LDAP directory to get their name (id_field) and email
address (email_field) so that we can create one for them. So after we have
authenticated against uid=username,ou=people,o=byu.edu we now search in ou=people for
filtering on [uid=username]. Often the search_context is the same as the
object_context parameter. But again this depends on your LDAP server configuration.
(This field has no default value, and it MUST be specified when either search.
anonymous=true or search.user is specified)
Property:
email_field
Example
email_field = mail
Value:
Informational
This is the LDAP object field where the user's email address is stored. "mail" is the most
Note:
common for LDAP servers. (This field has no default value)
If the "email_field" is unspecified, or the user has no email address in LDAP, his/her
username (id_field value) will be saved as the email in DSpace (or appended to
netid_email_domain, when specified)
Property:
netid_email_domain
Example
netid_email_domain = @example.com
Value:
Informational
If your LDAP server does not hold an email address for a user (i.e. no email_field), you
Note:
can use the following field to specify your email domain. This value is appended to the netid
(id_field) in order to make an email address (which is then stored in the DSpace
EPerson). For example, a netid of 'user' and netid_email_domain as @example.com
would set the email of the user to be [email protected]
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Configuration
[dspace]/config/modules/authentication-ldap.cfg
File:
Please note: this field will only be used if "email_field" is unspecified OR the user in
question has no email address stored in LDAP. If both "email_field" and "
netid_email_domain" are unspecified, then the "id_field" will be used as the email
address.
Property:
surname_field
Example
surname_field = sn
Value:
Informational
This is the LDAP object field where the user's last name is stored. "sn" is the most common
Note:
for LDAP servers. If the field is not found the field will be left blank in the new eperson
object. (This field has no default value)
Property:
givenname_field
Example
givenname_field = givenName
Value:
Informational
This is the LDAP object field where the user's given names are stored. I'm not sure how
Note:
common the givenName field is in different LDAP instances. If the field is not found the field
will be left blank in the new eperson object. (This field has no default value)
Property:
phone_field
Example
phone_field = telephoneNumber
Value:
Informational
This is the field where the user's phone number is stored in the LDAP directory. If the field is
Note:
not found the field will be left blank in the new eperson object. (This field has no default
value)
Property:
login.specialgroup
Example
login.specialgroup = group-name
Value:
Informational
If specified, all users who successfully login via LDAP will automatically become members
Note:
of this DSpace Group (for the remainder of their current, logged in session). This DSpace
Group must already exist (it will not be automatically created).
This is useful if you want a DSpace Group made up of all internal authenticated users. This
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Configuration
[dspace]/config/modules/authentication-ldap.cfg
File:
DSpace Group can then be used to bestow special permissions on any users who have
authenticated via LDAP (e.g. you could allow anyone authenticated via LDAP to view
special, on campus only collections or similar)
Property:
login.groupmap.*
Example
login.groupmap.1 = ou=Students:ALL_STUDENTS
Value:
login.groupmap.2 = ou=Employees:ALL_EMPLOYEES
login.groupmap.3 = ou=Faculty:ALL_FACULTY
Informational
The left part of the value (before the ":") must correspond to a portion of a user's DN (unless
Note:
"login.group.attribute" is specified..please see below). The right part of the value
corresponds to the name of an existing DSpace group.
For example, if the authenticated user's DN in LDAP is in the following form:
cn=jdoe,OU=Students,OU=Users,dc=example,dc=edu
that user would get assigned to the ALL_STUDENTS DSpace group for the remainder of
their current session.
However, if that same user later graduates and is employed by the university, their DN in
LDAP may change to:
cn=jdoe,OU=Employees,OU=Users,dc=example,dc=edu
Upon logging into DSpace after that DN change, the authenticated user would now be
assigned to the ALL_EMPLOYEES DSpace group for the remainder of their current session.
Note: This option can be used independently from the login.specialgroup option, which will
put all LDAP users into a single DSpace group. Both options may be used together.
Property:
login.groupmap.attribute
Example
login.groupmap.attribute = group
Value:
Informational
The value of the "login.groupmap.attribute" should specify the name of a single
Note:
LDAP attribute. If this property is uncommented, it changes the meaning of the left part of "
login.groupmap.*" (see above) as follows:
If the authenticated user has this LDAP attribute, look up the value of this LDAP
attribute in the left part (before the ":") of the login.groupmap.* value
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Configuration
[dspace]/config/modules/authentication-ldap.cfg
File:
If that LDAP value is found in any "login.groupmap.*" field, assign this authenticated
user to the DSpace Group specified by the right part (after the ":") of the login.
groupmap.* value.
For example:
login.groupmap.attribute = group
login.groupmap.1 = mathematics:Mathematics_Group
The above would ensure that any authenticated users where their LDAP "group" attribute
equals "mathematics" would be added to the DSpace Group named "Mathematics_Group"
for the remainder of their current session. However, if that same user logged in later with a
new LDAP "group" value of "computer science", he/she would no longer be a member of the
"Mathematics_Group" in DSpace.
Enabling Hierarchical LDAP Authentication
Please note, that DSpace doesn't contain the LDAPHierarchicalAuthentication class anymore.
This functionality is now supported by LDAPAuthentication, which uses the same configuration
options.
If your users are spread out across a hierarchical tree on your LDAP server, you may wish to have DSpace
search for the user name in your tree. Here's how it works:
1. DSpace gets the user name from the login form
2. DSpace binds to LDAP as an administrative user with right to search in DNs (LDAP may be configured to
allow anonymous users to search)
3. DSpace searches for the user name as within DNs (username is a part of full DN)
4. DSpace binds with the found full DN and password from login form
5. DSpace logs user in if LDAP reports successful authentication; refuses login otherwise
Configuring Hierarchical LDAP Authentication
Hierarchical LDAP Authentication shares all the above standard LDAP configurations, but has some additional
settings.
You can optionally specify the search scope. If anonymous access is not enabled on your LDAP server, you will
need to specify the full DN and password of a user that is allowed to bind in order to search for the users.
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Configuration
[dspace]/config/modules/authentication-ldap.cfg
File:
Property:
search_scope
Example
search_scope = 2
Value:
Informational
This is the search scope value for the LDAP search during autoregistering (
Note:
autoregister=true). This will depend on your LDAP server setup, and is only really
necessary if your users are spread out across a hierarchical tree on your LDAP server. This
value must be one of the following integers corresponding to the following values:
object scope : 0
one level scope : 1
subtree scope : 2
Please note that "search_context" in the LDAP configurations must also be specified.
Property:
search.anonymous
Example
search.anonymous = true
Value:
Informational
If true, DSpace will anonymously search LDAP (in the "search_context") for the DN of
Note:
the user trying to login to DSpace. This setting is "false" by default. By default, DSpace will
either use "search.user" to authenticate for the LDAP search (if search.user is specified),
or will use the "object_context" value to create the user's DN.
Property:
search.user
search.password
Example
search.user = cn=admin,ou=people,o=myu.edu
Value:
search.password = password
Informational
The full DN and password of a user allowed to connect to the LDAP server and search (in
Note:
the "search_context") for the DN of the user trying to login. By default, if unspecified,
DSpace will either search LDAP anonymously for the user's DN (when search.
anonymous=true), or will use the "object_context" value to create the user's DN.
IP Authentication
Enabling IP Authentication
To enable IP Authentication, you must ensure the org.dspace.authenticate.IPAuthentication class
is listed as one of the AuthenticationMethods in the following configuration:
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Configuration
[dspace]/config/modules/authentication.cfg
File:
Property:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod
Example Value:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod = \
org.dspace.authenticate.IPAuthentication
Configuring IP Authentication
Configuration File:
[dspace]/config/modules/authentication-ip.cfg
Once enabled, you are then able to map DSpace groups to IP addresses in authentication-ip.cfg by
setting ip.GROUPNAME = iprange[, iprange ...], e.g:
ip.MY_UNIVERSITY = 10.1.2.3,
13.5, \
11.3.4.5/24, \
12.7.8.9/255.255.128.0, \
2001:18e8::32
\
#
#
#
#
# Full IP
Partial IP
with CIDR
with netmask
IPv6 too
Negative matches can be set by prepending the entry with a '-'. For example if you want to include all of a class
B network except for users of a contained class c network, you could use: 111.222,-111.222.333.
Notes:
If the Groupname contains blanks you must escape the spaces, e.g. "Department\ of\ Statistics"
If your DSpace installation is hidden behind a web proxy, remember to set the useProxies
configuration option within the 'Logging' section of dspace.cfg to use the IP address of the user rather
than the IP address of the proxy server.
X.509 Certificate Authentication
Enabling X.509 Certificate Authentication
The X.509 authentication method uses an X.509 certificate sent by the client to establish his/her identity. It
requires the client to have a personal Web certificate installed on their browser (or other client software) which
is issued by a Certifying Authority (CA) recognized by the web server.
1. See the HTTPS installation instructions to configure your Web server. If you are using HTTPS with
Tomcat, note that the <Connector> tag must include the attribute clientAuth="true" so the server
requests a personal Web certificate from the client.
2.
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2. Add the org.dspace.authenticate.X509Authentication plugin first to the list of stackable
authentication methods in the value of the configuration key plugin.sequence.org.dspace.
authenticate.AuthenticationMethod
Configuration
[dspace]/config/modules/authentication.cfg
File:
Property:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod
Example Value:
plugin.sequence.org.dspace.authenticate.AuthenticationMethod = \
org.dspace.authenticate.X509Authentication, \
org.dspace.authenticate.PasswordAuthentication
Configuring X.509 Certificate Authentication
Configuration File:
[dspace]/config/modules/authentication-x509.cfg
1. You must also configure DSpace with the same CA certificates as the web server, so it can accept and
interpret the clients' certificates. It can share the same keystore file as the web server, or a separate one,
or a CA certificate in a file by itself. Configure it by oneof these methods, either the Java keystore
keystore.path = path to Java keystore file
keystore.password = password to access the keystore
...or the separate CA certificate file (in PEM or DER format):
ca.cert =
path to certificate file for CA whose client certs to accept.
2. Choose whether to enable auto-registration: If you want users who authenticate successfully to be
automatically registered as new E-Persons if they are not already, set the autoregister configuration
property to true. This lets you automatically accept all users with valid personal certificates. The default
is false.
Example of a Custom Authentication Method
Also included in the source is an implementation of an authentication method used at MIT, edu.mit.dspace.
MITSpecialGroup. This does not actually authenticate a user, it only adds the current user to a special
(dynamic) group called 'MIT Users' (which must be present in the system!). This allows us to create
authorization policies for MIT users without having to manually maintain membership of the MIT users group.
By keeping this code in a separate method, we can customize the authentication process for MIT by simply
adding it to the stack in the DSpace configuration. None of the code has to be touched.
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You can create your own custom authentication method and add it to the stack. Use the most similar existing
method as a model, e.g. org.dspace.authenticate.PasswordAuthentication for an "explicit" method
(with credentials entered interactively) or org.dspace.authenticate.X509Authentication for an
implicit method.
4.1.2 Embargo
1 What is an Embargo?
2 DSpace 3.0 New Embargo Functionality
3 Configuring and using Embargo in DSpace 3.0+
3.1 Introduction
3.2 dspace.cfg
3.3 Submission Process
3.3.1 item-submission.xml
3.3.2 Simple Embargo Settings
3.3.2.1 AccessStep
3.3.2.2 UploadWithEmbargoStep
3.3.3 Advanced Embargo Settings
3.3.3.1 AccessStep
3.3.3.2 UploadWithEmbargoStep
3.3.3.3 Restrict list of displayed groups to specific (sub)groups
3.4 Private/Public Item
3.5 Pre-3.0 Embargo Migration Routine
4 Technical Specifications
4.1 Introduction
4.2 ResourcePolicy
4.3 Item
4.4 Item.inheritCollectionDefaultPolicies(Collection c)
4.5 AuthorizeManager
4.6 Withdraw Item
4.7 Reinstate Item
4.8 Pre-DSpace 3.0 Embargo Compatibility
5 Pre-DSpace 3.0 Embargo
5.1 Embargo model and life-cycle
5.1.1 Terms assignment
5.1.2 Terms interpretation/imposition
5.1.3 Embargo period
5.1.4 Embargo lift
5.1.5 Post embargo
5.2 Configuration
5.3 Operation
5.4 Extending embargo functionality
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5.4.1 Setter
5.4.2 Lifter
What is an Embargo?
An embargo is a temporary access restriction placed on metadata or bitstreams. Its scope or duration may vary,
but the fact that it eventually expires is what distinguishes it from other content restrictions. For example, it is
not unusual for content destined for DSpace to come with permanent restrictions on use or access based on
license-driven or other IP-based requirements that limit access to institutionally affiliated users. Restrictions
such as these are imposed and managed using standard administrative tools in DSpace, typically by attaching
specific policies to Items, Collections, Bitstreams, etc. Embargo functionality was originally introduced as part of
DSpace 1.6, enabling embargoes on the level of items that applied to all bitstreams included in the item. In
DSpace 3.0, this functionality has been extended for the XML User Interface, enabling embargoes on the level
of individual bitstreams.
DSpace 3.0 New Embargo Functionality
Embargoes can be applied per item and per bitstream. The item level embargo will be the default for every
bitstream, although it could be customized at bitstream level.
As a DSpace administrator, you can choose to integrate either Simple or Advanced dialog screens as part of
the item submission process. These are outlined in detail in the sections Simple Embargo Settings and
Advanced Embargo Settings.
This preference is stored in the dspace.cfg value webui.submission.restrictstep.enableAdvancedForm. If not
set, the default is for Simple Embargo.
Configuration name changed
Please note that the configuration parameter name has been changed in DSpace 4.0 from xmlui.
submission.restrictstep.enableAdvancedForm to webui.submission.restrictstep.enableAdvancedForm
On the level of an individual item, a new Private/Public state has been introducted to control the visibility of item
metadata in the different indexes serving the DSpace web interface (search, browse, discovery), as well as
machine interfaces (REST-API, OAI-PMH, …)
The following functionality has been added in DSpace 3.0:
Browse private items
Submission Process
Simple/Advanced Access Step
Upload with embargo step
Edit Item
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Make it Private
Make it Public
The following functionality has been modified in DSpace 3.0:
Edit Item
Edit Bitstream
Wildcard Policy Admin Tool
Configuring and using Embargo in DSpace 3.0+
Introduction
The following sections describe the steps needed to configure and use the new Embargo functionality in
DSpace.
Note: when the embargo will be set at item level or bitstream level a new ResourcePolicy will be added.
dspace.cfg
As already mentioned the user will be given the opportunity to choose between:
Simple Embargo Settings
Advanced Embargo Settings
To switch between the two, you need to set following variable in the dspace.cfg file. A value of false (the
default) enables the simple settings while a value of true enables the advanced settings.
webui.submission.restrictstep.enableAdvancedForm=false
Submission Process
item-submission.xml
To enable the new embargo, changes are required to the item-submission.xml file, located in your config
directory. This file determines which steps are executed in the submission of a new item.
Two new submission steps have been introduced in the file. By default, they are not activated yet:
AccessStep: the step in which the user can set the embargo at item level, effectively restricting access to
the item metadata.
UploadWithEmbargoStep: the step in which the user can set the embargo at bitstream level. If this step
is enabled, the old UploadStep must be disabled. Leaving both steps enabled will result in a
system failure.
Here is an extract from the new file:
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<!--Step 3 will be to Manage Item access.
<step>
<heading>submit.progressbar.access</heading>
<processing-class>org.dspace.submit.step.AccessStep</processing-class>
<jspui-binding>org.dspace.app.webui.submit.step.JSPAccessStep</jspui-binding>
<xmlui-binding>org.dspace.app.xmlui.aspect.submission.submit.AccessStep</xmlui-binding>
<workflow-editable>true</workflow-editable>
</step>
-->
<!-- Step 4 Upload Item with Embargo Features (not supported in JSPUI)
to enable this step, please make sure to comment-out the previous step "UploadStep"
<step>
<heading>submit.progressbar.upload</heading>
<processing-class>org.dspace.submit.step.UploadWithEmbargoStep</processing-class>
<jspui-binding>org.dspace.app.webui.submit.step.JSPUploadWithEmbargoStep</jspui-binding>
<xmlui-binding>org.dspace.app.xmlui.aspect.submission.submit.UploadWithEmbargoStep<
/xmlui-binding>
<workflow-editable>true</workflow-editable>
</step>
-->
To enable the new Embargo, ensure that the new steps are uncommented and the old UploadStep is
commented out.
Simple Embargo Settings
Using the simple embargo settings, submitters will be able to define embargoes bound to specific dates, that
are applied to all anonymous and default read access. To keep the interface simple, options to apply
embargoes for particular groups of DSpace users are not shown. The simple embargo settings interface
assumes that embargoes always start immediately upon submission, so only end dates are configurable.
AccessStep
The simple AccessStep Embargo form renders three options for the user:
Private item: to hide an item's metadata from all search and browse indexes, as well as external
interfaces such as OAI-PMH.
Embargo Access until Specific Date: to indicate a date until which the item will be embargoed.
Reason: to elaborate on the specific reason why an item is under embargo.
When Embargo is set, it applies to Anonymous or to any other Group that is indicated to have default read
access for that specific collection.
This shows how the Access step is rendered, using the simple embargo settings:
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UploadWithEmbargoStep
The simple UploadWithEmbargoStep form renders two new fields for the user:
Embargo Access until Specific Date: to indicate a date until which the bitstream will be embargoed.
When left empty, no embargo will be applied.
Reason: to elaborate on the specific reason why the bitstream is under embargo.
These fields will be preloaded with the values set in the AccessStep.
The following picture shows the form for the Upload step, rendered using the simple embargo settings with
preloaded values:
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Advanced Embargo Settings
The Advanced Embargo settings are really designed with a submitter in mind who is aware of user groups in
DSpace and has understanding of how Resource Policies work.
AccessStep
The Advanced AccessStep Embargo step allows the users to manage more fine-grained resource policies to
attach to the item.
The form will render the following fields:
Policies List: list of the custom policies already added.
Private Item: whether to hide an item's metadata from all search and browse indexes, as well as external
interfaces such as OAI-PMH.
Name: to give a name to the policy.
Groups: to indicate the user groups to which the policy will apply.
Visible/Embargoed: whether the Item will be visible or embargoed for that specific group.
Embargo Access until Specific Date: to indicate a date until which the item will be embargoed.
Reason: to elaborate on the specific reason why the policy is applied.
The last two fields will be enabled only when Embargoed has been selected.
This step gives the opportunity to the user to manage the policy manually, so that combinations such as the
following will be possible:
Set Embargo for Anonymous
Set Embargo for anyone, except for the users belonging to a specific group
Set Embargo for specific groups, but not for other groups ...
Here is a screenshot of the Access step form that will be rendered for the advanced embargo settings:
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UploadWithEmbargoStep
UploadWithEmbargoStep for Advanced Embargo settings displays an additional Policies button next to Edit in
the list of uploaded files.
Clicking it brings you to the a page where you can edit existing policies on the bitstream and add new ones.
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When the button is pushed, a form similar to the one in the AccessStep will be rendered, making it possible to
manage the policies at bitstream level.
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Restrict list of displayed groups to specific (sub)groups
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For large instances of DSpace, the list of Groups can be quite long. Groups can be nested. This means that not
only EPersons can be members of groups, but groups themselves can belong to other groups.
When advanced embargo settings are enabled, you can limit the list of groups displayed to the submitters to
subgroups of a particular group.
To use this feature, assign the super group name to following configuration value in dspace.cfg:
webui.submission.restrictstep.groups=name_of_the_supergroup
Configuration name changed
Please note that the configuration parameter name has been changed in DSpace 4.0 from xmlui.
submission.restrictstep.groups to webui.submission.restrictstep.groups
Once a specific group is configured as supergroup here, only the groups belonging to the indicated group will
be loaded in the selection dialogs. By default, all groups are loaded.
Private/Public Item
It is also possible to adjust the Private/Public state of an item after it has been archived in the repository.
Here is a screenshot showing the updated Edit Item dialog:
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Private items are not retrievable through the DSpace search, browse or Discovery indexes.
Therefor, an admin-only view has been created to browse all private items. Here is a screenshot of this new
form:
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Pre-3.0 Embargo Migration Routine
A migration routine has been developed to migrate the current Embargo to the new one.
To execute it, run the following command:
./dspace migrate-embargo -a
Technical Specifications
Introduction
The following sections illustrate the technical changes that have been made to the back-end to add the new
Advanced Embargo functionality.
ResourcePolicy
When an embargo is set at item level or bitstream level, a new ResourcePolicy will be added.
Three new attributes have been introduced in the ResourcePolicy class:
rpname: resource policy name
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rptype: resource policy type
rpdescription: resource policy description
While rpname and rpdescription are fields manageable by users, the rptype is managed by DSpace itself. It
represents a type that a resource policy can assume, among the following:
TYPE_SUBMISSION: all the policies added automatically during the submission process
TYPE_WORKFLOW: all the policies added automatically during the workflow stage
TYPE_CUSTOM: all the custom policies added by users
TYPE_INHERITED: all the policies inherited from the enclosing object (for Item, a Collection; for
Bitstream, an Item).
Here is an example of all information contained in a single policy record:
policy_id: 4847
resource_type_id: 2
resource_id: 89
action_id: 0
eperson_id:
epersongroup_id: 0
start_date: 2013-01-01
end_date:
rpname: Embargo Policy
rpdescription: Embargoed through 2012
rptype: TYPE_CUSTOM
Item
To manage Private/Public state a new boolean attribute has been added to the Item:
isDiscoverable
When an Item is private, the attribute will assume the value false.
Item.inheritCollectionDefaultPolicies(Collection c)
This method has been adjusted to leave custom policies, added by the users, in place and add the default
collection policies only if there are no custom policies.
AuthorizeManager
Some methods have been changed on AuthorizeManager to manage the new fields and some convenience
methods have been introduced:
public static List<ResourcePolicy> findPoliciesByDSOAndType(Context c, DSpaceObject o, String
type);
public static void removeAllPoliciesByDSOAndTypeNotEqualsTo(Context c, DSpaceObject o, String
type);
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public static boolean isAnIdenticalPolicyAlreadyInPlace(Context c, DSpaceObject o, ResourcePolicy
rp);
public static ResourcePolicy createOrModifyPolicy(ResourcePolicy policy, Context context, String
name, int idGroup, EPerson ePerson, Date embargoDate, int action, String reason, DSpaceObject dso);
Withdraw Item
The feature to withdraw an item from the repository has been modified to keep all the custom policies in place.
Reinstate Item
The feature to reinstate an item in the repository has been modified to preserve existing custom policies.
Pre-DSpace 3.0 Embargo Compatibility
The Pre-DSpace 3.0 embargo functionality (see below) has been modified to adjust the policies setter and lifter.
These classes now also set the dates within the policy objects themselves in addition to setting the date in the
item metadata.
Pre-DSpace 3.0 Embargo
Embargo model and life-cycle
Functionally, the embargo system allows you to attach "terms" to an item before it is placed into the repository,
which express how the embargo should be applied. What do we mean by "terms" here? They are really any
expression that the system is capable of turning into (1) the time the embargo expires, and (2) a concrete set of
access restrictions. Some examples:
"2020-09-12" - an absolute date (i.e. the date embargo will be lifted)
"6 months" - a time relative to when the item is accessioned
"forever" - an indefinite, or open-ended embargo
"local only until 2015" - both a time and an exception (public has no access until 2015, local users OK
immediately)
"Nature Publishing Group standard" - look-up to a policy somewhere (typically 6 months)
These terms are interpreted by the embargo system to yield a specific date on which the embargo can be
removed (or "lifted"), and a specific set of access policies. Obviously, some terms are easier to interpret than
others (the absolute date really requires none at all), and the default embargo logic understands only the most
basic terms (the first and third examples above). But as we will see below, the embargo system provides you
with the ability to add your own interpreters to cope with any terms expressions you wish to have. This date that
is the result of the interpretation is stored with the item. The embargo system detects when that date has
passed, and removes the embargo ("lifts it"), so the item bitstreams become available. Here is a more detailed
life-cycle for an embargoed item:
Terms assignment
The first step in placing an embargo on an item is to attach (assign) "terms" to it. If these terms are missing, no
embargo will be imposed. As we will see below, terms are carried in a configurable DSpace metadata field, so
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assigning terms just means assigning a value to a metadata field. This can be done in a web submission user
interface form, in a SWORD deposit package, a batch import, etc. - anywhere metadata is passed to DSpace.
The terms are not immediately acted upon, and may be revised, corrected, removed, etc, up until the next stage
of the life-cycle. Thus a submitter could enter one value, and a collection editor replace it, and only the last
value will be used. Since metadata fields are multivalued, theoretically there can be multiple terms values, but in
the default implementation only one is recognized.
Terms interpretation/imposition
In DSpace terminology, when an Item has exited the last of any workflow steps (or if none have been defined
for it), it is said to be "installed" into the repository. At this precise time, the interpretation of the terms occurs,
and a computed "lift date" is assigned, which like the terms is recorded in a configurable metadata field. It is
important to understand that this interpretation happens only once, (just like the installation), and cannot be
revisited later. Thus, although an administrator can assign a new value to the metadata field holding the terms
after the item has been installed, this will have no effect on the embargo, whose "force" now resides entirely in
the "lift date" value. For this reason, you cannot embargo content already in your repository (at least using
standard tools). The other action taken at installation time is the actual imposition of the embargo. The default
behavior here is simply to remove the read policies on all the bundles and bitstreams except for the "LICENSE"
or "METADATA" bundles. See the Extending embargo functionality section below for how to alter this
behavior. Also note that since these policy changes occur before installation, there is no time during which
embargoed content is "exposed" (accessible by non-administrators). The terms interpretation and imposition
together are called "setting" the embargo, and the component that performs them both is called the embargo
"setter".
Embargo period
After an embargoed item has been installed, the policy restrictions remain in effect until removed. This is not an
automatic process, however: a "lifter" must be run periodically to look for items whose "lift date" has passed.
Note that this means the effective removal of an embargo does not occur on the lift date, but on the earliest
date after the lift date that the lifter is run. Typically, a nightly cron-scheduled invocation of the lifter is more than
adequate, given the granularity of embargo terms. Also note that during the embargo period, all metadata of the
item remains visible.This default behavior can be changed. One final point to note is that the "lift date", although
it was computed and assigned during the previous stage, is in the end a regular metadata field. That means, if
there are extraordinary circumstances that require an administrator (or collection editor - anyone with edit
permissions on metadata) to change the lift date, this can be done. Thus, one can "revise" the lift date without
reference to the original terms. This date will be checked the next time the "lifter" is run. One could immediately
lift the embargo by setting the lift date to the current day, or change it to "forever" to indefinitely postpone lifting.
Embargo lift
When the lifter discovers an item whose lift date is in the past, it removes ("lifts") the embargo. The default
behavior of the lifter is to add the resource policies that would have been added had the embargo not been
imposed. That is, it replicates the standard DSpace behavior, in which an item inherits its policies from its
owning collection. As with all other parts of the embargo system, you may replace or extend the default
behavior of the lifter (see Extending embargo functionality below). You may wish, e.g., to send an email to an
administrator or other interested parties when an embargoed item becomes available.
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Post embargo
After the embargo has been lifted, the item ceases to respond to any of the embargo life-cycle events. The
values of the metadata fields reflect essentially historical or provenance values. With the exception of the
additional metadata fields, the item is indistinguishable from items that were never subject to embargo.
Configuration
DSpace embargoes utilize standard metadata fields to hold both the "terms" and the "lift date". Which fields you
use are configurable, and no specific metadata element is dedicated or pre-defined for use in embargo. Rather,
you must specify exactly what field you want the embargo system to examine when it needs to find the terms or
assign the lift date.
The properties that specify these assignments live in dspace.cfg:
# DC metadata field to hold the user-supplied embargo terms
embargo.field.terms = SCHEMA.ELEMENT.QUALIFIER
# DC metadata field to hold computed "lift date" of embargo
embargo.field.lift = SCHEMA.ELEMENT.QUALIFIER
You replace the placeholder values with real metadata field names. If you only need the "default" embargo
behavior - which essentially accepts only absolute dates as "terms" - this is the only configuration required,
except as noted below.
There is also a property for the special date of "forever":
# string in terms field to indicate indefinite embargo
embargo.terms.open = forever
which you may change to suit linguistic or other preference.
You are free to use existing metadata fields, or create new fields. If you choose the latter, you must understand
that the embargo system does not create or configure these fields: i.e. you must follow all the standard
documented procedures for actually creating them (i.e. adding them to the metadata registry, or to display
templates, etc) - this does not happen automatically. Likewise, if you want the field for "terms" to appear in
submission screens and workflows, you must follow the documented procedure for configurable submission
(basically, this means adding the field to input-forms.xml). The flexibility of metadata configuration makes it easy
for you to restrict embargoes to specific collections, since configurable submission can be defined per
collection.
Key recommendations:
1. Use a local metadata schema. Breaking compliance with the standard Dublin Core in the default
metadata registry can create a problem for the portability of data to/from of your repository.
2.
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2. If using existing metadata fields, avoid any that are automatically managed by DSpace. For example,
fields like "date.issued" or "date.accessioned" are normally automatically assigned, and thus must not be
recruited for embargo use.
3. Do not place the field for "lift date" in submission screens. This can potentially confuse submitters
because they may feel that they can directly assign values to it. As noted in the life-cycle above, this is
erroneous: the lift date gets assigned by the embargo system based on the terms. Any pre-existing value
will be over-written. But see next recommendation for an exception.
4. As the life-cycle discussion above makes clear, after the terms are applied, that field is no longer
actionable in the embargo system. Conversely, the "lift date" field is not actionable until the application.
Thus you may want to consider configuring both the "terms" and "lift date" to use the same metadata
field. In this way, during workflow you would see only the terms, and after item installation, only the lift
date. If you wish the metadata to retain the terms for any resaon, use 2 distinct fields instead.
Operation
After the fields defined for terms and lift date have been assigned in dspace.cfg, and created and configured
wherever they will be used, you can begin to embargo items simply by entering data (dates, if using the default
setter) in the terms field. They will automatically be embargoed as they exit workflow. For the embargo to be
lifted on any item, however, a new administrative procedure must be added: the "embargo lifter" must be
invoked on a regular basis. This task examines all embargoed items, and if their "lift date" has passed, it
removes the access restrictions on the item. Good practice dictates automating this procedure using cron jobs
or the like, rather than manually running it.
The lifter is available as a target of the 1.6 DSpace launcher - see launcher documentation for details.
Extending embargo functionality
The 1.6 embargo system supplies a default "interpreter/imposition" class (the "Setter") as well as a "Lifter", but
they are fairly rudimentary in several respects.
Setter
The default setter recognizes only two expressions of terms: either a literal, non-relative date in the fixed format
"yyyy-mm-dd" (known as ISO 8601), or a special string used for open-ended embargo (the default configured
value for this is "forever", but this can be changed in dspace.cfg to "toujours", "unendlich", etc). It will perform a
minimal sanity check that the date is not in the past. Similarly, the default setter will only remove all read
policies as noted above, rather than applying more nuanced rules (e.g allow access to certain IP groups, deny
the rest). Fortunately, the setter class itself is configurable and you can "plug in" any behavior you like, provided
it is written in java and conforms to the setter interface. The dspace.cfg property:
# implementation of embargo setter plugin - replace with local implementation if applicable
plugin.single.org.dspace.embargo.EmbargoSetter = org.dspace.embargo.DefaultEmbargoSetter
controls which setter to use.
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Lifter
The default lifter behavior as described above - essentially applying the collection policy rules to the item - might
also not be sufficient for all purposes. It also can be replaced with another class:
implementation of embargo lifter plugin - - replace with local implementation if applicable
plugin.single.org.dspace.embargo.EmbargoLifter = org.dspace.embargo.DefaultEmbargoLifter
Pre-3.0 Embargo Lifter Commands
If you have implemented the pre DSpace 3.0 Embargo feature, you will need to run it periodically to check for
Items with expired embargoes and lift them.
Command used:
[dspace]/bin/dspace embargo-lifter
Java class:
org.dspace.embargo.EmbargoManager
Arguments short and (long)
Description
forms):
-c or --check
ONLY check the state of embargoed Items, do NOT lift any embargoes
-i or --identifier
Process ONLY this handle identifier(s), which must be an Item. Can be
repeated.
-l or --lift
Only lift embargoes, do NOT check the state of any embargoed items.
-n or --dryrun
Do no change anything in the data model, print message instead.
-v or --verbose
Print a line describing the action taken for each embargoed item found.
-q or --quiet
No output except upon error.
-h or --help
Display brief help screen.
You must run the Embargo Lifter task periodically to check for items with expired embargoes and lift them from
being embargoed. For example, to check the status, at the CLI:
[dspace]/bin/dspace embargo-lifter -c
To lift the actual embargoes on those items that meet the time criteria, at the CLI:
[dspace]/bin/dspace embargo-lifter -l
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4.1.3 Managing User Accounts
When a user registers an account for the purpose of subscribing to change notices, submitting content, or the
like, DSpace creates an EPerson record in the database. Administrators can manipulate these records in
several ways.
Please note that when a user has submitted content, his EPerson record cannot be deleted because there are
references to it from the submitted item(s). If it is necessary to prevent further use of such an account, it can be
marked "cannot log in".
From the browser: XMLUI
TBS
From the browser: JSPUI
TBS
From the command line
The user command
The dspace user command adds, lists, modifies, and deletes EPerson records.
To create a new user account:
[dspace]/bin/dspace user --add --email [email protected] -g John -s User --password hiddensecret
[dspace]/bin/dspace user --add --netid jquser --telephone 555-555-1234 --password hiddensecret
One of the options --email or --netid is required to name the record. The complete options are:
-
--add
required
--email
email address
--netid
"netid" (a username in an external system such as a directory – see Authentication
a
m
n
-
Methods for details)
--password
a password for the account. Required.
--givenname
First or given name
p
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g
-s
--surname
Last or surname
-t
--telephone
Telephone number
-l
--language
Preferred language
-c
--
Certificate required? See X.509 Authentication for details.
requireCertificate
To list accounts:
[dspace]/bin/dspace user --list
This simply lists some characteristics of each EPerson.
short
long
meaning
-L
--list
required
To modify an account:
[dspace]/bin/dspace user --modify -m [email protected]
short
long
meaning
-M
--modify
required
-m
--email
identify the account by email address
-n
--netid
identify the account by netid
-g
--givenname
First or given name
-s
--surname
Last or surname
-t
--telephone
telephone number
-l
--language
preferred language
-c
--requireCertificate
certificate required?
-C
--canLogIn
is the account enabled or disabled?
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short
long
meaning
-i
--newEmail
set or change email address
-I
--newNetid
set or change netid
To delete an account:
[dspace]/bin/dspace user --delete -n martha
short
long
meaning
-d
--delete
required
-m
--email
identify the account by email address
-n
--netid
identify the account by netid
The Groomer
This tool inspects all user accounts for several conditions.
short
long
meaning
-a
--aging
find accounts not logged in since a given date
-u
--unsalted
find accounts not using salted password hashes
-b
--before
date cutoff for --aging
-d
--delete
delete disused accounts (used with --aging)
Find accounts with unsalted passwords
Earlier versions of DSpace used an "unsalted hash" method to protect user passwords. Recent versions use a
salted hash. You can find accounts which have never been converted to salted hashing:
Discovering accounts with unsalted password hashes
[DSpace]/bin/dsrun org.dspace.eperson.Groomer -u
The output is a list of email addresses for matching accounts.
Find (and perhaps delete) disused accounts
You can list accounts which have not logged on since a given date:
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Discovering disused accounts
[DSpace]/bin/dsrun org.dspace.eperson.Groomer -a -b 07/20/1969
The output is a tab-separated-value table of the EPerson ID, last login date, email address, netid, and full name
for each matching account.
You can also have the tool delete matching accounts:
Deleting disused accounts
[DSpace]/bin/dsrun org.dspace.eperson.Groomer -a -b 07/20/1969 -d
Email Subscriptions
/*<![CDATA[*/ div.rbtoc1475182389041 {padding: 0px;} div.rbtoc1475182389041 ul {liststyle: none;margin-left: 0px;} div.rbtoc1475182389041 li {margin-left: 0px;padding-left:
0px;} /*]]>*/
Introduction
Adding new subscriptions
System configuration for sending out daily emails
Introduction
Registered users can subscribe to collections in DSpace. After subscribing, users will receive a daily email
containing the new and modified items in the collections they are subscribed to.
Adding new subscriptions
Adding new subscriptions is only available to users who are logged in.
In the XML User interface, new subscriptions are added on the users Profile page.
In the JSP User Interface, a specific dialog "Receive Email Updates" is available from the dropdown in the top
right corner.
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Receive email updates
System configuration for sending out daily emails
To send out the subscription emails you need to invoke the sub-daily script from the DSpace command
launcher. It is advised to setup this script as a scheduled task using cron.
This script can be run with a parameter -t for testing purposes. When this parameter is passed, the log level is
set to DEBUG to ensure that more diagnostic information will be added to the dspace logfile.
4.1.4 Request a Copy
Introduction
Requesting a copy using the XML User Interface
Requesting a copy using the JSP User Interface
(Optional) Requesting a copy with Help Desk workflow
Email templates
Configuration parameters
Spring Configuration Properties
Introduction
The request a copy functionality was added to DSpace as a measure to facilitate access in those cases when
uploaded content can not be openly shared with the entire world immediately after submission into DSpace. It
gives users an efficient way to request access to the original submitter of the item, who can approve this access
with the click of a button. This practice complies with most applicable policies as the submitter interacts directly
with the requester on a case by case basis.
Requesting a copy using the XML User Interface
Users can request a copy by clicking the file thumbnail or the blue lock symbol displayed on files that are
restricted to them.
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Restricted Item XMLUI
The request form asks the user for his or her name, email address and message where the reason for
requesting access can be entered.
After clicking request copy at the bottom of this form, the original submitter of the item will receive an email
containing the details of the request. The email also contains a link with a token that brings the original
submitter to a page where he or she can either grant or reject access. If the original submitter can not evaluate
the request, he or she can forward this email to the right person, who can use the link containing the token
without having to log into DSpace.
Each of these buttons registers the choice of the submitter, displaying the following form in which an additional
reason for granting or rejecting the access can be added.
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After hitting send, the contents of this form will be sent together with the associated files to the email address of
the requester. In case the access is rejected, only the reason will be sent to the requester.
After responding positively to a request for copy, the person who approved is presented with an optional form to
ask the repository administrator to alter the access rights of the item, allowing unrestricted open access to
everyone.
Requesting a copy using the JSP User Interface
Users can request a copy by clicking the green "Request a Copy" button for files that are restricted to them.
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Restricted item JSPUI
The request form asks the user for his or her name, email address and message where the reason for
requesting access can be entered.
After clicking request copy at the bottom of this form, the original submitter of the item will receive an email
containing the details of the request. The email also contains a link with a token that brings the original
submitter to a page where he or she can either grant or reject access. If the original submitter can not evaluate
the request, he or she can forward this email to the right person, who can use the link containing the token
without having to log into DSpace.
After approving or rejecting the request for a copy, the contents of the form will be sent together with the
associated files to the email address of the requester. In case the access is rejected, only the reason will be
sent to the requester.
(Optional) Requesting a copy with Help Desk workflow
(Optional) Request Item with HelpDesk intermediary, is steered towards having your Repository Support staff
act as a helpdesk that receives all incoming RequestItem requests, and then processes them. This adds the
options of "Initial Reply to Requestor" to let the requestor know that their request is being worked on, and an
option "Author Permission Request" which allows the helpdesk to email the author of the document, as not all
documents are deposited by the author, or the author will need to be tracked down by a support staff, as
DSpace might not have their current email address.
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Initial Reply to Requester
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Author permission request, includes information about the original request (requester name, requester email,
requester's reason for requesting). The author/submitter's name and email address will be pre-populated in the
form from the submitter, but the email address and author name are editable, as the submitter's of content to
DSpace aren't always the author.
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Email templates
Most of the email templates used by Request a Copy are treated just like other email templates in DSpace. The
templates can be found in the /config/emails directory and can be altered just by changing the contents and
restarting tomcat.
request_item. template for the message that will be sent to the administrator of the repository, after the
original submitter requests to have the permissions changed for this item.
admin
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request_item. template for the message that will be sent to the original submitter of an item with the
request for copy.
author
The templates for emails that the requester receives, that could have been customized by the approver in the
aforementioned dialog are not managed as separate email template files. These defaults are stored in the
Messages.properties file under the keys
itemRequest.response.body.approve
Default message for informing the requester of the
approval
itemRequest.response.body.reject
Default message for informing the requester of the
rejection
itemRequest.response.body.contactAuthor
Default message for the helpdesk to contact the author
itemRequest.response.body.
Default message for the helpdesk to contact the requester
contactRequester
Configuration parameters
Request a copy is enabled in DSpace 4 by default. Only two configuration parameters in dspace.cfg relate to
Request a Copy:
Property:
request.item.type
Example
request.item.type = all
Value
Informational
This parameter manages who can file a request for an item. The parameter is optional. When
Note
it is empty or commented out, request a copy is disabled across the entire repository. When
set to all, any user can file a request for a copy. When set to logged, only registered users
can file a request for copy.
Property:
mail.helpdesk
Example
mail.helpdesk = [email protected]
Value
Informational
In JSPUI, the email address assigned to this parameter will receive the emails both for
Note
granting or rejecting request a copy requests, as well as requests to change item policies. In
XMLUI, the parameter will also receive these requests to change item policies. However, the
actual requests for copy in XMLUI will initially be directed at the email address of the original
submitter. When this email address can not be retrieved, the address in mail.helpdesk will be
used as a fallback.
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This parameter is optional. If it is empty or commented out, it will default to mail.admin.
Property:
request.item.helpdesk.override
Example
request.item.helpdesk.override = true
Value
Informational
Should all Request Copy emails go to the helpdesk instead of the
Note
item submitter? Default is false, which sends Item Requests to the
item submitter.
Spring Configuration Properties
The process that DSpace will determine who the recipient of the Item Request is configureable by Spring.
config/spring/api/requestitem.xml
By default the RequestItemMetadataStrategy is enabled, but falls back to the Item Submitter eperson's name
and email. You can configure the RequestItemMetadataStrategy to load the author's name and email address if
you set that information into an item metadata field.
<bean class="org.dspace.app.requestitem.RequestItemMetadataStrategy"
id="org.dspace.app.requestitem.RequestItemAuthorExtractor">
<!--
Uncomment these properties if you want lookup in metadata the email and the name of the auth
If you don't configure that or if the requested item doesn't have these metadata the submitt
<property name="emailMetadata" value="schema.element.qualifier" />
<property name="fullNameMatadata" value="schema.element.qualifier" />
-->
</bean>
Otherwise, if you wish to use the Helpdesk Strategy, you have to comment out the other
RequestItemAuthorExtractor, and uncomment:
<bean
class=
"org.dspace.app.requestitem.RequestItemHelpdeskStrategy"
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id=
"org.dspace.app.requestitem.RequestItemAuthorExtractor"
></bean>
4.2 Exporting Content and Metadata
General top level page to group all DSpace facilities for exporting content and metadata.
4.2.1 OAI
OAI Interfaces
1 OAI-PMH Server
1.1 OAI-PMH Server Activation
1.2 OAI-PMH Server Maintenance
2 OAI-PMH / OAI-ORE Harvester (Client)
2.1 Harvesting from another DSpace
2.2 OAI-PMH / OAI-ORE Harvester Configuration
OAI-PMH Server
In the following sections and subpages, you will learn how to configure OAI-PMH server and activate additional
OAI-PMH crosswalks. The user is also referred to OAI-PMH Data Provider for greater depth details of the
program.
The OAI-PMH Interface may be used by other systems to harvest metadata records from your DSpace.
OAI-PMH Server Activation
To enable DSpace's OAI-PMH server, just make sure the [dspace]/webapps/oai/ web application is
available from your Servlet Container (usually Tomcat).
You can test that it is working by sending a request to: http://[full-URL-to-OAI-PMH]/request?
verb=Identify
The response should look similar to the response from the DSpace Demo Server: http://demo.dspace.org
/oai/request?verb=Identify
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If you're using a recent browser, you should see a HTML page describing your repository. What you're getting
from the server is in fact an XML file with a link to an XSLT stylesheet that renders this HTML in your browser
(client-side). Any browser that cannot interpret XSLT will display pure XML. The default stylesheet is located in
[dspace]/webapps/oai/static/style.xsl and can be changed by configuring the stylesheet
attribute of the Configuration element in [dspace]/config/crosswalks/oai/xoai.xml.
Relevant Links
OAI 2.0 Server - basic information needed to configure and use the OAI Server in DSpace
OAI-PMH Data Provider 2.0 (Internals) - information on how it's implemented
http://www.openarchives.org/pmh/ - information on the OAI-PMH protocol and its usage (not
DSpace-specific)
OAI-PMH Server Maintenance
After activating the OAI-PMH server, you need to also ensure its index is updated on a regular basis. Currently,
this doesn't happen automatically within DSpace. Instead, you must schedule the [dspace.dir]/bin
/dspace oai import commandline tool to run on a regular basis (usually at least nightly, but you could
schedule it more frequently).
Here's an example cron that can be used to schedule an OAI-PMH reindex on a nightly basis (for a full list of
recommended DSpace cron tasks see Scheduled Tasks via Cron):
# Update the OAI-PMH index with the newest content (and re-optimize that index) at midnight every
day
# NOTE: ONLY NECESSARY IF YOU ARE RUNNING OAI-PMH
# (This ensures new content is available via OAI-PMH and ensures the OAI-PMH index is optimized for
better performance)
0 0 * * * [dspace.dir]/bin/dspace oai import -o > /dev/null
More information about the dspace oai commandline tool can be found in the OAI Manager documentation.
OAI-PMH / OAI-ORE Harvester (Client)
This section describes the parameters used in configuring the OAI-ORE / OAI-ORE harvester (for XMLUI only).
This harvester can be used to harvest content (bitstreams and metadata) into DSpace from an external OAIPMH or OAI-ORE server.
Relevant Links
For information on activating & using the OAI-PMH / OAI-ORE Harvester to harvest content into your
DSpace, see Harvesting Items from XMLUI via OAI-ORE or OAI-PMH
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Harvesting from another DSpace
If you are harvesting content (bitstreams and metadata) from an external DSpace installation via OAI-PMH &
OAI-ORE, you first should verify that the external DSpace installation allows for OAI-ORE harvesting.
First, that external DSpace must be running both the OAI-PMH interface and the XMLUI interface to support
harvesting content from it via OAI-ORE.
You can verify that OAI-ORE harvesting option is enabled by following these steps:
1. First, check to see if the external DSpace reports that it will support harvesting ORE via the OAI-PMH
interface. Send the following request to the DSpace's OAI-PMH interface: http://[full-URL-toOAI-PMH]/request?verb=ListRecords&metadataPrefix=ore
The response should be an XML document containing ORE, similar to the response from the
DSpace Demo Server: http://demo.dspace.org/oai/request?verb=ListRecords&metadataPrefix=ore
2. Next, you can verify that the XMLUI interface supports OAI-ORE (it should, as long as it's a current
version of DSpace). First, find a valid Item Handle. Then, send the following request to the DSpace's
XMLUI interface: http://[full-URL-to-XMLUI]/metadata/handle/[item-handle]/ore.xml
The response should be an OAI-ORE (XML) document which describes that specific Item. It
should look similar to the response from the DSpace Demo Server: http://demo.dspace.org/xmlui
/metadata/handle/10673/3/ore.xml
OAI-PMH / OAI-ORE Harvester Configuration
There are many possible configuration options for the OAI harvester. Most of them are technical and therefore
omitted from the dspace.cfg file itself, using hard-coded defaults instead. However, should you wish to modify
those values, including them in oai.cfg will override the system defaults.
Configuration
[dspace]/config/modules/oai.cfg
File:
Property:
harvester.eperson
Example
harvester.eperson = [email protected]
Value:
Informational
The EPerson under whose authorization automatic harvesting will be performed. This field
Note:
does not have a default value and must be specified in order to use the harvest scheduling
system. This will most likely be the DSpace admin account created during installation.
Property:
dspace.oai.url
Example
dspace.oai.url = ${dspace.baseUrl}/oai
Value:
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Configuration
[dspace]/config/modules/oai.cfg
File:
Informational
The base url of the OAI-PMH disseminator webapp (i.e. do not include the /request on the
Note:
end). This is necessary in order to mint URIs for ORE Resource Maps. The default value of
${dspace.baseUrl}/oai will work for a typical installation, but should be changed if
appropriate. Please note that dspace.baseUrl is defined in your dspace.cfg
configuration file.
Property:
ore.authoritative.source
Example
ore.authoritative.source = oai | xmlui
Value:
Informational
The webapp responsible for minting the URIs for ORE Resource Maps. If using oai, the
Note:
dspace.oai.url config value must be set.
When set to 'oai', all URIs in ORE Resource Maps will be relative to the OAI-PMH
URL (configured by dspace.oai.url above)
When set to 'xmlui', all URIs in ORE Resource Maps will be relative to the DSpace
Base URL (configued by dspace.url in the dspace.cfg file)
The URIs generated for ORE ReMs follow the following convention for either setting:
http://\[base-URL\]/metadata/handle/\[item-handle\]/ore.xml
Property:
harvester.autoStart
Example
harvester.autoStart = false
Value:
Informational
Determines whether the harvest scheduler process starts up automatically when the XMLUI
Note:
webapp is redeployed.
Property:
harvester.oai.metadataformats.PluginName
Example
Value:
harvester.oai.metadataformats.PluginName = \
http://www.openarchives.org/OAI/2.0/oai_dc/, Simple Dublin Core
Informational
This field can be repeated and serves as a link between the metadata formats supported by
Note:
the local repository and those supported by the remote OAI-PMH provider. It follows the
form harvester.oai.metadataformats.PluginName = NamespaceURI,
Optional Display Name . The pluginName designates the metadata schemas that the
harvester "knows" the local DSpace repository can support. Consequently, the PluginName
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Configuration
[dspace]/config/modules/oai.cfg
File:
must correspond to a previously declared ingestion crosswalk. The namespace value is
used during negotiation with the remote OAI-PMH provider, matching it against a list
returned by the ListMetadataFormats request, and resolving it to whatever metadataPrefix
the remote provider has assigned to that namespace. Finally, the optional display name is
the string that will be displayed to the user when setting up a collection for harvesting. If
omitted, the PluginName:NamespaceURI combo will be displayed instead.
Property:
harvester.oai.oreSerializationFormat.OREPrefix
Example
Value:
harvester.oai.oreSerializationFormat.OREPrefix = \
http://www.w3.org/2005/Atom
Informational
This field works in much the same way as harvester.oai.metadataformats.
Note:
PluginName . The OREPrefix must correspond to a declared ingestion crosswalk, while
the Namespace must be supported by the target OAI-PMH provider when harvesting
content.
Property:
harvester.timePadding
Example
harvester.timePadding = 120
Value:
Informational
Amount of time subtracted from the from argument of the PMH request to account for the
Note:
time taken to negotiate a connection. Measured in seconds. Default value is 120.
Property:
harvester.harvestFrequency
Example
harvester.harvestFrequency = 720
Value:
Informational
How frequently the harvest scheduler checks the remote provider for updates. Should
Note:
always be longer than timePadding . Measured in minutes. Default value is 720.
Property:
harvester.minHeartbeat
Example
harvester.minHeartbeat = 30
Value:
Informational
The heartbeat is the frequency at which the harvest scheduler queries the local database to
Note:
determine if any collections are due for a harvest cycle (based on the harvestFrequency)
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Configuration
[dspace]/config/modules/oai.cfg
File:
value. The scheduler is optimized to then sleep until the next collection is actually ready to
be harvested. The minHeartbeat and maxHeartbeat are the lower and upper bounds on this
timeframe. Measured in seconds. Default value is 30.
Property:
harvester.maxHeartbeat
Example
harvester.maxHeartbeat = 3600
Value:
Informational
The heartbeat is the frequency at which the harvest scheduler queries the local database to
Note:
determine if any collections are due for a harvest cycle (based on the harvestFrequency)
value. The scheduler is optimized to then sleep until the next collection is actually ready to
be harvested. The minHeartbeat and maxHeartbeat are the lower and upper bounds on this
timeframe. Measured in seconds. Default value is 3600 (1 hour).
Property:
harvester.maxThreads
Example
harvester.maxThreads = 3
Value:
Informational
How many harvest process threads the scheduler can spool up at once. Default value is 3.
Note:
Property:
harvester.threadTimeout
Example
harvester.threadTimeout = 24
Value:
Informational
How much time passes before a harvest thread is terminated. The termination process
Note:
waits for the current item to complete ingest and saves progress made up to that point.
Measured in hours. Default value is 24.
Property:
harvester.unknownField
Example
harvester.unkownField = fail | add | ignore
Value:
Informational
You have three (3) choices. When a harvest process completes for a single item and it has
Note:
been passed through ingestion crosswalks for ORE and its chosen descriptive metadata
format, it might end up with DIM values that have not been defined in the local repository.
This setting determines what should be done in the case where those DIM values belong to
an already declared schema. Fail will terminate the harvesting task and generate an error.
Ignore will quietly omit the unknown fields. Add will add the missing field to the local
repository's metadata registry. Default value: fail.
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Configuration
[dspace]/config/modules/oai.cfg
File:
Property:
harvester.unknownSchema
Example
harvester.unknownSchema = fail | add | ignore
Value:
Informational
When a harvest process completes for a single item and it has been passed through
Note:
ingestion crosswalks for ORE and its chosen descriptive metadata format, it might end up
with DIM values that have not been defined in the local repository. This setting determines
what should be done in the case where those DIM values belong to an unknown schema.
Fail will terminate the harvesting task and generate an error. Ignore will quietly omit the
unknown fields. Add will add the missing schema to the local repository's metadata registry,
using the schema name as the prefix and "unknown" as the namespace. Default value: fail.
Property:
harvester.acceptedHandleServer
Example
Value:
harvester.acceptedHandleServer = \
hdl.handle.net, handle.test.edu
Informational
A harvest process will attempt to scan the metadata of the incoming items (identifier.uri
Note:
field, to be exact) to see if it looks like a handle. If so, it matches the pattern against the
values of this parameter. If there is a match the new item is assigned the handle from the
metadata value instead of minting a new one. Default value: hdl.handle.net .
Property:
harvester.rejectedHandlePrefix
Example
harvester.rejectedHandlePrefix = 123456789, myeduHandle
Value:
Informational
Pattern to reject as an invalid handle prefix (known test string, for example) when attempting
Note:
to find the handle of harvested items. If there is a match with this config parameter, a new
handle will be minted instead. Default value: 123456789 .
OAI 2.0 Server
1 Introduction
1.1 What is OAI 2.0?
1.2 Why OAI 2.0?
1.3 Concepts (XOAI Core Library)
2 OAI 2.0
2.1 Using Solr
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2.1.1 OAI Manager (Solr Data Source)
2.1.2 Scheduled Tasks
2.2 Using Database
2.2.1 OAI Manager (Database Data Source)
2.2.2 Scheduled Tasks
2.3 Client-side stylesheet
2.4 Metadata Formats
2.5 Encoding problems
3 Configuration
3.1 Basic Configuration
3.2 Advanced Configuration
3.2.1 General options
3.2.2 Add/Remove Metadata Formats
3.2.3 Add/Remove Metadata Fields
4 Driver/OpenAIRE compliance
4.1 Driver Compliance
4.2 OpenAIRE compliance
5 Sanity check your OAI interface with the OAI Validator
Introduction
Open Archives Initiative Protocol for Metadata Harvesting is a low-barrier mechanism for repository
interoperability. Data Providers are repositories that expose structured metadata via OAI-PMH. Service
Providers then make OAI-PMH service requests to harvest that metadata. OAI-PMH is a set of six verbs or
services that are invoked within HTTP.
What is OAI 2.0?
OAI 2.0 is a Java implementation of an OAI-PMH data provider interface developed by Lyncode that uses
XOAI, an OAI-PMH Java Library.
Why OAI 2.0?
Projects like OpenAIRE, Driver have specific metadata requirements (to the published content through the OAIPMH interface). As the OAI-PMH protocol doesn't establish any frame to these specifics, OAI 2.0 can, in a
simple way, have more than one instance of an OAI interface (feature provided by the XOAI core library) so one
could define an interface for each project. That is the main purpose, although, OAI 2.0 allows much more than
that.
Concepts (XOAI Core Library)
To understand how XOAI works, one must understand the concept of Filter, Transformer and Context. With a
Filter it is possible to select information from the data source. A Transformer allows one to make some changes
in the metadata before showing it in the OAI interface. XOAI also adds a new concept to the OAI-PMH basic
specification, the concept of context. A context is identified in the URL:
http://www.example.com/oai/<context>
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Contexts could be seen as virtual distinct OAI interfaces, so with this one could have things like:
http://www.example.com/oai/request
http://www.example.com/oai/driver
http://www.example.com/oai/openaire
With this ingredients it is possible to build a robust solution that fulfills all requirements of Driver, OpenAIRE and
also other project-specific requirements. As shown in Figure 1, with contexts one could select a subset of all
available items in the data source. So when entering the OpenAIRE context, all OAI-PMH request will be
restricted to that subset of items.
At this stage, contexts could be seen as sets (also defined in the basic OAI-PMH protocol). The magic of XOAI
happens when one need specific metadata format to be shown in each context. Metadata requirements by
Driver slightly differs from the OpenAIRE ones. So for each context one must define its specific transformer. So,
contexts could be seen as an extension to the concept of sets.
To implement an OAI interface from the XOAI core library, one just need to implement the datasource interface.
OAI 2.0
OAI 2.0 is a separate webapp which is a complete substitute for the old "oai" webapp. OAI 2.0 has a
configurable data source, by default it will not query the DSpace SQL database at the time of the OAI-PMH
request. Instead, it keeps the required metadata in its Solr index (currently in a separate "oai" Solr core) and
serves it from there. It's also possible to set OAI 2.0 to only use the database for querying purposes if
necessary, but this decreases performance significantly. Furthermore, it caches the requests, so doing the
same query repeatedly is very fast. In addition to that it also compiles DSpace items to make uncached
responses much faster.
Details about OAI 2.0 internals can be found here.
Using Solr
OAI 2.0 uses the Solr data source by default.
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The Solr index can be updated at your convenience, depending on how fresh you need the information to be.
Typically, the administrator sets up a nightly cron job to update the Solr index from the SQL database.
OAI Manager (Solr Data Source)
OAI manager is a utility that allows one to do certain administrative operations with OAI. You can call it from the
command line using the dspace launcher:
Syntax
[dspace]/bin/dspace oai <action> [parameters]
Actions
import Imports DSpace items into OAI Solr index (also cleans OAI cache)
clean-cache Cleans the OAI cache
Parameters
-o Optimize index after indexing
-c Clears the Solr index before indexing (it will import all items again)
-v Verbose output
-h Shows an help text
Scheduled Tasks
In order to refresh the OAI Solr index, it is required to run the [dspace]/bin/dspace oai import
command periodically. You can add the following task to your crontab:
0 3 * * * [dspace]/bin/dspace oai import
Note that [dspace] should be replaced by the correct value, that is, the value defined in dspace.cfg
parameter dspace.dir.
Using Database
OAI 2.0 could also work using the database for querying. To configure that one must change the [dspace]
/config/modules/xoai.cfg file, specifically the "storage" parameter, setting it to "database". This
decreases performance significantly and likely has no other benefits than leaving out Solr as a dependency.
OAI Manager (Database Data Source)
OAI manager is a utility that allows one to do some administrative operations with OAI. You can call it from the
command line using the dspace launcher:
Syntax
[dspace]/bin/dspace oai <action> [parameters]
Actions
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clean-cache Cleans the OAI cache
compile-items Compiles DSpace items
erase-compiled-items Erases all DSpace compiled items
Parameters
-v Verbose output
-h Shows an help text
Scheduled Tasks
In order to refresh the OAI cache and compile DSpace items (for fast responses), it is required to run the
[dspace]/bin/dspace xoai compile-items command periodically. You can add the following task to
your crontab:
0 3 * * * [dspace]/bin/dspace oai compile-items
Note that [dspace] should be replaced by the correct value, that is, the value defined in dspace.cfg
parameter dspace.dir.
Client-side stylesheet
The OAI-PMH response is an XML file. While OAI-PMH is primarily used by harvesting tools and usually not
directly by humans, sometimes it can be useful to look at the OAI-PMH requests directly - usually when setting
it up for the first time or to verify any changes you make. For these cases, XOAI provides an XSLT stylesheet to
transform the response XML to a nice looking, human-readable and interactive HTML. The stylesheet is linked
from the XML response and the transformation takes place in the user's browser (this requires a recent
browser, older browsers will only display the XML directly). Most automated tools are interested only in the XML
file itself and will not perform the transformation. If you want, you can change which stylesheet will be used by
placing it into the [dspace]/webapps/oai/static directory (or into the [dspace-src]/dspace-xoai
/dspace-xoai-webapp/src/main/webapp/static after which you have to rebuild DSpace), modifying
the "stylesheet" attribute of the "Configuration" element in [dspace]/config/crosswalks/oai/xoai.xml
and restarting your servlet container.
Metadata Formats
By default OAI 2.0 provides 12 metadata formats within the /request context:
1. OAI_DC
2. DIDL
3. DIM
4. ETDMS
5. METS
6. MODS
7. OAI-ORE
8.
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8. QDC
9. RDF
10. MARC
11. UKETD_DC
12. XOAI
At /driver context it provdes:
1. OAI_DC
2. DIDL
3. METS
And at /openaire context it provides:
1. OAI_DC
2. METS
Encoding problems
There are two main potential sources of encoding problems:
a) The servlet connector port has to use the correct encoding. E.g. for Tomcat, this would be <Connector
port="8080" ... URIEncoding="UTF-8" />, where the port attribute specifies port of the connector that
DSpace is configured to access Solr on (this is usually 8080, 80 or in case of AJP 8009).
b) System locale of the dspace command line script that is used to do the oai import. Make sure the user
account launching the script (usually from cron) has the correct locale set (e.g. en_US.UTF-8). Also make sure
the locale is actually present on your system.
Configuration
Basic Configuration
Configuration
[dspace]/config/modules/oai.cfg
File:
Property:
storage
Example
storage = solr
Value:
Information
This allows to choose the OAI data source between solr and database
Note:
Property:
solr.url
Example
solr.url = ${default.solr.server}/oai
Value:
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Configuration
[dspace]/config/modules/oai.cfg
File:
Informational
Solr Server location
Note:
Property:
identifier.prefix
Example
identifier.prefix = ${dspace.hostname}
Value:
Informational
OAI persistent identifier prefix. Format - oai:PREFIX:HANDLE
Note:
Property:
config.dir
Example
config.dir = ${dspace.dir}/config/crosswalks/oai
Value:
Informational
Configuration directory, used by XOAI (core library). Contains xoai.xml, metadata format
Note:
XSLTs and transformer XSLTs.
Property:
cache.dir
Example
cache.dir = ${dspace.dir}/var/oai
Value:
Informational
Directory to store runtime generated files (for caching purposes).
Note:
Advanced Configuration
OAI 2.0 allows you to configure following advanced options:
Contexts
Transformers
Metadata Formats
Filters
Sets
It's an XML file commonly located at: [dspace]/config/crosswalks/oai/xoai.xml
General options
These options influence the OAI interface globally. "per page" means per request, next page (if there is one)
can be requested using resumptionToken provided in current page.
identation [boolean] - whether the output XML should be indented to make it human-readable
maxListIdentifiersSize [integer] - how many identifiers to show per page (verb=ListIdentifiers)
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maxListRecordsSize [integer] - how many records to show per page (verb=ListRecords)
maxListSetsSize [integer] - how many sets to show per page (verb=ListSets)
stylesheet [relative file path] - an xsl stylesheet used by client's web browser to transform the output XML
into human-readable HTML
Their location and default values are shown in the following fragment:
<Configuration xmlns="http://www.lyncode.com/XOAIConfiguration"
identation="false"
maxListIdentifiersSize="100"
maxListRecordsSize="100"
maxListSetsSize="100"
stylesheet="static/style.xsl">
Add/Remove Metadata Formats
Each context could have its own metadata formats. So to add/remove metadata formats to/from it, just need add
/remove its reference within xoai.xml, for example, imagine one need to remove the XOAI schema from:
<Context baseurl="request">
<Format refid="oaidc" />
<Format refid="mets" />
<Format refid="xoai" />
<Format refid="didl" />
<Format refid="dim" />
<Format refid="ore" />
<Format refid="rdf" />
<Format refid="etdms" />
<Format refid="mods" />
<Format refid="qdc" />
<Format refid="marc" />
<Format refid="uketd_dc" />
</Context>
Then one would have:
<Context baseurl="request">
<Format refid="oaidc" />
<Format refid="mets" />
<Format refid="didl" />
<Format refid="dim" />
<Format refid="ore" />
<Format refid="rdf" />
<Format refid="etdms" />
<Format refid="mods" />
<Format refid="qdc" />
<Format refid="marc" />
<Format refid="uketd_dc" />
</Context>
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It is also possible to create new metadata format by creating a specific XSLT for it. All already defined XSLT for
DSpace can be found in the [dspace]/config/crosswalks/oai/metadataFormats directory. So after producing
a new one, add the following information (location marked using brackets) inside the <Formats> element in
[dspace]/config/crosswalks/oai/xoai.xml:
<Format id="[IDENTIFIER]">
<Prefix>[PREFIX]</Prefix>
<XSLT>metadataFormats/[XSLT]</XSLT>
<Namespace>[NAMESPACE]</Namespace>
<SchemaLocation>[SCHEMA_LOCATION]</SchemaLocation>
</Format>
where:
Parameter
Description
IDENTIFIER
The identifier used within context configurations to reference this specific format,
must be unique within all Metadata Formats available.
PREFIX
The prefix used in OAI interface (metadataPrefix=PREFIX).
XSLT
The name of the XSLT file within [dspace]/config/crosswalks/oai
/metadataFormats directory
NAMESPACE
XML Default Namespace of the created Schema
SCHEMA_LOCATION
URI Location of the XSD of the created Schema
NOTE: Changes in [dspace]/config/crosswalks/oai/xoai.xml requires reloading/restarting the servlet container.
Add/Remove Metadata Fields
The internal DSpace fields (Dublin Core) are exposed in the internal XOAI format (xml). All other metadata
formats exposed via OAI are mapped from this XOAI format using XSLT (xoai.xsl itself is just an identity
transformation). These XSLT stylesheets are found in the [dspace]/config/crosswalks/oai/metadataFormats
directory. So e.g. oai_dc.xsl is a transformation from the XOAI format to the oai_dc format (unqualified Dublin
Core).
Therefore exposing any DSpace metadata field in any OAI format is just a matter of modifying the
corresponding output format stylesheet (This assumes the general knowledge of how XSLT works. For a
tutorial, see e.g. http://www.w3schools.com/xsl/).
For example, if you have a DC field "local.note.librarian" that you want to expose in oai_dc as <dc:note> (please
note that this is not a valid DC field and thus breaks compatibility), then edit oai_dc.xsl and add the following
lines just above the closing tag </oai_dc:dc>:
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<xsl:for-each select="doc:metadata/doc:element[@name='local']/doc:element[@name='note']/doc:element
/doc:element/doc:field[@name='librarian']">
<dc:note><xsl:value-of select="." /></dc:note>
</xsl:for-each>
If you need to add/remove metadata fields, you're changing the output format. Therefore it is recommended to
create a new metadata format as a copy of the one you want to modify. This way the old format will remain
available along with the new one and any upgrades to the original format during DSpace upgrades will not
overwrite your customizations. If you need the format to have the same name as the original format (e.g. the
default oai_dc format), you can create a new context in xoai.xsl containing your modified format with the original
name, which will be available as /oai/context-name.
NOTE: Please, keep in mind that the OAI provider caches the transformed output, so you have to run
[dspace]/bin/dspace oai clean-cache after any .xsl modification and reload the OAI page for the
changes to take effect. When adding/removing metadata formats, making changes in [dspace]/config/crosswalks
/oai/xoai.xml requires reloading/restarting the servlet container.
Driver/OpenAIRE compliance
The default OAI 2.0 installation provides two new contexts. They are:
Driver context, which only exposes Driver compliant items;
OpenAIRE context, which only exposes OpenAIRE compliant items;
However, in order to be exposed DSpace items must be compliant with Driver/OpenAIRE guide-lines.
Driver Compliance
DRIVER Guidelines for Repository Managers and Administrators on how to expose digital scientific resources
using OAI-PMH and Dublin Core Metadata, creating interoperability by homogenizing the repository output. The
set driver of OAI-PMH is based on DRIVER Guidelines 2.0 (see the English version of the document)
This set is used to expose items of the repository that are available for open access. It’s not necessary for all
the items of the repository to be available for open access.
What specific metadata values are expected?
To have items in this set, you must configure your input-forms.xml file in order to comply with the DRIVER
Guidelines:
Must have a publication date - dc.date.issued (already configured in DSpace items)
dc.language must use ISO639-3
the value of dc.type must be one of the 16 options of the guidelines (see page 68)
How do you easily add those metadata values?
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As DRIVER guidelines use Dublin Core, all the needed items are already registered in DSpace. You just need
to configure the deposit process.
OpenAIRE compliance
The OpenAIRE Guidelines 2.0 provide the OpenAIRE compatibility to repositories and aggregators. By
implementing these Guidelines, repository managers are facilitating the authors who deposit their publications
in the repository in complying with the EC Open Access requirements. For developers of repository platforms,
the Guidelines provide guidance to add supportive functionalities for authors of EC-funded research in future
versions.
The name of the set in OAI-PMH is "ec_fundedresources" and will expose the items of the repository that
comply with these guidelines. These guidelines are based on top of DRIVER guidelines. See version 2.0 of the
Guidelines.
See the Application Profile of OpenAIRE.
What specific metadata values are expected?
These are the OpenAIRE metadata values only, to check these and driver metadata values check page 11 of
the OpenAIRE guidelines 2.0.
dc:relation with the project ID (see p.8)
dc:rights with the access rights information from vocabulary (possible values here)
Optionally:
dc:date with the embargo end date (recommended for embargoed items)
<dc:date>info:eu-repo/date/embargoEnd/2011-05-12<dc:date>
How do you easily add those metadata values?
Have a dc:relation field in input-forms.xml with a list of the projects. You can also use the OpenAIRE
Authority Control Addon to facilitate the process of finding the project.
Just use a combo-box for dc:rights to input the 4 options:
info:eu-repo/semantics/closedAccess
info:eu-repo/semantics/embargoedAccess
info:eu-repo/semantics/restrictedAccess
info:eu-repo/semantics/openAccess
Use an input-box for dc:date to insert the embargo end date
Relevant Links
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OAI 2.0 is a standard part of DSpace 3.0
Download & Install OAI 2.0 for DSpace 1.8.x: http://www.lyncode.com/dspace/addons/xoai/
Sanity check your OAI interface with the OAI Validator
There is a very useful validator for OAI interfaces available at http://validator.oaipmh.com, we urge you to use
this validator to confirm your OAI interface is in fact usable.
OAI-PMH Data Provider 2.0 (Internals)
1 OAI-PMH Data Provider 2.0 (Internals)
1.1 Sets
1.2 Unique Identifier
1.3 Access control
1.4 Modification Date (OAI Date Stamp)
1.5 "About" Information
1.6 Deletions
1.7 Flow Control (Resumption Tokens)
OAI-PMH Data Provider 2.0 (Internals)
The DSpace platform supports the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH)
version 2.0 as a data provider. This is accomplished using the XOAI OAI-PMH Java Toolkit.
The DSpace build process builds a Web application archive, [dspace-source]/build/oai.war), in much the same
way as the Web UI build process described above. The only differences are that the JSPs are not included.
This "webapp" is deployed to receive and respond to OAI-PMH requests via HTTP. In a typical configuration,
this is deployed at oai, containing request, driver and openaire contexts, for example:
http://dspace.myu.edu/oai/request?verb=Identify
The "base URL" of this DSpace deployment would be:
http://dspace.myu.edu/oai/request
But one could also provide the Driver or OpenAIRE contexts:
http://dspace.myu.edu/oai/driver
http://dspace.myu.edu/oai/openaire
It is this URL that should be registered with www.openarchives.org.
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DSpace provides implementations of the XOAI data sources interfaces.
Sets
OAI-PMH allows repositories to expose an hierarchy of sets in which records may be placed. A record can be in
zero or more sets.
DSpace exposes collections and communities as sets.
Each community and collection has a corresponding OAI set, discoverable by harvesters via the ListSets verb.
The setSpec is based on the community/collection handle, with the "/" converted to underscore to form a legal
setSpec. The setSpec is prefixed by "com_" or "col_" for communities and collections, respectively (this is a
change in set names in DSpace 3.0 / OAI 2.0). For example:
col_1721.1_1234
Naturally enough, the community/collection name is also the name of the corresponding set.
Unique Identifier
Every item in OAI-PMH data repository must have an unique identifier, which must conform to the URI syntax.
As of DSpace 1.2, Handles are not used; this is because in OAI-PMH, the OAI identifier identifies the metadata
record associated with the resource. The resource is the DSpace item, whose resource identifier is the Handle.
In practical terms, using the Handle for the OAI identifier may cause problems in the future if DSpace instances
share items with the same Handles; the OAI metadata record identifiers should be different as the different
DSpace instances would need to be harvested separately and may have different metadata for the item.
The OAI identifiers that DSpace uses are of the form:
oai:PREFIX:handle
For example:
oai:dspace.myu.edu:123456789/345
If you wish to use a different scheme, this can easily be changed by editing the value of identifier.prefix at
[dspace]/config/modules/oai.cfg file.
Access control
OAI provides no authentication/authorisation details, although these could be implemented using standard
HTTP methods. It is assumed that all access will be anonymous for the time being.
A question is, "is all metadata public?" Presently the answer to this is yes; all metadata is exposed via OAIPMH, even if the item has restricted access policies. The reasoning behind this is that people who do actually
have permission to read a restricted item should still be able to use OAI-based services to discover the content.
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But, exposed data could be changed by changing the XSLT defined at [dspace]/config/crosswalks/oai
/metadataFormats.
Modification Date (OAI Date Stamp)
OAI-PMH harvesters need to know when a record has been created, changed or deleted. DSpace keeps track
of a "last modified" date for each item in the system, and this date is used for the OAI-PMH date stamp. This
means that any changes to the metadata (e.g. admins correcting a field, or a withdrawal) will be exposed to
harvesters.
"About" Information
As part of each record given out to a harvester, there is an optional, repeatable "about" section which can be
filled out in any (XML-schema conformant) way. Common uses are for provenance and rights information, and
there are schemas in use by OAI communities for this. Presently DSpace does not provide any of this
information, but XOAI core library allows its definition. This requires to dive into code and perform some
changes.
Deletions
DSpace keeps track of deletions (withdrawals). These are exposed via OAI, which has a specific mechansim for
dealing with this. Since DSpace keeps a permanent record of withdrawn items, in the OAI-PMH sense DSpace
supports deletions "persistently". This is as opposed to "transient" deletion support, which would mean that
deleted records are forgotten after a time.
Once an item has been withdrawn, OAI-PMH harvests of the date range in which the withdrawal occurred will
find the "deleted" record header. Harvests of a date range prior to the withdrawal will not find the record, despite
the fact that the record did exist at that time.
As an example of this, consider an item that was created on 2002-05-02 and withdrawn on 2002-10-06. A
request to harvest the month 2002-10 will yield the "record deleted" header. However, a harvest of the month
2002-05 will not yield the original record.
Note that presently, the deletion of "expunged" items is not exposed through OAI.
Flow Control (Resumption Tokens)
An OAI data provider can prevent any performance impact caused by harvesting by forcing a harvester to
receive data in time-separated chunks. If the data provider receives a request for a lot of data, it can send part
of the data with a resumption token. The harvester can then return later with the resumption token and continue.
DSpace supports resumption tokens for "ListRecords", "ListIdentifiers" and "ListSets" OAI-PMH requests.
Each OAI-PMH ListRecords request will return at most 100 records (by default) but it could be configured in the
[dspace]/config/crosswalks/oai/xoai.xml file.
When a resumption token is issued, the optional completeListSize and cursor attributes are included. OAI 2.0
resumption tokens are persistent, so expirationDate of the resumption token is undefined, they do not expire.
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Resumption tokens contain all the state information required to continue a request and it is encoded in Base64.
4.2.2 Exchanging Content Between Repositories
1 Transferring Content via Export and Import
1.1 Transferring Communities, Collections, or Items using Packages
2 Transferring Items using Simple Archive Format
3 Transferring Items using OAI-ORE/OAI-PMH Harvester
4 Copying Items using the SWORD Client
Transferring Content via Export and Import
To migrate content from one DSpace to another, you can export content from the Source DSpace and import it
into the Destination DSpace.
Transferring Communities, Collections, or Items using Packages
Starting with DSpace 1.7, you can transfer any DSpace content (Communities, Collections or Items) from one
DSpace to another by utilizing the AIP Backup and Restore tool. This tool allows you to export content into a
series of Archival Information Packages (AIPs). These AIPs can be used to restore content (from a backup) or
move/migrate content to another DSpace installation.
For more information see AIP Backup and Restore.
Transferring Items using Simple Archive Format
Where items are to be moved between DSpace instances (for example from a test DSpace into a production
DSpace) the Item Exporter and Item Importer can be used.
First, you should export the DSpace Item(s) into the Simple Archive Format, as detailed at: Importing and
Exporting Items via Simple Archive Format. Be sure to use the --migrate option, which removes fields that
would be duplicated on import. Then import the resulting files into the other instance.
Transferring Items using OAI-ORE/OAI-PMH Harvester
If you are using the XMLUI in both DSpace instances, you may also choose to enable the OAI-ORE Harvester.
This OAI-ORE Harvester allows one DSpace installation to harvest Items (via OAI-ORE) from another DSpace
Installation (or any other system supporting OAI-ORE). Items are harvested from a remote DSpace Collection
into a local DSpace Collection. Harvesting can also be scheduled to run automatically (or by demand).
For more information see Harvesting Items from XMLUI via OAI-ORE or OAI-PMH
Copying Items using the SWORD Client
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4.2.3 SWORDv1 Client
The embedded SWORD Client allows a user (currently restricted to an administrator) to copy an item to a
SWORD server. This allows your DSpace installation to deposit items into another SWORD-compliant
repository (including another DSpace install).
At present this functionality has only been developed for the XMLUI and is disabled by default.
1 Enabling the SWORD Client
2 Configuring the SWORD Client
Enabling the SWORD Client
To enable the SWORD Client uncomment the SwordClient Aspect in [dspace]/config/xmlui.xconf
file.
<aspect name="SwordClient" path="resource://aspects/SwordClient/" />
Configuring the SWORD Client
All the relevant configuration can be found in sword-client.cfg
Configuration
[dspace]/config/modules/sword-client.cfg
File:
Property:
targets
Example value:
targets = http://localhost:8080/sword/servicedocument, \
http://client.swordapp.org/client/servicedocument, \
http://dspace.swordapp.org/sword/servicedocument, \
http://sword.eprints.org/sword-app/servicedocument, \
http://sword.intralibrary.com/IntraLibrary-Deposit/service, \
http://fedora.swordapp.org/sword-fedora/servicedocument
Informational
List of remote Sword servers. Used to build the drop-down list of selectable SWORD
note:
targets.
Property:
file-types
Example value:
file-types = application/zip
Informational
note:
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Configuration
[dspace]/config/modules/sword-client.cfg
File:
List of file types from which the user can select. If a type is not supported by the remote
server
it will not appear in the drop-down list.
Property:
package-formats
Example value:
package-formats = http://purl.org/net/sword-types/METSDSpaceSIP
Informational
List of package formats from which the user can select. If a format is not supported by the
note:
remote server
it will not appear in the drop-down list.
4.2.4 Linked (Open) Data
Introduction
Exchanging repository contents
Terminology
Linked (Open) Data Support within DSpace
Architecture / Concept
Install a Triple Store
Default configuration and what you should change
Configuration Reference
[dspace-source]/dspace/config/modules/rdf.cfg
[dspace-source]/dspace/config/modules/rdf/constant-data-*.ttl
[dspace-source]/dspace/config/modules/rdf/metadata-rdf-mapping.ttl
[dspace-source]/dspace/config/modules/rdf/fuseki-assembler.ttl
Maintenance
Introduction
Exchanging repository contents
Most sites on the Internet are oriented towards human consumption. While HTML may be a good format for
presenting information to humans, it is not a good format to export data in a way easy for a computer to work
with. Like most software for building repositories, DSpace supports OAI-PMH as an interface to expose the
stored metadata. While OAI-PMH is well known in the field of repositories, it is rarely known elsewhere (e.g.
Google retired its support for OAI-PMH in 2008). The Semantic Web is a generic approach to publish data on
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the Internet together with information about its semantics. Its application is not limited to repositories or libraries
and it has a growing user base. RDF and SPARQL are W3C-released standards for publishing structured data
on the web in a machine-readable way. The data stored in repositories is particularly suited for use in the
Semantic Web, as the metadata are already available. It doesn’t have to be generated or entered manually for
publication as Linked Data. For most repositories, at least for Open Access repositories, it is quite important to
share their stored content. Linked Data is a rather big chance for repositories to present their content in a way
that can easily be accessed, interlinked and (re)used.
Terminology
We don't want to give a full introduction into the Semantic Web and its technologies here as this can be easily
found in many places on the web. Nevertheless, we want to give a short glossary of the terms used most often
in this context to make the following documentation more readable.
Semantic
The term "Semantic Web" refers to the part of the Internet containing Linked Data. Just like the
Web
World Wide Web, the Semantic Web is also woven together by links among the data.
Linked
Data in RDF, following the Linked Data Principles are called Linked Data. The Linked Data
Data
Principles describe the expected behavior of data publishers who shall ensure that the published
data are easy to find, easy to retrieve, can be linked easily and link to other data as well.
Linked
Open
Linked Open Data is Linked Data published under an open license. There is no technical
Data
difference between Linked Data and Linked Open Data (often abbreviated as LOD). It is only a
question of the license used to publish it.
RDF
RDF is an acronym for Resource Description Framework, a metadata model. Don't think of RDF
RDF/XML
as a format, as it is a model. Nevertheless, there are different formats to serialize data following
Turtle
RDF. RDF/XML, Turtle, N-Triples and N3-Notation are probably the most well-known formats to
N-Triples
serialize data in RDF. While RDF/XML uses XML, Turtle, N-Triples and N3-Notation don't and
N3-
they are easier for humans to read and write. When we use RDF in DSpace configuration files,
Notation
we currently prefer Turtle (but the code should be able to deal with any serialization).
Triple
A triple store is a database to natively store data following the RDF model. Just as you have to
Store
provide a relational database for DSpace, you have to provide a Triple Store for DSpace if you
want to use the LOD support.
SPARQL
The SPARQL Protocol and RDF Query Language is a family of protocols to query triple stores.
Since version 1.1, SPARQL can be used to manipulate triple stores as well, to store, delete or
update data in triple stores. DSpace uses SPARQL 1.1 Graph Store HTTP Protocol and
SPARQL 1.1 Query Language to communicate with the Triple Store. The SPARQL 1.1 Query
Language is often referred to simply as SPARQL, so expect the SPARQL 1.1 Query Language if
no other specific protocol out of the SPARQL family is explicitly specified.
SPARQL
A SPARQL endpoint is a SPARQL interface of a triple store. Since SPARQL 1.1, a SPARQL
endpoint
endpoint can be either read-only, allowing only to query the stored data; or readable and
writable, allowing to modify the stored data as well. When talking about a SPARQL endpoint
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without specifying which SPARQL protocol is used, an endpoint supporting SPARQL 1.1 Query
Language is meant.
Linked (Open) Data Support within DSpace
Starting with DSpace 5.0, DSpace provides support for publishing stored contents in form of Linked (Open)
Data.
Architecture / Concept
To publish content stored in DSpace as Linked (Open) Data, the data have to be converted into RDF. The
conversion into RDF has to be configurable as different DSpace instances may use different metadata
schemata, different persistent identifiers (DOI, Handle, ...) and so on. Depending on the content to convert,
configuration and other parameters, conversion may be time-intensive and impact performance. Content of
repositories is much more often read then created, deleted or changed because the main goal of repositories is
to safely store their contents. For this reason, the content stored within DSpace is converted and stored in a
triple store immediately after it is created or updated. The triple store serves as a cache and provides a
SPARQL endpoint to make the converted data accessible using SPARQL. The conversion is triggered
automatically by the DSpace event system and can be started manually using the command line interface –
both cases are documented below. There is no need to backup the triple store, as all data stored in the triple
store can be recreated from the contents stored elsewhere in DSpace (in the assetstore(s) and the database).
Beside the SPARQL endpoint, the data should be published as RDF serialization as well. With dspace-rdf
DSpace offers a module that loads converted data from the triple store and provides it as an RDF serialization.
It currently supports RDF/XML, Turtle and N-Triples.
Repositories use Persistent Identifiers to make content citable and to address content. Following the Linked
Data Principles, DSpace uses a Persistent Identifier in the form of HTTP(S) URIs, converting a Handle to
http://hdl.handle.net/<handle> and a DOI to http://dx.doi.org/<doi>. Altogether, DSpace Linked Data support
spans all three Layers: the storage layer with a triple store, the business logic with classes to convert stored
contents into RDF, and the application layer with a module to publish RDF serializations. Just like DSpace
allows you to choose Oracle or Postgresql as the relational database, you may choose between different triple
stores. The only requirements are that the triple store must support SPARQL 1.1 Query Language and
SPARQL 1.1 Graph Store HTTP Protocol which DSpace uses to store, update, delete and load converted data
in/out of the triple store and uses the triple store to provide the data over a SPARQL endpoint.
Store public data only in the triple store!
The triple store should contain only data that are public, because the DSpace access restrictions won't
affect the SPARQL endpoint. For this reason, DSpace converts only archived, discoverable (nonprivate) Items, Collections and Communities which are readable for anonymous users. Please
consider this while configuring and/or extending DSpace Linked Data support.
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The org.dspace.rdf.conversion package contains the classes used to convert the repository content to RDF.
The conversion itself is done by plugins. The org.dspace.rdf.conversion.ConverterPlugin interface is really
simple, so take a look at it you if can program in Java and want to extend the conversion. The only thing
important is that plugins must only create RDF that can be made publicly available, as the triple store provides it
using a sparql endpoint for which the DSpace access restrictions do not apply. Plugins converting metadata
should check whether a specific metadata field needs to be protected or not (see org.dspace.app.util.
MetadataExposure on how to check that). The MetadataConverterPlugin is heavily configurable (see below)
and is used to convert the metadata of Items. The StaticDSOConverterPlugin can be used to add static RDF
Triples (see below). The SimpleDSORelationsConverterPlugin creates links between items and collections,
collections and communities, subcommunitites and their parents, and between top-level communities and the
information representing the repository itself.
As different repositories uses different persistent identifiers to address their content, different algorithms to
create URIs used within the converted data can be implemented. Currently HTTP(S) URIs of the repository
(called local URIs), Handles and DOIs can be used. See the configuration part of this document for further
information. If you want to add another algorithm, take a look at the org.dspace.rdf.storage.URIGenerator
interface.
Install a Triple Store
In addition to a normal DSpace installation you have to install a triple store. You can use any triple store that
supports SPARQL 1.1 Query Language and SPARQL 1.1 Graph Store HTTP Protocol. If you do not have one
yet, you can use Apache Fuseki. Download Fuseki from its official download page and unpack the downloaded
archive. The archive contains several scripts to start Fuseki. Use the start script appropriate to the OS of your
choice with the options '--localhost --config=<dspace-install>/config/modules/rdf/fuseki-assembler.ttl'. Instead of
changing to the directory into which you unpacked Fuseki, you may set the variable FUSEKI_HOME. If you're
using Linux and bash, you unpacked Fuseki to /usr/local/jena-fuseki-1.0.1 and you installed DSpace to [dspaceinstall], this would look like this:
export FUSEKI_HOME=/usr/local/jena-fuseki-1.0.1 ; $FUSEKI_HOME/fuseki-server --localhost --config
[dspace-install]/config/modules/rdf/fuseki-assembler.ttl
Fuseki's archive contains a script to start Fuseki automatically at startup as well.
Make Fuseki connect to localhost only, by using the argument --localhost when launching if you use
the configuration provided with DSpace! The configuration contains a writeable SPARQL endpoint that
allows any connection to change/delete the content of your triple store.
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Use Apache mod proxy, mod rewrite or any other appropriate web server/proxy to make localhost:3030
/dspace/sparql readable from the internet. Use the address under which it is accessible as the address
of your public sparql endpoint (see the property public.sparql.endpoint in the configuration reference
below.).
The configuration provided within DSpace makes it store the files for the triple store under [dspace-install]
/triplestore. Using this configuration, Fuseki provides three SPARQL endpoints: two read-only endpoints and
one that can be used to change the data of the triple store. You should not use this configuration if you let
Fuseki connect to the internet directly as it would make it possible for anyone to delete, change or add
information to the triple store. The option --localhost tells Fuseki to listen only on the loopback device. You can
use Apache mod_proxy or any other web or proxy server to make the read-only SPARQL endpoint accessible
from the internet. With the configuration described, Fueski listens to the port 3030 using HTTP. Using the
address http://localhost:3030/ you can connect to the Fuseki Web UI. http://localhost:3030/dspace/data
addresses a writeable SPARQL 1.1 HTTP Graph Store Protocol endpoint, and http://localhost:3030/dspace/get
a read-only one. Under http://localhost:3030/dspace/sparql a read-only SPARQL 1.1 Query Language endpoint
can be found. The first one of these endpoints must be not accessible by the internet, while the last one
should be accessible publicly.
Default configuration and what you should change
In the file [dspace-source]/dspace/config/dspace.cfg you should look for the property event.
dispatcher.default.consumers and add rdf there. Adding rdf there makes DSpace update the triple store
automatically as the publicly available content of the repository changes.
As the Linked Data support of DSpace is highly configurable this section gives a short list of things you probably
want to configure before using it. Below you can find more information on what is possible to configure.
In the file [dspace-source]/dspace/config/modules/rdf.cfg you want to configure the address of the
public sparql endpoint and the address of the writable endpoint DSpace use to connect to the triple store (the
properties public.sparql.endpoint, storage.graphstore.endpoint). In the same file you want to
configure the URL that addresses the dspace-rdf module which is depending on where you deployed it
(property contextPath) and switch content negotiation on (set property contentNegotiation.enable = true).
In the file [dspace-source]/dspace/config/modules/rdf/constant-data-general.ttl you
should change the links to the Web UI of the repository and the public readable SPARQL endpoint. The URL of
the public SPARQL endpoint should point to a URL that is proxied by a webserver to the Triple Store. See the
section Install a Triple Store above for further information.
In the file [dspace-source]/dspace/config/modules/rdf/constant-data-site.ttl you may add
any triples that should be added to the description of the repository itself.
If you want to change the way the metadata fields are converted, take a look into the file [dspace-source]
/dspace/config/modules/rdf/metadata-rdf-mapping.ttl. This is also the place to add information
on how to map metadata fields that you added to DSpace. There is already a quite acceptable default
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configuration for the metadata fields which DSpace supports out of the box. If you want to use some specific
prefixes in RDF serializations that support prefixes, you have to edit [dspace-source]/dspace/config
/modules/rdf/metadata-prefixes.ttl.
Configuration Reference
There are several configuration files to configure DSpace's LOD support. The main configuration file can be
found under [dspace-source]/dspace/config/modules/rdf.cfg, all other files are positioned in the directory
[dspace-source]/dspace/config/modules/rdf/. You'll have to configure where to find and how to connect to the
triple store. You may configure how to generate URIs to be used within the generated Linked Data and how to
convert the contents stored in DSpace into RDF. We will guide you through the configuration file by file.
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[dspace-source]/dspace/config/modules/rdf.cfg
Property:
public.sparql.endpoint
Example
public.sparql.endpoint = http://${dspace.baseUrl}/sparql
Value:
Informational Address of the read-only public SPARQL endpoint supporting SPARQL 1.1 Query Language.
Note:
Property:
URIGenerator
Example
URIGenerator = org.dspace.rdf.storage.LocalURIGenerator
Value:
Informational The name of the class that generates the URIs to be used within the converted data. The
Note:
LocalURIGenerator gernates URIs using the ${dspace.url} property. The class org.dspace.rdf.
storage.HandleURIGenerator uses handles in form of HTTP URLs. It uses the property
${handle.canoncial.prefix} to convert handles into HTTPS URLs. The class org.dspace.rdf.
storage.DOIURIGenerator uses DOIs in the form of HTTP URLs if possible or local URIs if
there are no DOIs. It uses the DOI resolver "http://dx.doi.org" to convert DOIs into HTTP
URLs. The class org.dspace.rdf.storage.DOIHandleGenerator does the same but uses
Handles as fallback if no DOI exists. The fallbacks are necessary as DOIs are currently used
for Items only and not for Communities or Collections.
Property:
converter
Example
converter = org.dspace.rdf.conversion.RDFConverterImpl
Value:
Informational This property sets the class that manages the whole conversion process. Currently there
Note:
shouldn't be any need to change it.
Property:
converter.plugins
Example
converter.plugins = org.dspace.rdf.conversion.StaticDSOConverterPlugin, \
Value:
org.dspace.rdf.conversion.MetadataConverterPlugin, \
org.dspace.rdf.conversion.SimpleDSORelationsConverterPlugin
Informational List all plugins to be used during the conversion of DSpace contents into RDF. If you write a
Note:
new conversion plugin you want to add its class name to this property.
Property:
converter.DSOtypes
Example
converter.DSOtypes = SITE, COMMUNITY, COLLECTION, ITEM
Value:
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Informational Define which kind of DSpaceObjects should be converted. Bundles and Bitstreams will be
Note:
converted as part of the Item they belong to. Don't add EPersons here unless you really know
what you are doing. All converted data is stored in the triple store that provides a publicly
readable SPARQL endpoint. So all data converted into RDF is exposed publicly. Every DSO
type you add here must have an HTTP URI to be referenced in the generated RDF, which is
another reason not to add EPersons here currently.
Property:
storage
Example
storage = org.dspace.rdf.storage.RDFStorageImpl
Value:
Informational Configure which class to use to store the converted data. This class handles the connection to
Note:
the SPARQL endpoint. Currently there is only one implementation, so there is no need
/possibility to change this property.
Property:
storage.graphstore.endpoint
Example
storage.graphstore.endpoint = http://localhost:3030/dspace/data
Value:
Informational Address of a writable SPARQL 1.1 Graph Store HTTP Protocol endpoint. This address is used
Note:
to create, update and delete converted data in the triple store. If you use Fuseki with the
configuration provided as part of DSpace 5, you can leave this as it is. If you use another
Triple Store or configure Fuseki on your own, change this property to point to a writeable
SPARQL endpoint supporting the SPARQL 1.1 Graph Store HTTP Protocol.
Property:
storage.graphstore.authentication
Example
storage.graphstore.authentication = no
Value:
Informational Defines whether to use HTTP Basic authentication to connect to the writable SPARQL 1.1
Note:
Graph Store HTTP Protocol endpoint.
Properties:
storage.graphstore.login
storage.graphstore.password
Example
storage.graphstore.login = dspace
Values:
storage.graphstore.password =ecapsd
Informational Credentials for the HTTP Basic authentictaion if it is necessary to connect to the writable
Note:
SPARQL 1.1 Graph Store HTTP Protocol endpoint.
Property:
storage.sparql.endpoint
Example
storage.sparql.endpoint = http://localhost:3030/dspace/sparql
Value:
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Informational Besides a writable SPARQL 1.1 Graph Store HTTP Protocol endpoint, DSpace needs a
Note:
SPARQL 1.1 Query Language endpoint, which can be read-only. This property allows you to
set an address to be used to connect to such a SPARQL endpoint. If you leave this property
empty the property ${public.sparql.endpoint} will be used instead.
Properties:
storage.sparql.authentication
storage.sparql.login
storage.sparql.password
Example
storage.sparql.authentication = yes
Values:
storage.sparql.login = dspace
storage.sparql.password = ecapsd
Informational As for the SPARQL 1.1 Graph Store HTTP Protocol you can configure DSpace to use HTTP
Note:
Basic authentication to authenticate against the (read-only) SPARQL 1.1 Query Language
endpoint.
Property:
contextPath
Example
contextPath = ${dspace.baseUrl}/rdf
Value:
Informational The content negotiation needs to know where to refer if anyone asks for RDF serializations of
Note:
content stored within DSpace. This property sets the URL where the dspace-rdf module can
be reached on the internet (depending on how you deployed it).
Property:
contentNegotiation.enable
Example
contentNegotiation.enable = true
Value:
Informational Defines whether content negotiation should be activated. Set this true, if you use Linked Data
Note:
support.
The following properties configure the StaticDSOConverterPlugin.
Properties:
constant.data.GENERAL
constant.data.COLLECTION
constant.data.COMMUNITY
constant.data.ITEM
constant.data.SITE
Example
constant.data.GENERAL = ${dspace.dir}/config/modules/rdf/constant-data-general.ttl
Values:
constant.data.COLLECTION = ${dspace.dir}/config/modules/rdf/constant-data-collection.ttl
constant.data.COMMUNITY = ${dspace.dir}/config/modules/rdf/constant-data-community.ttl
constant.data.ITEM = ${dspace.dir}/config/modules/rdf/constant-data-item.ttl
constant.data.SITE = ${dspace.dir}/config/modules/rdf/constant-data-site.ttl
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Informational These properties define files to read static data from. These data should be in RDF, and by
Note:
default Turtle is used as serialization. The data in the file referenced by the property
${constant.data.GENERAL} will be included in every Entity that is converted to RDF. E.g. it
can be used to point to the address of the public readable SPARQL endpoint or may contain
the name of the institution running DSpace.
The other properties define files that will be included if a DSpace Object of the specified type
(collection, community, item or site) is converted. This makes it possible to add static content
to every Item, every Collection, ...
The following properties configure the MetadataConverterPlugin.
Property:
metadata.mappings
Example
metadata.mappings = ${dspace.dir}/config/modules/rdf/metadata-rdf-mapping.ttl
Value:
Informational Defines the file that contains the mappings for the MetadataConverterPlugin. See below the
Note:
description of the configuration file [dspace-source]/dspace/config/modules/rdf/metadata-rdfmapping.ttl.
Property:
metadata.schema
Example
metadata.schema = file://${dspace.dir}/config/modules/rdf/metadata-rdf-schema.ttl
Value:
Informational Configures the URL used to load the RDF Schema of the DSpace Metadata RDF mapping
Note:
Vocabulary. Using a file:// URI makes it possible to convert DSpace content without having an
internet connection. The version of the schema has to be the right one for the used code. In
DSpace 5.0 we use the version 0.2.0. This Schema can be found here as well: http://digitalrepositories.org/ontologies/dspace-metadata-mapping/0.2.0. The newest version of the
Schema can be found here: http://digital-repositories.org/ontologies/dspace-metadatamapping/.
Property:
metadata.prefixes
Example
metadata.prefixes = ${dspace.dir}/config/modules/rdf/metadata-prefixes.ttl
Value:
Informational If you want to use prefixes in RDF serializations that support prefixes, you can define these
Note:
prefixes in the file referenced by this property.
The following protperties configure the SimpleDSORelationsConverterPlugin
Property:
simplerelations.prefixes
Example
simplerelations.prefixes = ${dspace.dir}/config/modules/rdf/simple-relations-prefixes.ttl
Value:
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Informational If you want to use prefixes in RDF serializations that support prefixes, you can define these
Note:
prefixes in the file referenced by this property.
Property:
simplerelations.site2community
Example
simplerelations.site2community = http://purl.org/dc/terms/hasPart, http://digital-repositories.org
Value:
/ontologies/dspace/0.1.0#hasCommunity
Informational Defines the predicates used to link from the data representing the whole repository to the top
Note:
level communities. Defining multiple predicates separated by commas will result in multiple
triples.
Property:
simplerelations.community2site
Example
simplerelations.community2site = http://purl.org/dc/terms/isPartOf, http://digital-repositories.org
Value:
/ontologies/dspace/0.1.0#isPartOfRepository
Informational Defines the predicates used to link from the top level communities to the data representing the
Note:
whole repository. Defining multiple predicates separated by commas will result in multiple
triples.
Property:
simplerelations.community2subcommunity
Example
simplerelations.community2subcommunity = http://purl.org/dc/terms/hasPart, http://digital-
Value:
repositories.org/ontologies/dspace/0.1.0#hasSubcommunity
Informational Defines the predicates used to link from communities to their subcommunities. Defining
Note:
multiple predicates separated by commas will result in multiple triples.
Property:
simplerelations.subcommunity2community
Example
simplerelations.subcommunity2community = http://purl.org/dc/terms/isPartOf, http://digital-
Value:
repositories.org/ontologies/dspace/0.1.0#isSubcommunityOf
Informational Defines the predicates used to link from subcommunities to the communities they belong to.
Note:
Defining multiple predicates separated by commas will result in multiple triples.
Property:
simplerelations.community2collection
Example
simplerelations.community2collection = http://purl.org/dc/terms/hasPart, http://digital-
Value:
repositories.org/ontologies/dspace/0.1.0#hasCollection
Informational Defines the predicates used to link from communities to their collections. Defining multiple
Note:
predicates separated by commas will result in multiple triples.
Property:
simplerelations.collection2community
Example
simplerelations.collection2community = http://purl.org/dc/terms/isPartOf, http://digital-
Value:
repositories.org/ontologies/dspace/0.1.0#isPartOfCommunity
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Informational Defines the predicates used to link from collections to the communities they belong to.
Note:
Defining multiple predicates separated by commas will result in multiple triples.
Property:
simplerelations.collection2item
Example
simplerelations.collection2item = http://purl.org/dc/terms/hasPart, http://digital-repositories.org
Value:
/ontologies/dspace/0.1.0#hasItem
Informational Defines the predicates used to link from collections to their items. Defining multiple predicates
Note:
separated by commas will result in multiple triples.
Property:
simplerelations.item2collection
Example
simplerelations.item2collection = http://purl.org/dc/terms/isPartOf, http://digital-repositories.org
Value:
/ontologies/dspace/0.1.0#isPartOfCollection
Informational Defines the predicates used to link from items to the collections they belong to. Defining
Note:
multiple predicates separated by commas will result in multiple triples.
Property:
simplerelations.item2bitstream
Example
simplerelations.item2bitstream = http://purl.org/dc/terms/hasPart, http://digital-repositories.org
Value:
/ontologies/dspace/0.1.0#hasBitstream
Informational Defines the predicates used to link from item to their bitstreams. Defining multiple predicates
Note:
separated by commas will result in multiple triples.
[dspace-source]/dspace/config/modules/rdf/constant-data-*.ttl
As described in the documentation of the configuration file [dspace-source]/dspace/config/modules/rdf.cfg, the
constant-data-*.ttl files can be used to add static RDF to the converted data. The data are written in Turtle, but if
you change the file suffix (and the path to find the files in rdf.cfg) you can use any other RDF serialization you
like to. You can use this, for example, to add a link to the public readable SPARQL endpoint, add a link to the
repository homepage, or add a triple to every community or collection defining it as an entity of a specific type
like a bibo:collection. The content of the file [dspace-source]/dspace/config/modules/rdf/constant-data-general.
ttl will be added to every DSpaceObject that is converted. The content of the file [dspace-source]/dspace/config
/modules/rdf/constant-data-community.ttl to every community, the content of the file [dspace-source]/dspace
/config/modules/rdf/constant-data-collection.ttl to every collection and the content of the file [dspace-source]
/dspace/config/modules/rdf/constant-data-item.ttl to every Item. You can use the file [dspace-source]/dspace
/config/modules/rdf/constant-data-site.ttl to specify data representing the whole repository.
[dspace-source]/dspace/config/modules/rdf/metadata-rdf-mapping.ttl
This file should contain several metadata mappings. A metadata mapping defines how to map a specific
metadata field within DSpace to a triple that will be added to the converted data. The MetadataConverterPlugin
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uses these metadata mappings to convert the metadata of a item into RDF. For every metadata field and value
it looks if any of the specified mappings matches. If one does, the plugin creates the specified triple and adds it
to the converted data. In the file you'll find a lot of examples on how to define such a mapping.
For every mapping a metadata field name has to be specified, e.g. dc.title, dc.identifier.uri. In addition you can
specify a condition that is matched against the field's value. The condition is specified as a regular expression
(using the syntax of the java class java.util.regex.Pattern). If a condition is defined, the mapping will be used
only on fields those values which are matched by the regex defined as condition.
The triple to create by a mapping is specified using reified RDF statements. The DSpace Metadata RDF
Mapping Vocabulary defines some placeholders that can be used. The most important placeholder is dm:
DSpaceObjectIRI which is replaced by the URI used to identify the entity being converted to RDF. That means if
a specific Item is converted the URI used to address this Item in RDF will be used instead of dm:
DSpaceObjectIRI. There are three placeholders that allow reuse of the value of a meta data field. dm:
DSpaceValue will be replace by the value as it is. dm:LiteralGenerator allows one to specify a regex and
replacement string for it (see the syntax of the java classes java.util.regex.Pattern and java.util.regex.Matcher)
and creates a Literal out of the field value using the regex and the replacement string. dm:ResourceGenerator
does the same as dm:LiteralGenerator but it generates a HTTP(S) URI that is used in place. So you can use
the resource generator to generate URIs containing modified field values (e.g. to link to classifications). If you
know regular expressions and turtle, the syntax should be quite self explanatory.
[dspace-source]/dspace/config/modules/rdf/fuseki-assembler.ttl
This is a configuration for the triple store Fuseki of the Apache Jena project. You can find more information on
the configuration it provides in the section Install a Triple Store above.
Maintenance
As described above you should add rdf to the property event.dispatcher.default.consumers and in
dspace.cfg. This configures DSpace to automatically update the triple store every time the publicly available
content of the repository is changed. Nevertheless there is a command line tool that gives you the possibility to
update the content of the triple store. As the triple store is used as a cache only, you can delete its content and
reindex it every time you think it is necessary of helpful. The command line tool can be started by the following
command which will show its online help:
[dspace-install]/bin/dspace rdfizer --help
The online help should give you all necessary information. There are commands to delete one specific entity; to
delete all information stored in the triple store; to convert one item, one collection or community (including all
subcommunities, collections and items) or to convert the complete content of your repository. If you start using
the Linked Open Data support on a repository that already contains content, you should run [dspaceinstall]/bin/dspace rdfizer --convert-all once.
Every time content of DSpace is converted or Linked Data is requested, DSpace will try to connect to the triple
store. So ensure that it is running (as you do with e.g. your sevlet container or relational database).
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4.3 Ingesting Content and Metadata
This is a new top level page grouping all documentation concerning all different ways to ingest content and
metadata into DSpace
4.3.1 Submission User Interface
This page explains various customization and configuration options that are available within DSpace for the
Item Submission user interface.
1 Default Submission Process
1.1 Optional Steps
2 Understanding the Submission Configuration File
2.1 The Structure of item-submission.xml
2.2 Defining Steps (<step>) within the item-submission.xml
2.2.1 Where to place your <step> definitions
2.2.2 The ordering of <step> definitions matters!
2.2.3 Structure of the <step> Definition
3 Reordering/Removing/Adding Submission Steps
4 Assigning a custom Submission Process to a Collection
4.1 Getting A Collection's Handle
5 Custom Metadata-entry Pages for Submission
5.1 Introduction
5.2 Describing Custom Metadata Forms
5.3 The Structure of input-forms.xml
5.3.1 Adding a Collection Map
5.3.1.1 Getting A Collection's Handle
5.3.2 Adding a Form Set
5.3.2.1 Forms and Pages
5.3.2.2 Composition of a Field
5.3.2.3 Item type Based Metadata Collection
5.3.2.4 Automatically Omitted Fields
5.3.3 Configuring Controlled Vocabularies
5.3.4 Adding Value-Pairs
5.3.4.1 Example
5.4 Deploying Your Custom Forms
6 Configuring the File Upload step
7 Creating new Submission Steps
7.1 Creating a Non-Interactive Step
8 Configuring StartSubmissionLookupStep
8.1 About the Biblio-Transformation-Engine
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8.2 StartSubmissionLookupStep in action!
8.3 SubmissionLookup service configuration file
Default Submission Process
The DSpace Submission process consists of a series of "steps", where each "step" corresponds to one or more
UI pages. By default, the DSpace Submission process includes the following steps, in this order:
1. "Select Collection" step: If not already selected, the user must select a collection to deposit the Item into.
2. "Describe" step: This is where the user may enter descriptive metadata about the Item. This step may
consist of one or more pages of metadata entry. By default, there are two pages of metadata-entry. For
information on modifying the metadata entry pages, please see Custom Metadata-entry Pages for
Submission section below.
3. "Upload" step: This is where the user may upload one or more files to associate with the Item. For more
information on file upload, also see Configuring the File Upload step below.
4. "Review" step: This is where the user may review all previous information entered, and correct anything
as needed.
5. "License" step: This is where the user must agree to the repository distribution license in order to
complete the deposit. This repository distribution license is defined in the [dspace]/config
/default.license file. It can also be customized per-collection from the Collection Admin UI.
6. "Complete" step: The deposit is now completed. The Item will either become immediately available or
undergo a workflow approval process (depending on the Collection policies). For more information on the
workflow approval process see: Configurable Workflow.
To modify or reorganize these submission steps, just modify the [dspace]/config/item-submission.
xml file. Please see the section below on Reordering/Removing/Adding Submission Steps.
You can also choose to have different submission processes for different DSpace Collections. For more details,
please see the section below on Assigning a custom Submission Process to a Collection.
DSpace 4.0 has removed the "Initial Questions" step by default
Prior to DSpace 4.0, the "Initial Questions" step preceded all "Describe" steps. However, it was
removed by default in DSpace 4.0.
You may still choose to re-enable the "Initial Questions" step, as needed. However, please note the
warning below about the auto-assigning of Dates in the "Initial Questions" step.
Optional Steps
DSpace also ships with several optional steps which you may choose to enable if you wish. In no particular
order:
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"Access" step: This step allows the user to (optionally) modify access rights or set an embargo during the
deposit of an Item. For more information on this step, and Embargo options in general, please see the
Embargo documentation.
"CC License" step: This step allows the user to (optionally) assign a Creative Commons license to a
particular Item. Please see the Configuring Creative Commons License section of the Configuration
documentation for more details.
"Start Submission Lookup" step: This step allows the user to search or load metadata from an external
service (arXiv online, bibtex file, etc.) and prefill the submission form. For more information on enabling
and using it, please see the section on Configuring StartSubmissionLookupStep below.
"Initial Questions" step: This step asks users a simple set of "initial questions" which help to determine
which metadata fields are displayed in the "Describe" step (see above). These initial questions include:
Multiple Titles: The item has more than one title, e.g. a translated title (If selected, then users will
be asked for an alternative title in the Describe step)
Published Before: The item has been published or publicly distributed before (If selected, then
users will be asked for a publication date and publisher in the Describe step).
Initial Questions will auto-assign a publication date when "Published Before" is
unselected
Please note, if you enable Initial Questions, and your users do NOT select "Published
Before" option, then DSpace will auto-assign a publication date (dc.date.issued) to that
particular Item.
It may be entirely accurate for some types of content (e.g. for gray literature or even
theses/dissertations) to auto-assign this publication date. As such, you may wish to still
enable "Initial Questions" if your repository is mainly for previously unpublished content.
You may also choose to only enable it for specific Collections – see Assigning a custom
Submission Process to a Collection section below.
However, if the Item actually was published in some other location, this will result in an
incorrect publication date being reported by DSpace. This tendency for an incorrect
publication date has been reported by Google Scholar to DSpace developers (see: DS1481), which is why the "Initial Questions" are now disabled by default (see DS-1655).
To enable any of these optional submission steps, just uncomment the step definition within the [dspace]
/config/item-submission.xml file. Please see the section below on Reordering/Removing/Adding
Submission Steps.
You can also choose to enable certain steps only for specific DSpace Collections. For more details, please see
the section below on Assigning a custom Submission Process to a Collection.
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Understanding the Submission Configuration File
The [dspace]/config/item-submission.xml contains the submission configurations for both the
DSpace JSP user interface (JSPUI) or the DSpace XML user interface (XMLUI or Manakin). This configuration
file contains detailed documentation within the file itself, which should help you better understand how to best
utilize it.
The Structure of item-submission.xml
<item-submission>
<!-- Where submission processes are mapped to specific Collections -->
<submission-map>
<name-map collection-handle="default" submission-name="traditional" /> ...
</submission-map>
<!-- Where "steps" which are used across many submission processes can be defined in a
single place. They can then be referred to by ID later. -->
<step-definitions>
<step id="collection">
<processing-class>org.dspace.submit.step.SelectCollectionStep</process;/processing-class>
<workflow-editable>false</workflow-editable>
</step>
...
</step-definitions>
<!-- Where actual submission processes are defined and given names. Each <submission-process>
has
many <step> nodes which are in the order that the steps should be in.-->
<submission-definitions> <submission-process name="traditional">
...
<!-- Step definitions appear here! -->
</submission-process>
...
</submission-definitions>
</item-submission>
Because this file is in XML format, you should be familiar with XML before editing this file. By default, this file
contains the "traditional" Item Submission Process for DSpace, which consists of the following Steps (in this
order):
Select Collection -> Describe -> Upload -> Verify -> License -> Complete
If you would like to customize the steps used or the ordering of the steps, you can do so within the <submission-
definition> section of the item-submission.xml .
In addition, you may also specify different Submission Processes for different DSpace Collections. This can be
done in the <submission-map> section. The item-submission.xml file itself documents the syntax required to
perform these configuration changes.
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Defining Steps ( <step> ) within the item-submission.xml
This section describes how Steps of the Submission Process are defined within the item-submission.xml.
Where to place your <step> definitions
<step> definitions can appear in one of two places within the item-submission.xml configuration file.
1. Within the <step-definitions>section
This is for globally defined <step> definitions (i.e. steps which are used in multiple <submission-
process> definitions). Steps defined in this section must define a unique id which can be used to
reference this step.
For example:
<step-definitions>
<step id="custom-step">
...
</step>
...
</step-definitions>
The above step definition could then be referenced from within a <submission-process> as simply
<step id="custom-step"/>
2. Within a specific <submission-process>definition
This is for steps which are specific to a single <submission-process> definition.
For example:
<submission-process>
<step>
...
</step>
</submission-process>
The ordering of <step> definitions matters!
The ordering of the <step> tags within a <submission-process> definition directly corresponds to the order in
which those steps will appear!
For example, the following defines a Submission Process where the License step directly precedes the Initial
Questions step (more information about the structure of the information under each <step> tag can be found in
the section on Structure of the <step> Definition below):
<submission-process>
<!--Step 1 will be to Sign off on the License-->
<step>
<heading>submit.progressbar.license</heading>
<processing-class>org.dspace.submit.step.LicenseStep</processing-classing-class>
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<jspui-binding>org.dspace.app.webui.submit.step.JSPLicenseStep</jspui-binding>
<xmlui-binding>org.dspace.app.xmlui.aspect.submission.submit.LicenseStep</xmlui-binding>
<workflow-editable>false</workflow-editable>
</step>
<!--Step 2 will be to Ask Initial Questions-->
<step>
<heading>submit.progressbar.initial-questions</heading>
<processing-class>org.dspace.submit.step.InitialQuestionsStep</process;/processing-class>
<jspui-binding>org.dspace.app.webui.submit.step.JSPInitialQuestionsSteonsStep</jspuibinding>
<xmlui-binding>org.dspace.app.xmlui.aspect.submission.submit.InitialQuestionsStep</xmluibinding>
<workflow-editable>true</workflow-editable>
</step>
...[other steps]...
</submission-process>
Structure of the <step> Definition
The same <step> definition is used by both the DSpace JSP user interface (JSPUI) an the DSpace XML user
interface (XMLUI or Manakin). Therefore, you will notice each <step> definition contains information specific to
each of these two interfaces.
The structure of the <step> Definition is as follows:
<step>
<heading>submit.progressbar.describe</heading>
<processing-class>org.dspace.submit.step.DescribeStep</processing-classing-class>
<jspui-binding>org.dspace.app.webui.submit.step.JSPDescribeStep</jspuilt;/jspui-binding>
<xmlui-binding>org.dspace.app.xmlui.aspect.submission.submit.DescribeStep</xmlui-binding>
<workflow-editable>true</workflow-editable>
</step>
Each step contains the following elements. The required elements are so marked:
heading: Partial I18N key (defined in Messages.properties for JSPUI or messages.xmlfor XMLUI) which
corresponds to the text that should be displayed in the submission Progress Bar for this step. This partial
I18N key is prefixed within either the Messages.properties or messages.xml file, depending on the
interface you are using. Therefore, to find the actual key, you will need to search for the partial key with
the following prefix:
XMLUI: prefix is xmlui.Submission. (e.g. "xmlui.Submission.submit.progressbar.describe" for
'Describe' step)
JSPUI: prefix is jsp. (e.g. "jsp.submit.progressbar.describe" for 'Describe' step)The 'heading' need
not be defined if the step should not appear in the progress bar (e.g. steps which perform
automated processing, i.e. non-interactive, should not appear in the progress bar).
processing-class (Required): Full Java path to the Processing Class for this Step. This Processing
Class must perform the primary processing of any information gathered in this step, for both the XMLUI
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and JSPUI. All valid step processing classes must extend the abstract org.dspace.submit.
AbstractProcessingStep class (or alternatively, extend one of the pre-existing step processing
classes in org.dspace.submit.step.*)
jspui-binding: Full Java path of the JSPUI "binding" class for this Step. This "binding" class should
initialize and call the appropriate JSPs to display the step's user interface. A valid JSPUI "binding" class
must extend the abstract org.dspace.app.webui.submit.JSPStep class. This property need not
be defined if you are using the XMLUI interface, or for steps which only perform automated processing, i.
e. non-interactive steps.
xmlui-binding: Full Java path of the XMLUI "binding" class for this Step. This "binding" class should
generate the Manakin XML (DRI document) necessary to generate the step's user interface. A valid
XMLUI "binding" class must extend the abstract org.dspace.app.xmlui.submission.
AbstractSubmissionStep class. This property need not be defined if you are using the JSPUI
interface, or for steps which only perform automated processing, i.e. non-interactive steps.
workflow-editable: Defines whether or not this step can be edited during the Edit Metadata process with
the DSpace approval/rejection workflow process. Possible values include true and false. If undefined,
defaults to true (which means that workflow reviewers would be allowed to edit information gathered
during that step).
Reordering/Removing/Adding Submission Steps
The removal of existing steps and reordering of existing steps is a relatively easy process!
Reordering steps
1. Locate the <submission-process> tag which defines the Submission Process that you are using. If
you are unsure which Submission Process you are using, it's likely the one with name="traditional",
since this is the traditional DSpace submission process.
2. Reorder the <step> tags within that <submission-process> tag. Be sure to move the entire <step>
tag (i.e. everything between and including the opening <step> and closing </step> tags).
Hint #1: The <step> defining the Review/Verify step only allows the user to review information
from steps which appear before it. So, it's likely you'd want this to appear as one of your last few
steps
Hint #2: If you are using it, the <step> defining the Initial Questions step should always appear
before the Upload or Describe steps since it asks questions which help to set up those later
steps.
Removing one or more steps
1. Locate the <submission-process> tag which defines the Submission Process that you are using. If
you are unsure which Submission Process you are using, it's likely the one with name="traditional",
since this is the traditional DSpace submission process.
2.
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2. Comment out (i.e. surround with <! -- and -->) the <step> tags which you want to remove from that
<submission-process> tag. Be sure to comment out the entire <step > tag (i.e. everything between and
including the opening <step> and closing </step> tags).
Hint #1: You cannot remove the Select a Collection step, as an DSpace Item cannot exist without
belonging to a Collection.
Hint #2: If you decide to remove the <step> defining the Initial Questions step, you should be
aware that this may affect your Describe and Upload steps! The Initial Questions step asks
questions which help to initialize these later steps. If you decide to remove the Initial Questions
step you may wish to create a custom, automated step which will provide default answers for the
questions asked!
Adding one or more optional steps
1. Locate the <submission-process> tag which defines the Submission Process that you are using. If
you are unsure which Submission Process you are using, it's likely the one with name="traditional",
since this is the traditional DSpace submission process.
2. Uncomment (i.e. remove the <! -- and -->) the <step> tag(s) which you want to add to that
<submission-process> tag. Be sure to uncomment the entire <step> tag (i.e. everything between
and including the opening <step> and closing </step> tags).
Assigning a custom Submission Process to a Collection
Assigning a custom submission process to a Collection in DSpace involves working with the submission-map
section of the item-submission.xml. For a review of the structure of the item-submission.xml see the section
above on Understanding the Submission Configuration File.
Each name-map element within submission-map associates a collection with the name of a submission
definition. Its collection-handle attribute is the Handle of the collection. Its submission-name attribute is the
submission definition name, which must match the name attribute of a submission-process element (in the
submission-definitions section of item-submission.xml.
For example, the following fragment shows how the collection with handle "12345.6789/42" is assigned the
"custom" submission process:
<submission-map>
<name-map collection-handle=" 12345.6789/42" submission-name="custom" />
...
</submission-map>
<submission-definitions>
<submission-process name="custom">
...
</submission-definitions>
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It's a good idea to keep the definition of the default name-map from the example input-forms.xml so there is
always a default for collections which do not have a custom form set.
Getting A Collection's Handle
You will need the handle of a collection in order to assign it a custom form set. To discover the handle, go to the
"Communities & Collections" page under "Browse" in the left-hand menu on your DSpace home page. Then,
find the link to your collection. It should look something like:
http://myhost.my.edu/dspace/handle/12345.6789/42
The underlined part of the URL is the handle. It should look familiar to any DSpace administrator. That is what
goes in the collection-handle attribute of your name-map element.
Custom Metadata-entry Pages for Submission
Introduction
This section explains how to customize the Web forms used by submitters and editors to enter and modify the
metadata for a new item. These metadata web forms are controlled by the Describe step within the Submission
Process. However, they are also configurable via their own XML configuration file ([dspace]/config/input-forms.
xml).
You can customize the "default" metadata forms used by all collections, and also create alternate sets of
metadata forms and assign them to specific collections. In creating custom metadata forms, you can choose:
The number of metadata-entry pages.
Which fields appear on each page, and their sequence.
Labels, prompts, and other text associated with each field.
List of available choices for each menu-driven field.
NOTE: The cosmetic and ergonomic details of metadata entry fields remain the same as the fixed metadata
pages in previous DSpace releases, and can only be altered by modifying the appropriate stylesheet and JSP
pages.
All of the custom metadata-entry forms for a DSpace instance are controlled by a single XML file, input-forms.
xml, in the config subdirectory under the DSpace home, [dspace]/config/input-forms.xml. DSpace comes with a
sample configuration that implements the traditional metadata-entry forms, which also serves as a welldocumented example. The rest of this section explains how to create your own sets of custom forms.
DSpace Custom Submission Form Template.ods is a workbook to facilitate creating custom submission forms.
The information below is summarized in columns. The "traditional form fields" sheet lists the default submission
fields. The "custom form fields" sheet can be used to facilitate creating a custom submission form. See the
"notes" sheet for more detail.
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Describing Custom Metadata Forms
The description of a set of pages through which submitters enter their metadata is called a form (although it is
actually a set of forms, in the HTML sense of the term). A form is identified by a unique symbolic name. In the
XML structure, the form is broken down into a series of pages: each of these represents a separate Web page
for collecting metadata elements.
To set up one of your DSpace collections with customized submission forms, first you make an entry in the form-
map. This is effectively a table that relates a collection to a form set, by connecting the collection's Handle to
the form name. Collections are identified by handle because their names are mutable and not necessarily
unique, while handles are unique and persistent.
A special map entry, for the collection handle "default", defines the default form set. It applies to all collections
which are not explicitly mentioned in the map. In the example XML this form set is named traditional (for the
"traditional" DSpace user interface) but it could be named anything.
The Structure of input-forms.xml
The XML configuration file has a single top-level element, input-forms, which contains three elements in a
specific order. The outline is as follows:
<input-forms>
<-- Map of Collections to Form Sets -->
<form-map>
<name-map collection-handle="default" form-name="traditional" />
...
</form-map>
<-- Form Set Definitions -->
<form-definitions>
<form name="traditional">
...
</form>
...
</form-definitions>
<-- Name/Value Pairs used within Multiple Choice Widgets -->
<form-value-pairs>
<value-pairs value-pairs-name="common_iso_languages" dc-term="language_iso">
...
</value-pairs>
...
</form-value-pairs>
</input-forms>
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Adding a Collection Map
Each name-map element within form-map associates a collection with the name of a form set. Its collection-
handle attribute is the Handle of the collection, and its form-name attribute is the form set name, which must
match the name attribute of a form element.
For example, the following fragment shows how the collection with handle "12345.6789/42" is attached to the
"TechRpt" form set:
<form-map>
<name-map collection-handle=" 12345.6789/42" form-name=" TechRpt"/>
...
</form-map>
<form-definitions>
<form name="TechRept">
...
</form-definitions>
It's a good idea to keep the definition of the default name-map from the example input-forms.xml so there is
always a default for collections which do not have a custom form set.
Getting A Collection's Handle
You will need the handle of a collection in order to assign it a custom form set. To discover the handle, go to the
"Communities & Collections" page under "Browse" in the left-hand menu on your DSpace home page. Then,
find the link to your collection. It should look something like:
http://myhost.my.edu/dspace/handle/12345.6789/42
The underlined part of the URL is the handle. It should look familiar to any DSpace administrator. That is what
goes in the collection-handle attribute of your name-map element.
Adding a Form Set
You can add a new form set by creating a new form element within the form-definitions element. It has one
attribute, name, which as seen above must match the value of the name-map for the collections it is to be used
for.
Forms and Pages
The content of the form is a sequence of page elements. Each of these corresponds to a Web page of forms for
entering metadata elements, presented in sequence between the initial "Describe" page and the final "Verify"
page (which presents a summary of all the metadata collected).
A form must contain at least one and at most six pages. They are presented in the order they appear in the
XML. Each page element must include a number attribute, that should be its sequence number, e.g.
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<page number="1">
The page element, in turn, contains a sequence of field elements. Each field defines an interactive dialog where
the submitter enters one of the Dublin Core metadata items.
Composition of a Field
Each field contains the following elements, in the order indicated. The required sub-elements are so marked:
dc-schema (Required) : Name of metadata schema employed, e.g. dc for Dublin Core. This value must
match the value of the schema element defined in dublin-core-types.xml
dc-element (Required) : Name of the Dublin Core element entered in this field, e.g. contributor.
dc-qualifier: Qualifier of the Dublin Core element entered in this field, e.g. when the field is contributor.
advisor the value of this element would be advisor. Leaving this out means the input is for an unqualified
DC element.
repeatable: Value is true when multiple values of this field are allowed, false otherwise. When you mark
a field repeatable, the UI servlet will add a control to let the user ask for more fields to enter additional
values. Intended to be used for arbitrarily-repeating fields such as subject keywords, when it is
impossible to know in advance how many input boxes to provide.
label (Required): Text to display as the label of this field, describing what to enter, e.g. " Your Advisor's
Name".
input-type(Required): Defines the kind of interactive widget to put in the form to collect the Dublin Core
value. Content must be one of the following keywords:
onebox – A single text-entry box.
twobox – A pair of simple text-entry boxes, used for repeatable values such as the DC subject
item. Note: The 'twobox' input type is rendered the same as a 'onebox' in the XML-UI, but both
allow for ease of adding multiple values.
textarea – Large block of text that can be entered on multiple lines, e.g. for an abstract.
name – Personal name, with separate fields for family name and first name. When saved they are
appended in the format 'LastName, FirstName'
date – Calendar date. When required, demands that at least the year be entered.
series – Series/Report name and number. Separate fields are provided for series name and
series number, but they are appended (with a semicolon between) when saved.
dropdown – Choose value(s) from a "drop-down" menu list. Note: You must also include a value
for the value-pairs-name attribute to specify a list of menu entries from which to choose. Use this
to make a choice from a restricted set of options, such as for the language item.
qualdrop_value – Enter a "qualified value", which includes both a qualifier from a drop-down
menu and a free-text value. Used to enter items like alternate identifiers and codes for a submitted
item, e.g. the DC identifier field. Note: As for the dropdown type, you must include the value-pairsname attribute to specify a menu choice list.
list – Choose value(s) from a checkbox or radio button list. If the repeatable attribute is set to true,
a list of checkboxes is displayed. If the repeatable attribute is set to false, a list of radio buttons is
displayed. Note: You must also include a value for the value-pairs-name attribute to specify a list
of values from which to choose.
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hint (Required): Content is the text that will appear as a "hint", or instructions, next to the input fields.
Can be left empty, but it must be present.
required: When this element is included with any content, it marks the field as a required input. If the
user tries to leave the page without entering a value for this field, that text is displayed as a warning
message. For example, <required>You must enter a title.</required> Note that leaving the required
element empty will not mark a field as required, e.g.:<required></required>
visibility: When this optional element is included with a value, it restricts the visibility of the field to the
scope defined by that value. If the element is missing or empty, the field is visible in all scopes. Currently
supported scopes are:
workflow : the field will only be visible in the workflow stages of submission. This is good for
hiding difficult fields for users, such as subject classifications, thereby easing the use of the
submission system.
submit : the field will only be visible in the initial submission, and not in the workflow stages. In
addition, you can decide which type of restriction apply: read-only or full hidden the field (default
behaviour) using the otherwise attribute of the visibility XML element. For example:<visibility
otherwise="readonly">workflow</visibility> Note that it is considered a configuration error to limit a
field's scope while also requiring it - an exception will be generated when this combination is
detected.
Look at the example input-forms.xml and experiment with a a trial custom form to learn this
specification language thoroughly. It is a very simple way to express the layout of data-entry
forms, but the only way to learn all its subtleties is to use it.
For the use of controlled vocabularies see the Configuring Controlled Vocabularies section.
Item type Based Metadata Collection
This feature is available for use with the XMLUI since DSpace 3.0 and with JSPUI since 3.1. A field can be
made visible depending on the value of dc.type. A new field element, <type-bind>, has been introduced to
facilitate this. In this example the field will only be visible if a value of "thesis" or "ebook" has been entered into
dc.type on an earlier page:
<field>
<dc-schema>dc</dc-schema>
<dc-element>identifier</dc-element>
<dc-qualifier>isbn</dc-qualifier>
<label>ISBN</label>
<type-bind>thesis,ebook</type-bind>
</field>
Automatically Omitted Fields
You may notice that some fields are automatically skipped when a custom form page is displayed, depending
on the kind of item being submitted. This is because the DSpace user-interface engine skips Dublin Core fields
which are not needed, according to the initial description of the item. For example, if the user indicates there are
no alternate titles on the first "Describe" page (the one with a few checkboxes), the input for the title.alternative
DC element is automatically omitted, even on custom submission pages.
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When a user initiates a submission, DSpace first displays what we'll call the "initial-questions page". By default,
it contains three questions with check-boxes:
1. The item has more than one title, e.g. a translated title Controls title.alternative field.
2. The item has been published or publicly distributed before Controls DC fields:
date.issued
publisher
identifier.citation
3. The item consists of more than one file Does not affect any metadata input fields.
The answers to the first two questions control whether inputs for certain of the DC metadata fields will
displayed, even if they are defined as fields in a custom page. Conversely, if the metadata fields controlled by a
checkbox are not mentioned in the custom form, the checkbox is omitted from the initial page to avoid confusing
or misleading the user.
The two relevant checkbox entries are "The item has more than one title, e.g. a translated title", and "The item
has been published or publicly distributed before". The checkbox for multiple titles trigger the display of the field
with dc-element equal to "title" and dc-qualifier equal to "alternative". If the controlling collection's form set does
not contain this field, then the multiple titles question will not appear on the initial questions page.
Configuring Controlled Vocabularies
DSpace now supports controlled vocabularies to confine the set of keywords that users can use while
describing items. The need for a limited set of keywords is important since it eliminates the ambiguity of a free
description system, consequently simplifying the task of finding specific items of information. The controlled
vocabulary allows the user to choose from a defined set of keywords organised in an tree (taxonomy) and then
use these keywords to describe items while they are being submitted.
The taxonomies are described in XML following this (very simple) structure:
<node id="acmccs98" label="ACMCCS98">
<isComposedBy>
<node id="A." label="General Literature">
<isComposedBy>
<node id="A.0" label="GENERAL"/>
<node id="A.1" label="INTRODUCTORY AND SURVEY"/>
...
</isComposedBy>
</node>
...
</isComposedBy>
</node>
You are free to use any application you want to create your controlled vocabularies. A simple text editor should
be enough for small projects. Bigger projects will require more complex tools. You may use Protegé to create
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your taxonomies, save them as OWL and then use a XML Stylesheet (XSLT) to transform your documents to
the appropriate format. Future enhancements to this add-on should make it compatible with standard schemas
such as OWL or RDF.
New vocabularies should be placed in [dspace]/config/controlled-vocabularies/ and must be
according to the structure described.
Vocabularies need to be associated with the correspondant DC metadata fields. Edit the file [dspace]
/config/input-forms.xml and place a "vocabulary" tag under the "field" element that you want to
control. Set value of the "vocabulary" element to the name of the file that contains the vocabulary, leaving
out the extension (the add-on will only load files with extension "*.xml"). For example:
<field>
<dc-schema>dc</dc-schema>
<dc-element>subject</dc-element>
<dc-qualifier></dc-qualifier>
<repeatable>true</repeatable>
<label>Subject Keywords</label>
<input-type>onebox</input-type>
<hint>Enter appropriate subject keywords or phrases below.</hint>
<required></required>
<vocabulary>srsc</vocabulary>
</field>
The vocabulary element has an optional boolean attribute closed that can be used to force input only with the
Javascript of controlled-vocabulary add-on. The default behaviour (i.e. without this attribute) is as set closed="
false". This allow the user also to enter the value in free way.
The following vocabularies are currently available by default:
nsi - nsi.xml - The Norwegian Science Index
srsc - srsc.xml - Swedish Research Subject Categories
Adding Value-Pairs
Finally, your custom form description needs to define the "value pairs" for any fields with input types that refer to
them. Do this by adding a value-pairs element to the contents of form-value-pairs. It has the following required
attributes:
value-pairs-name – Name by which an input-type refers to this list.
dc-term – Dublin Core field for which this choice list is selecting a value.
Each value-pairs element contains a sequence of pair sub-elements, each of which in turn contains two
elements:
displayed-value – Name shown (on the web page) for the menu entry.
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stored-value – Value stored in the DC element when this entry is chosen. Unlike the HTML select tag,
there is no way to indicate one of the entries should be the default, so the first entry is always the default
choice.
Example
Here is a menu of types of common identifiers:
<value-pairs value-pairs-name="common_identifiers" dc-term="identifier">
<pair>
<displayed-value>Gov't Doc #</displayed-value>
<stored-value>govdoc</stored-value>
</pair>
<pair>
<displayed-value>URI</displayed-value>
<stored-value>uri</stored-value>
</pair>
<pair>
<displayed-value>ISBN</displayed-value>
<stored-value>isbn</stored-value>
</pair>
</value-pairs>
It generates the following HTML, which results in the menu widget below. (Note that there is no way to indicate
a default choice in the custom input XML, so it cannot generate the HTML SELECTED attribute to mark one of
the options as a pre-selected default.)
<select name="identifier_qualifier_0">
<option VALUE="govdoc">Gov't Doc #</option>
<option VALUE="uri">URI</option>
<option VALUE="isbn">ISBN</option>
</select>
Deploying Your Custom Forms
The DSpace web application only reads your custom form definitions when it starts up, so it is important to
remember:
You must always restart Tomcat (or whatever servlet container you are using) for changes made to the
input-forms.xml file take effect.
Any mistake in the syntax or semantics of the form definitions, such as poorly formed XML or a reference to a
nonexistent field name, will cause a fatal error in the DSpace UI. The exception message (at the top of the stack
trace in the dspace.log file) usually has a concise and helpful explanation of what went wrong. Don't forget to
stop and restart the servlet container before testing your fix to a bug.
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Configuring the File Upload step
The Upload step in the DSpace submission process has two configuration options which can be set with your
[dspace]/config/dspace.cfg configuration file. They are as follows:
upload.max- The maximum size of a file (in bytes) that can be uploaded from the JSPUI (not applicable
for the XMLUI). It defaults to 536870912 bytes (512MB). You may set this to -1 to disable any file size
limitation.
Note: Increasing this value or setting to -1 does not guarantee that DSpace will be able to
successfully upload larger files via the web, as large uploads depend on many other factors
including bandwidth, web server settings, internet connection speed, etc.
webui.submit.upload.required - Whether or not all users are required to upload a file when they submit an
item to DSpace. It defaults to 'true'. When set to 'false' users will see an option to skip the upload step
when they submit a new item.
Creating new Submission Steps
First, a brief warning: Creating a new Submission Step requires some Java knowledge, and is therefore
recommended to be undertaken by a Java programmer whenever possible
That being said, at a higher level, creating a new Submission Step requires the following (in this relative order):
1. (Required) Create a new Step Processing class
This class must extend the abstract org.dspace.submit.AbstractProcessingStep class
and implement all methods defined by that abstract class.
This class should be built in such a way that it can process the input gathered from either the
XMLUI or JSPUI interface.
2. (For steps using JSPUI) Create the JSPs to display the user interface. Create a new JSPUI "binding"
class to initialize and call these JSPs.
Your JSPUI "binding" class must extend the abstract class org.dspace.app.webui.submit.
JSPStep and implement all methods defined there. It's recommended to use one of the classes in
org.dspace.app.webui.submit.step.* as a reference.
Any JSPs created should be loaded by calling the showJSP() method of the org.dspace.app.
webui.submit.JSPStepManager class
If this step gathers information to be reviewed, you must also create a Review JSP which will
display a read-only view of all data gathered during this step. The path to this JSP must be
returned by your getReviewJSP() method. You will find examples of Review JSPs (named similar
to review-[step].jsp) in the JSP submit/ directory.
3. (For steps using XMLUI) Create an XMLUI "binding" Step Transformer which will generate the DRI XML
which Manakin requires.
The Step Transformer must extend and implement all necessary methods within the abstract class
org.dspace.app.xmlui.submission.AbstractSubmissionStep
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It is useful to use the existing classes in org.dspace.app.xmlui.submission.submit.* as
references
4. (Required) Add a valid Step Definition to the item-submission.xmlconfiguration file.
This may also require that you add an I18N (Internationalization) key for this step's heading. See
the sections on Configuring Multilingual Support for JSPUI or Configuring Multilingual Support for
XMLUI for more details.
For more information on <step> definitions within the item-submission.xml, see the section
above on Defining Steps (<step>) within the item-submission.xml.
Creating a Non-Interactive Step
Non-interactive steps are ones that have no user interface and only perform backend processing. You may find
a need to create non-interactive steps which perform further processing of previously entered information.
To create a non-interactive step, do the following:
1. Create the required Step Processing class, which extends the abstract org.dspace.submit.
AbstractProcessingStep class. In this class add any processing which this step will perform.
2. Add your non-interactive step to your item-submission.xml at the place where you wish this step to be
called during the submission process. For example, if you want it to be called immediately after the
existing 'Upload File' step, then place its configuration immediately after the configuration for that 'Upload
File' step. The configuration should look similar to the following:
<step>
<processing-class>org.dspace.submit.step.MyNonInteractiveStep</processing-class>
<workflow-editable>false</workflow-editable>
</step>
Note: Non-interactive steps will not appear in the Progress Bar! Therefore, your submitters will not even know
they are there. However, because they are not visible to your users, you should make sure that your noninteractive step does not take a large amount of time to finish its processing and return control to the next step
(otherwise there will be a visible time delay in the user interface).
Configuring StartSubmissionLookupStep
StartSubmissionLookupStep is a new submission step, available since DSpace 4.0 contributed by CINECA, that
extends the basic SelectCollectionStep allowing the user to search or load metadata from an external service
(arxiv online, bibtex file, etc.) and prefill the submission form. Thanks to the EKT works it is underpinned by the
Biblio Transformation Engine ( https://github.com/EKT/Biblio-Transformation-Engine ) framework.
To enable the StartSubmissionLookupStep you only need to change the configuration of the id="collection" step
to match the following
item-submission.xml excerpt
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<step id="collection">
<heading></heading> <!--can specify heading, if you want it to appear in Progress Bar-->
<processing-class>org.dspace.submit.step.StartSubmissionLookupStep</processing-class>
<jspui-binding>org.dspace.app.webui.submit.step.JSPStartSubmissionLookupStep</jspui-binding>
<xmlui-binding>org.dspace.app.xmlui.aspect.submission.submit.SelectCollectionStep</xmluibinding>
<workflow-editable>false</workflow-editable>
</step>
UI compatibility
The new step is available only for JSP UI. Nonetheless, if you run both UIs and want the JSP UI
benefit of the new step you can configure it as processing class also for XML as it degrades gracefully
to the standard SelectCollectionStep logic
About the Biblio-Transformation-Engine
The BTE is a Java framework developed by the Hellenic National Documentation Centre ( EKT) and consists of
programmatic APIs for filtering and modifying records that are retrieved from various types of data sources (eg.
databases, files, legacy data sources) as well as for outputting them in appropriate standards formats (eg.
database files, txt, xml, Excel). The framework includes independent abstract modules that are executed
seperately, offering in many cases alternative choices to the user depending of the input data set, the
transformation workflow that needs to be executed and the output format that needs to be generated.
The basic idea behind the BTE is a standard workflow that consists of three steps, a data loading step, a
processing step (record filtering and modification) and an output generation. A data loader provides the system
with a set of Records, the processing step is responsible for filtering or modifying these records and the output
generator outputs them in the appropriate format.
The standard BTE version offers several predefined Data Loaders as well as Output Generators for basic
bibliographic formats. However, Spring Dependency Injection can be utilized to load custom data loaders,
filters, modifiers and output generators.
StartSubmissionLookupStep in action!
When StartSubmissionLookupStep is enabled, the user comes up with the following screen when a new
submission is initiated:
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There are four accordion tabs (default configuration hides the third tab):
1) Search for identifier: In this tab, the user can search for an identifier in the supported online services
(currently, arXiv, PubMed, CrossRef and CiNii are supported). The publication results are presented in the tab
"Results" in which the user can select the publication to proceed with. This means that a new submission form
will be initiated with the form fields prefilled with metadata from the selected publication.
Currently, there are four identifiers that are supported (DOI, PubMed ID, arXiv ID and NAID (CiNii ID) ). But
these can be extended - refer to the following paragraph regarding the SubmissionLookup service configuration
file.
User can fill in any of the four identifiers. DOI is preferable. Keep in mind that the service can integrate results
for the same publication from the three different providers so filling any of the four identifiers will pretty much do
the work. If identifiers for different publications are provided, the service will return a list of publications which
will be shown to user to select. The selected publication will make it to the submission form in which some fields
will be pre-filled with the publication metadata. The mapping from the input metadata (from arXiv or Pubmed or
CrossRef or CiNii) to the DSpace metadata schema (and thus, the submission form) is configured in the Spring
XML file that is discussed later on - you can see a table at the very end of this chapter.
Through the same file, a user can also extend the providers that the SubmissionLookup service can search
publication from.
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2) Upload a file: In this tab, the user can upload a file, select the type (bibtex. csv, etc.), see the publications in
the "Results" tab and then either select one to proceed with the submission or make all of them "Workspace
Items" that can be found in the "Unfinished Submissions" section in the "My DSpace" page.
The "preview mode" in the figure above has the following functionality:
"ON": The list of the publications in the uploaded file will be show to the user to select the one for the
submission. The selected publication's metadata will pre-fill the submission form's fields according to
configuration in the Spring XML configuration file.
"OFF": All the publications of the uploaded file will be imported in the user's MyDSpace page as "Unfinished
Submissions" while the first one will go thought the submission process.
(Regarding the pubmed, crossref and arxiv file upload, you can find the attached file named "sample-files.zip"
that contains samples of these three file types)
3) Free search: In this tab, the user can freely search for Title, Author and Year in the four supported providers
(PubMed, CrossRef, Arxiv and CiNii). By default, the four providers are configured to be disabled for free search
but you can enable it via the configuration file. Thus, initially this accordion tab is not shown to the user except
for a data loader is declared as a "search provider" - refer to the following paragraphs.
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The process is the same as in the previous cases. A result of publications is presented to the user to select the
one to preceed with the submission.
4) Default mode submission: In this tab, the user can proceed to the default manual submission. The
SubmissionLookup service will not run and the submission form will be empty for the user to start filling it.
SubmissionLookup service configuration file
The StartSubmissionLookupStep rely on business logic provided by the SubmissionLookup service that can be
heavily extended and customized and is build on top of the BTE.
The basic idea behind BTE is that the system holds the metadata in an internal format using a specific key for
each metadata field. DataLoaders load the record using the aforementioned keys, while the output generator
needs to map these keys to DSpace metadata fields.
The BTE configuration file is located in path: [dspace]/config/spring/api/bte.xml and it's a Spring
XML configuration file that consists of Java beans. (If these terms are unknown to you, please refer to Spring
Dependency Injection web site for more information.)
The service is broken down into two phases. In the first phase, the imported publications' metadata are
converted to an intermediate format while in the second phase, the intermediate format is converted to DSpace
metadata schema
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Explanation of beans:
<bean id="org.dspace.submit.lookup.SubmissionLookupService" />
This is the top level bean that describes the service of the SubmissionLookup. It accepts three properties:
a) phase1TransformationEngine : the phase 1 BTE transformation engine.
b) phase2TransformationEngine : the phase 2 BTE transformation engine
c) detailFields: A list of the keys that the user wants to display in the detailed form of a publication. That is,
when the results are shown, user can see the details of each one. In the detailed form, some fields appear.
These fields are configured by this property. Refer to the table at the very end of this chapter to see the
available values. This property is disabled by default while the list that is shown commented out is the default
list for the detailed form.
<bean id="phase1TransformationEngine" />
The transformation engine for the first phase of the service (from external service to intermediate format)
It accepts three properties:
a) dataLoader : The data loader that will be used for the loading of the data
b) workflow : This property refers to the bean that describes the processing steps of the BTE. If no processing
steps are listed there all records loaded by the data loader will pass to the output generator, unfiltered and
unmodified.
c) outputGenerator : The output generator to be used.
Normally, you do not need to touch any of these three properties. You can edit the reference beans instead.
<bean id="multipleDataLoader" />
This bean declares the data loader to be used to load publications from. It has one property "dataloadersMap",
a map that declares key-value pairs, that is a unique key and the corresponding data loader to be used. Here is
the point where a new data loader can be added, in case the ones that are already supported do not meet your
needs.
A new data loader class must be created based on the following:
a) Either extend the abstract class gr.ekt.bte.core.dataloader.FileDataLoader
in such a case, your data loader key will appear in the drop down menu of data types in the " Upload a file"
accordion tab
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b) Or, extend the abstract class or g.dspace.submit.lookup.SubmissionLookupDataLoader
in such a case, your data loader key will appear as a provider in the " Search for identifier" accordion tab
<bean
<bean
<bean
<bean
<bean
<bean
<bean
<bean
<bean
<bean
<bean
<bean
<bean
id="bibTeXDataLoader" />
id="csvDataLoader" />
id="tsvDataLoader" />
id="risDataLoader" />
id="endnoteDataLoader" />
id="pubmedFileDataLoader" />
id="arXivFileDataLoader" />
id="crossRefFileDataLoader" />
id="ciniiFileDataLoader" />
id="pubmedOnlineDataLoader" />
id="arXivOnlineDataLoader" />
id="crossRefOnlineDataLoader" />
id="ciniiOnlineDataLoader" />
These beans are the actual data loaders that are used by the service. They are either "FileDataLoaders" or
"SubmissionLookupDataLoaders" as mentioned previously.
The data loaders have the following properties:
a) fieldMap : it is a map that specifies the mapping between the keys that hold the metadata in the input format
and the ones that we want to have internal in the BTE. At the end of this article there is a table that summarises
the fields that are used from the three online services (pubmed, arXiv and crossRef) - which are the ones that
the submission lookup step is capable of reading from the online services - and the keys used internally in the
BTE.
Some loaders have more properties:
CSV and TSV (which is actually a CSV loader if you look carefully the class value of the bean) loaders have
some more properties:
a) skipLines: A number that specifies the first line of the file that loader will start reading data. For example, if
you have a csv file that the first row contains the column names, and the second row is empty, the the value of
this property must be 2 so as the loader starts reading from row 2 (starting from 0 row). The default value for
this property is 0.
b) separator: A value to specify the separator between the values in the same row in order to make the
columns. For example, in a TSV data loader this value is "\u0009" which is the "Tab" character. The default
value is "," and that is why the CSV data loader doesn't need to specify this property.
c) quoteChar: This property specifies the quote character used in the CSV file. The default value is the double
quote character (").
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pubmedOnlineDataLoader, crossRefOnlineDataLoader , arXivOnlineDataLoader and
ciniiOnlineDataLoader also support another property:
a) searchProvider: if is set to true, the dataloader supports free search by title, author or year. If at least one of
these data loaders is declared as a search provider, the accordion tab "Free search" is appeared. Otherwise, it
stays hidden.
crossRefOnlineDataLoader and ciniiOnlineDataLoader also have two more properties:
a) apiKey/appId respectively: Both these services need to acquire (for free) an API key in order to access their
online services. For CrossRef, visit: http://www.crossref.org/requestaccount/ and for CiNii visit:
https://portaltools.nii.ac.jp/developer/en/
b) maxResults: the maximum results that these services will reply with to your search. By default, this property
is commented out while the default value is 10 for both services.
(Regarding the file dataloaders, you can find the attached file named "sample-files.zip" that contains samples of
all the file types that the corresponding data loaders can handle)
<bean id="phase1LinearWorkflow" />
This bean specifies the processing steps to be applied to the records metadata before they proceed to the
output generator of the transformation engine. Currenty, three steps are supported, but you can add yours as
well.
<bean id="mapConverter_arxivSubject" />
<bean id="mapConverter_pubstatusPubmed" />
<bean id="removeLastDot" />
These beans are the processing steps that are supported by the 1st phase of transformation engine. The two
first map an incoming value to another one specified in a properties file. The last one is responsible to remove
the last dot from the incoming value.
All of them have the property "fieldKeys" which is a list of keys where the step will be applied.
In the case you need to create your own filters and modifiers follow the instructions below:
To create a new filter, you need to extend the following BTE abstact class:
gr.ekt.bte.core.AbstractFilter
You will need to implement the following method:
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public abstract boolean isIncluded ( Record
record )
Return false if the specified record needs to be filtered, otherwise return true.
To create a new modifier, you need to extend the following BTE abstact class:
gr.ekt.bte.core.AbstractModifier
You will need to implement the following method:
public abstract Record modify ( Record record )
within you can make any changes you like in the record. You can use the Record methods to get the values for
a specific key and load new ones (For the later, you need to make the Record mutable)
After you create your own filters or modifiers you need to add them in the Spring XML configuration file as in the
following example:
<bean id="customfilter"
class="org.mypackage.MyFilter" />
<bean id="phase1LinearWorkflow" class="gr.ekt.bte.core.LinearWorkflow">
<property name="process">
<list>
... <old filters and modifiers>...
<ref bean="customfilter" />
</list>
</property>
</bean>
<bean id="phase2TransformationEngine" />
The transformation engine for the second phase of the service (from the intermediate format to DSpace
metadata schema)
Normally, you do not need to touch any of these three properties. You can edit the reference beans instead.
<bean id="phase2linearWorkflow" />
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This bean specifies the processing steps to be applied to the records metadata before they proceed to the
output generator of the transformation engine. Currenty, two steps are supported, but you can add yours as
well.
<bean id="fieldMergeModifier" />
<bean id="valueConcatenationModifier" />
<bean id="languageCodeModifier" />
These beans are the processing steps that are supported by the 2nd phase of transformation engine. The first
merges the values of multiple keys to a new key. The second one concatenates the values of a specific key to a
unique value. The third one translated the three-letters language code to two-letters one (ie: eng to en)
<bean id="org.dspace.submit.lookup.DSpaceWorkspaceItemOutputGenerator" />
This bean declares the output generator to be used which is, in this case, a DSpaceWorkspaceItem generator.
It accepts two properties:
a) outputMap: A map from the intermediate keys to the DSpace metadata schema fields. The table below
displays the default output mapping. As you can see, some fields, while the are read from the input source, are
not output in DSpace since there are no default metadata schema fields to host them. However, if you create
the corresponding metadata field registry, you can come back in this configuration to add a map between the
input field key and the DSpace metadata field.
b) extraMetadataToKeep: A list of DSpace metadata schema fields to keep in the output
The following table presents the available keys from the online services, the keys that BTE uses in phase1 and
the final output map to DSpace metadata fields.
Arxiv
PubMed
CrossRef
CiNii
BTE Key (phase 1)
Extra Keys
created
by BTE
(phase 2)
title
articleTitle
articleTitle
title
title
published
pubDate
year
issued
issued
id
summary
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Arxiv
PubMed
CrossRef
CiNii
BTE Key (phase 1)
Extra Keys
created
by BTE
(phase 2)
comment
note
pdfUrl
fulltextUrl
doi
doi
doi
doi
journalRef
journalTitle
journalTitle
journal
journal
author
author
authors
authors
authors
authorWithAffiliation
authorsWithAffiliation
primaryCategory
arxivCategory
category
arxivCategory
pubmedID
pubmedID
publicationStatus
publicationStatus
pubModel
printISSN
printISSN
electronicISSN
electronicISSN
journalVolume
volume
volume
volume
journalIssue
issue
issue
issue
language
language
language
publicationType
primaryKeyword
issn
jeissn
doiType
subtype
subjects
secondaryKeyword
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keywords
allkeywords
keywords
allkeywords
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Arxiv
PubMed
CrossRef
CiNii
BTE Key (phase 1)
Extra Keys
created
by BTE
(phase 2)
primaryMeshHeading
mesh
allkeywords
secondaryMeshHeading
mesh
allkeywords
startPage
firstPage
spage
firstpage
endPage
lastPage
epage
lastpage
printISBN
pisbn
electronicISBN
eisbn
editionNumber
editionnumber
seriesTitle
seriestitle
volumeTitle
volumetitle
publicationType
editors
editors
translators
translators
chairs
chairs
naid
naid
ncid
ncid
publisher
publisher
I can see more beans in the configuration file that are not explained above. Why is this?
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The configuration file hosts options for two services. BatchImport service and SubmissionLookup
service. Thus, some beans that are not used in the first service, are not mentioned in this
documentation. However, since both services are based on the BTE, some beans are used by both
services.
4.3.2 Configurable Workflow
1 Introduction
2 Instructions for Enabling Configurable Reviewer Workflow in XMLUI
2.1 dspace/config/xmlui.xconf
2.2 dspace/config/modules/workflow.cfg
3 Data Migration
3.1 Workflowitem conversion/migration scripts
3.1.1 Automatic migration
3.1.2 Java based migration
4 Configuration
4.1 DSpace.cfg configuration
4.2 Main workflow configuration
4.2.1 workflow-map
4.2.2 workflow
4.2.3 roles
4.2.4 step
4.3 Workflow actions configuration
4.3.1 API configuration
4.3.1.1 User Selection Action
4.3.1.2 Processing Action
4.3.2 User Interface configuration
5 Authorizations
6 Database
6.1 cwf_workflowitem
6.2 cwf_collectionrole
6.3 cwf_workflowitemrole
6.4 cwf_pooltask
6.5 cwf_claimtask
6.6 cwf_in_progress_user
7 Additional workflow steps/actions and features
7.1 Optional workflow steps: Select single reviewer workflow
7.2 Optional workflow steps: Score review workflow
7.3 Workflow overview features
8 Known Issues
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8.1 Curation System
8.2 Existing issues
Introduction
Configurable Workflows are an optional feature that may be enabled for use only within DSpace XMLUI.
The primary focus of the workflow framework is to create a more flexible solution for the administrator to
configure, and even to allow an application developer to implement custom steps, which may be configured in
the workflow for the collection through a simple configuration file. The concept behind this approach was
modeled on the configurable submission system already present in DSpace.
For more information, see the Configurable Workflow Introductory Video
Instructions for Enabling Configurable Reviewer Workflow in XMLUI
Please note that enabling the Configurable Reviewer Workflow makes changes to the structure of your
database that are currently irreversible in any graceful manner, so please backup your database in
advance to allow you to restore to that point should you wish to do so. It should also be noted that only
the XMLUI has been changed to cope with the database changes. The JSPUI will no longer work if the
Configurable Reviewer Workflow is enabled.
dspace/config/xmlui.xconf
The submission aspect has been split up into muliple aspects: one submission aspect for the submission
process, one workflow aspect containing the code for the original workflow and one xmlworkflow aspect
containing the code for the new XML configurable workflow framework. In order to enable one of the two
aspects, either the workflow or xmlworkflow aspect should be enabled in the [dspace]/config/xmlui.
xconf configuration file. This means that the xmlui.xconf configuration for the original workflow is the following:
<aspect name="Submission and Workflow" path="resource://aspects/Submission/" />
<aspect name="Original Workflow" path="resource://aspects/Workflow/" />
And the xmlui.xconf configuration for the new XML configurable workflow is the following:
<aspect name="Submission and Workflow" path="resource://aspects/Submission/" />
<aspect name="XMLWorkflow" path="resource://aspects/XMLWorkflow/" />
dspace/config/modules/workflow.cfg
Besides that, a workflow configuration file has been created that specifies the workflow that will be used in the
back-end of the DSpace code. It is important that the option selected in this configuration file matches the
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aspect that was enabled. The workflow configuration file is available in [dspace]/config/modules
/workflow.cfg. This configuration file has been added because it is important that a CLI import process uses
the correct workflow and this should not depend on the UI configuration. The workflow.cfg configration file
contains the following property:
# Original Workflow
#workflow.framework: originalworkflow
#XML configurable workflow
workflow.framework: xmlworkflow
Workflow Data Migration
You will also need to follow the Data Migration Procedure below.
Data Migration
Please note that enabling the Configurable Reviewer Workflow makes changes to the structure of your
database that are currently irreversible in any graceful manner, so please backup your database in
advance to allow you to restore to that point should you wish to do so. It should also be noted that only
the XMLUI has been changed to cope with the database changes. The JSPUI will no longer work if the
Configurable Reviewer Workflow is enabled.
Workflowitem conversion/migration scripts
Depending on the workflow that is used by a DSpace installation, different scripts can be used when migrating
to the new workflow.
Automatic migration
Automatic migration can be used when the out of the box original workflow framework is used by your DSpace
installation. This means that your DSpace installation uses the workflow steps and roles that are available out of
the box. The automated migration will migrate the policies, roles, tasks and workflowitems from the original
workflow to the new workflow framework.
This process will occur automatically by simply restarting Tomcat (or your servlet container) after enabling
"xmlworkflow" in the workflow.cfg.
You can also choose to manually kick off this migration by simply running:
[dspace]/bin/dspace database migrate
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For more information on the "database migrate" command, please see Database Utilities.
Java based migration
In case your DSpace installation uses a customized version of the workflow, the migration script might not work
properly and a different approach is recommended. Therefore, an additional Java based script has been
created that restarts the workflow for all the workflowitems that exist in the original workflow framework. The
script will take all the existing workflowitems and place them in the first step of the XML configurable workflow
framework thereby taking into account the XML configuration that exists at that time for the collection to which
the item has been submitted. This script can also be used to restart the workflow for workflowitems in the
original workflow but not to restart the workflow for items in the XML configurable workflow.
To execute the script, run the following CLI command:
[dspace]/bin/dspace dsrun org.dspace.xmlworkflow.migration.RestartWorkflow -e [email protected]
org
The following arguments can be specified when running the script:
-e: specifies the username of an administrator user
-n: if sending submissions through the workflow, send notification emails
-p: the provenance description to be added to the item
-h: help
Configuration
DSpace.cfg configuration
The workflow configuration file is available in [dspace]/config/modules/workflow.cfg. This
configuration file has been added because it is important that a CLI import process uses the correct workflow
and this should not depend on the UI configuration. The workflow.cfg configration file contains the following
property:
# Original Workflow
#workflow.framework: originalworkflow
#XML configurable workflow
workflow.framework: xmlworkflow
Main workflow configuration
The workflow main configuration can be found in the workflow.xml file, located in [dspace]/config
/workflow.xml. An example of this workflow configuration file can be found bellow.
<?xml version="1.0" encoding="UTF-8"?>
<wf-config>
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<workflow-map>
<!-- collection to workflow mapping -->
<name-map collection="default" workflow="{workflow.id}"/>
<name-map collection="123456789/0" workflow="{workflow.id2}"/>
</workflow-map>
<workflow start="{start.step.id}" id="{workflow.id}">
<roles>
<!-- Roles used in the workflow -->
</roles>
<!-- Steps come here-->
<step id="ExampleStep1" nextStep="ExampleStep2" userSelectionMethod="{UserSelectionActi
onId}">
<!-- Step1 config-->
</step>
<step id="ExampleStep2" userSelectionMethod="{UserSelectionActionId}">
</step>
</workflow>
<workflow start="{start.step.id2}" id="{workflow.id}">
<!-- Another workflow configuration-->
</workflow>
</wf-config>
workflow-map
The workflow map contains a mapping between collections in DSpace and a workflow configuration. Similar to
the configuration of the submission process, the mapping can be done based on the handle of the collection.
The mapping with "default" as the value for the collection mapping, will be used for the collections not occurring
in other mapping tags. Each mapping is defined by a "name-map" tag with two attributes:
collection: can either be a collection handle or "default"
workflow: the value of this attribute points to one of the workflow configurations defined by the "workflow"
tags
workflow
The workflow element is a repeatable XML element and the configuration between two "workflow" tags
represents one workflow process. It requires the following 2 attributes:
id: a unique identifier used for the identification of the workflow and used in the workflow to collection
mapping
start: the identifier of the first step of the workflow, this will be the entry point of this workflow-process.
When a new item has been committed to a collection that uses this workflow, the step configured in the
"start" attribute will he the first step the item will go through.
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roles
Each workflow process has a number of roles defined between the "roles" tags. A role represents one or more
DSpace EPersons or Groups and can be used to assign them to one or more steps in the workflow process.
One role is represented by one "role" tag and has the following attributes:
id: a unique identifier (in one workflow process) for the role
description: optional attribute to describe the role
scope: optional attrbiute that is used to find our group and must have one of the following values:
collection: The collection value specifies that the group will be configured at the level of the
collection. This type of groups is the same as the type that existed in the original workflow system.
In case no value is specified for the scope attribute, the workflow framework assumes the role is a
collection role.
repository: The repository scope uses groups that are defined at repository level in DSpace. The
name attribute should exactly match the name of a group in DSpace.
item: The item scope assumes that a different action in the workflow will assign a number of
EPersons or Groups to a specific workflow-item in order to perform a step. These assignees can
be different for each workflow item.
name: The name specified in the name attribute of a role will be used to lookup the in DSpace. The
lookup will depend on the scope specified in the "scope" attribute:
collection: The workflow framework will look for a group containing the name specified in the name
attribute and the ID of the collection for which this role is used.
repository: The workflow framework will look for a group with the same name as the name
specified in the name attribute
item: in case the item scope is selected, the name of the role attribute is not required
internal: optional attribute which isn't really used at the moment, false by default
<roles>
<role id="{unique.role.id} description="{role.description}" scope="{role.scope}" name="{role.
name}" internal="true/false"/>
</roles>
step
The step element represents one step in the workflow process. A step represents a number of actions that must
be executed by one specified role. In case no role attribute is specified, the workflow framework assumes that
the DSpace system is responsible for the execution of the step and that no user interface will be available for
each of the actions in this step. The step element has the following attributes in order to further configure it:
id: The id attribute specifies a unique identifier for the step, this id will be used when configuring other
steps in order to point to this step. This identifier can also be used when configuring the start step of the
workflow item.
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nextStep: This attribute specifies the step that will follow once this step has been completed under
normal circumstances. If this attribute is not set, the workflow framework will assume that this step is an
endpoint of the workflow process and will archive the item in DSpace once the step has been completed.
userSelectionMethod: This attribute defines the UserSelectionAction that will be used to determine how
to attache users to this step for a workflow-item. The value of this attribute must refer to the identifier of
an action bean in the workflow-actions.xml. Examples of the user attachment to a step are the currently
used system of a task pool or as an alternative directly assigning a user to a task.
role: optional attribute that must point to the id attribute of a role element specified for the workflow. This
role will be used to define the epersons and groups used by the userSelectionMethod.
RequiredUsers
<step id="{step.id}" nextStep="{next.step.id}" userSelectionMethod="{user.selection.bean.id}" role=
"{role.id}" >
<!-- optional alternate outcomes, depending on the outcome of the actions you can alter the next
step here -->
<alternativeOutcome>
<step status="{integer}">{alternate.step.id}</step>
</alternativeOutcome>
<action id="{action.bean.id}"/>
<action id="{action.bean.id.1}"/>
</step>
Each step contains a number of actions that the workflow item will go through. In case the action has a user
interface, the users responsible for the exectution of this step will have to execute these actions before the
workflow item can proceed to the next action or the end of the step.
There is also an optional subsection that can be defined for a step part called "alternativeOutcome". This can be
used to define outcomes for the step that differ from the one specified in the nextStep attribute. Each action
returns an integer depending on the result of the action. The default value is "0" and will make the workflow item
proceed to the next action or to the end of the step.
In case an action returns a different outcome than the default "0", the alternative outcomes will be used to
lookup the next step. The alternativeOutcome element contains a number of steps, each having a status
attribute. This status attribute defines the return value of an action. The value of the element will be used to
lookup the next step the workflow item will go through in case an action returns that specified status.
Workflow actions configuration
API configuration
The workflow actions configuration is located in the [dspace]/config/spring/api/ directory and is named
"workflow-actions.xml". This configuration file describes the different Action Java classes that are used by the
workflow framework. Because the workflow framework uses Spring framework for loading these action classes,
this configuration file contains Spring configuration.
This file contains the beans for the actions and user selection methods referred to in the workflow.xml. In order
for the workflow framework to work properly, each of the required actions must be part of this configuration.
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<?xml version="1.0" encoding="UTF-8"?>
<beans
xmlns="http://www.springframework.org/schema/beans"
xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
xmlns:util="http://www.springframework.org/schema/util"
xsi:schemaLocation="http://www.springframework.org/schema/beans http://www.springframework.org
/schema/beans/spring-beans-2.0.xsd
http://www.springframework.org/schema/util http://www.springframework.
org/schema/util/spring-util-2.0.xsd">
<!-- At the top are our bean class identifiers --->
<bean id="{action.api.id}" class="{class.path}" scope="prototype"/>
<bean id="{action.api.id.2}" class="{class.path}" scope="prototype"/>
<!-- Below the class identifiers come the declarations for out actions/userSelectionMethods -->
<!-- Use class workflowActionConfig for an action -->
<bean id="{action.id}" class="oorg.dspace.xmlworkflow.state.actions.WorkflowActionConfig" scope="p
rototype">
<constructor-arg type="java.lang.String" value="{action.id}"/>
<property name="processingAction" ref="{action.api.id}"/>
<property name="requiresUI" value="{true/false}"/>
</bean>
<!-- Use class UserSelectionActionConfig for a user selection method -->
<!--User selection actions-->
<bean id="{action.api.id.2}" class="org.dspace.xmlworkflow.state.actions.
UserSelectionActionConfig" scope="prototype">
<constructor-arg type="java.lang.String" value="{action.api.id.2}"/>
<property name="processingAction" ref="{user.selection.bean.id}"/>
<property name="requiresUI" value="{true/false}"/>
</bean>
</beans>
Two types of actions are configured in this Spring configuration file:
User selection action: This type of action is always the first action of a step and is responsible for the
user selection process of that step. In case a step has no role attached, no user will be selected and the
NoUserSelectionAction is used.
Processing action: This type of action is used for the actual processing of a step. Processing actions
contain the logic required to execute the required operations in each step. Multiple processing actions
can be defined in one step. These user and the workflow item will go through these actions in the order
they are specified in the workflow configuration unless an alternative outcome is returned by one of them.
User Selection Action
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Each user selection action that is used in the workflow config refers to a bean definition in this workflow-actions.
xml configuration. In order to create a new user selection action bean, the following XML code is used:
<bean id="{action.api.id.2}" class="org.dspace.xmlworkflow.state.actions.UserSelectionActionConfig"
scope="prototype">
<constructor-arg type="java.lang.String" value="{action.api.id.2}"/>
<property name="processingAction" ref="{user.selection.bean.id}"/>
<property name="requiresUI" value="{true/false}"/>
</bean>
This bean defines a new UserSelectionActionConfig and the following child tags:
constructor-arg: This is a constructor argument containing the ID the task. This is the same as the id
attribute of the bean and is used by the workflow config to refer to this action.
property processingAction: This tag refers the the ID of the API bean, responsible for the implementation
of the API side of this action. This bean should also be configured in this XML.
property requiresUI: In case this property is true, the workflow framework will expect a user interface for
the action. Otherwise the framework will automatically execute the action and proceed to the next one.
Processing Action
Processing actions are configured similar to the user selection actions. The only difference is that these
processing action beans are implementations of the WorkflowActionConfig class instead of the
UserSelectionActionConfig class.
User Interface configuration
The configuration file for the workflow user interface actions is located in the [dspace]/config/spring
/xmlui/ and is named "workflow-actions-xmlui.xml". BEach bean defined here has an id which is the action
identifier and the class is a classpath which links to the xmlui class responsible for generating the User Interface
side of the workflow action. Each of the class defined here must extend the org.dspace.app.xmlui.
aspect.submission.workflow.AbstractXMLUIAction class, this class contains some basic settings for
an action and has a method called addWorkflowItemInformation() which will render the given item with a
show full link so you don't have to write the same code in each of your actions if you want to display the item.
The id attribute used for the beans in the configuration must correspond to the id used in the workflow
configuration. In case an action requires a User Interface class, the workflow framework will look for a UI class
in this configuration file.
<?xml version="1.0" encoding="UTF-8"?>
<beans
xmlns="http://www.springframework.org/schema/beans"
xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
xmlns:util="http://www.springframework.org/schema/util"
xsi:schemaLocation="http://www.springframework.org/schema/beans http://www.springframework.org
/schema/beans/spring-beans-2.0.xsd
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http://www.springframework.org/schema/util http://www.springframework.
org/schema/util/spring-util-2.0.xsd">
<bean id="{action.id}" class="{classpath}" scope="prototype"/>
<bean id="{action.id.2}" class="{classpath}" scope="prototype"/>
</beans>
Authorizations
Currently, the authorizations are always granted and revoked based on the tasks that are available for certain
users and groups. The types of authorization policies that is granted for each of these is always the same:
READ
WRITE
ADD
DELETE
Database
The workflow uses a separate metadata schema named workflow. The fields this schema contains can be
found in the [dspace]/config/registries directory and in the file workflow-types.xml. This schema
is only used when using the score reviewing system at the moment, but one could always use this schema if
metadata is required for custom workflow steps.
The following tables have been added to the DSpace database. All tables are prefixed with 'cwf_' to avoid any
confusion with the existing workflow related database tables:
cwf_workflowitem
The cwf_workflowitem table contains the different workflowitems in the workflow. This table has the following
columns:
workflowitem_id: The identifier of the workflowitem and primary key of this table
item_id: The identifier of the DSpace item to which this workflowitem refers.
collection_id: The collection to which this workflowitem is submitted.
multiple_titles: Specifies whether the submission has multiple titles (important for submission steps)
published_before: Specifies whether the submission has been published before (important for
submission steps)
multiple_files: Specifies whether the submission has multiple files attached (important for submission
steps)
cwf_collectionrole
The cwf_collectionrole table represents a workflow role for one collection. This type of role is the same as the
roles that existed in the original workflow meaning that for each collection a separate group is defined to
described the role. The cwf_collectionrole table has the following columns:
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collectionrol_id: The identifier of the collectionrole and the primaty key of this table
role_id: The identifier/name used by the workflow configuration to refer to the collectionrole
collection_id: The collection identifier for which this collectionrole has been defined
group_id: The group identifier of the group that defines the collection role
cwf_workflowitemrole
The cwf_workflowitemrole table represents roles that are defined at the level of an item. These roles are
temporary roles and only exist during the execution of the workflow for that specific item. Once the item is
archived, the workflowitemrole is deleted. Multiple rows can exist for one workflowitem with e.g. one row
containing a group and a few containing epersons. All these rows together make up the workflowitemrole The
cwf_workflowitemrole table has the following columns:
workflowitemrole_id: The identifier of the workflowitemrole and the primaty key of this table
role_id: The identifier/name used by the workflow configuration to refer to the workflowitemrole
workflowitem_id: The cwf_workflowitem identifier for which this workflowitemrole has been defined
group_id: The group identifier of the group that defines the workflowitemrole role
eperson_id: The eperson identifier of the eperson that defines the workflowitemrole role
cwf_pooltask
The cwf_pooltask table represents the different task pools that exist for a workflowitem. These task pools can
be available at the beginning of a step and contain all the users that are allowed to claim a task in this step.
Multiple rows can exist for one task pool containing multiple groups and epersons. The cwf_pooltask table has
the following columns:
pooltask_id: The identifier of the pooltask and the primaty key of this table
workflowitem_id: The identifier of the workflowitem for which this task pool exists
workflow_id: The identifier of the workflow configuration used for this workflowitem
step_id: The identifier of the step for which this task pool was created
action_id: The identifier of the action that needs to be displayed/executed when the user selects the task
from the task pool
eperson_id: The identifier of an eperson that is part of the task pool
group_id: The identifier of a group that is part of the task pool
cwf_claimtask
The cwf_claimtask table represents a task that has been claimed by a user. Claimed tasks can be assigned to
users or can be the result of a claim from the task pool. Because a step can contain multiple actions, the
claimed task defines the action at which the user has arrived in a particular step. This makes it possible to stop
working halfway the step and continue later. The cwf_claimtask table contains the following columns:
claimtask_id: The identifier of the claimtask and the primary key of this table
workflowitem_id: The identifier of the workflowitem for which this task exists
workflow_id: The id of the workflow configuration that was used for this workflowitem
step_id: The step that is currenlty processing the workflowitem
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action_id: The action that should be executed by the owner of this claimtask
owner_id: References the eperson that is responsible for the execution of this task
cwf_in_progress_user
The cwf_in_progess_user table keeps track of the different users that are performing a certain step. This table
is used because some steps might require multiple users to perform the step before the workflowitem can
proceed. The cwf_in_progress_user table contains the following columns:
in_progress_user_id: The identifier of the in progress user and the primary key of this table
workflowitem_id: The identifier of the workflowitem for which the user is performing or has performed the
step.
user_id: The identifier of the eperson that is performing or has performe the task
finished: Keeps track of the fact that the user has finished the step or is still in progress of the execution
Additional workflow steps/actions and features
Optional workflow steps: Select single reviewer workflow
This workflow makes it possible to assign a single user to review an item. This workflow configuration skips the
task pool option meaning that the assigned reviewer no longer needs to claim the task. The configuration
consists of the following 2 steps.
AssignStep: During the assignstep, a user has the ability to select a responsible user to review the
workflowitem. This means that for each workflowitem, a different user can be selected. Because a user is
assigned, the task pool is no longer required.
ReviewStep: The start of the reviewstep is different than the typical task pool. Instead of having a task
pool, the user will be automatically assigned to the task. However, the user still has the option to reject
the task (in case he or she is not responsible for the assigned task) or review the item. In case the user
rejects the task, the workflowitem will be sent to the another step in the workflow as an alternative to the
default outcome.
Optional workflow steps: Score review workflow
The score review system allows reviewers to give the reviewed item a rating. Depending on the results of the
rating, the item will be approved to go to the next workflow step or will be sent to an alternative step. The scrore
review workflow consists of the following 2 steps.
ScoreReviewStep: The group of responsible users for the score reviewing will be able to claim the task
from the taskpool. Dependingn on the configuration, a different number of users can be required to
execute the task. This means that the task will be available in the task pool until the required number of
users has at least claimed the task. Once everyone of them has finished the task, the next (automatic)
processing step is activated.
EvaluationStep: During the evaluationstep, no user interface is required. The workflow system will
automatically execute the step that evaluates the different scores. In case the average score is more
than a configurable percentage, the item is approved, otherwise it is rejected.
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Workflow overview features
A new features has been added to the XML based workflow that resembles the features available in the JSPUI
of DSpace that allows administrators to abort workflowitems. The feature added to the XMLUI allows
administrators to look at the status of the different workflowitems and look for workflowitems based on the
collection to which they have been submitted. Besides that, the administrator has the ability to permanently
delete the workflowitem or send the item back to the submitter.
Known Issues
Curation System
The DSpace 1.7 version of the curation system integration into the original DSpace workflow only exists in the
WorkflowManager.advance() method. Before advancing to the next workflow step or archiving the Item, a check
is performed to see whether any curation tasks need to be executed/scheduled. The problem is that this check
is based on the hardcoded workflow steps that exist in the original workflow. These hardcoded checks are done
in the WorkflowCurator and will need to be changed.
Existing issues
What happens with collection roles after config changes
What with workflowitems after config changes
What with undefined outcomes
Config checker
Configurable authorizations?
4.3.3 Importing and Exporting Content via Packages
1 Package Importer and Exporter
1.1 Supported Package Formats
1.2 Ingesting
1.2.1 Ingestion Modes & Options
1.2.1.1 Ingesting a Single Package
1.2.1.2 Ingesting Multiple Packages at Once
1.2.2 Restoring/Replacing using Packages
1.2.2.1 Default Restore Mode
1.2.2.2 Restore, Keep Existing Mode
1.2.2.3 Force Replace Mode
1.3 Disseminating
1.3.1 Disseminating a Single Object
1.3.2 Disseminating Multiple Objects at Once
1.4 Archival Information Packages (AIPs)
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1.5 METS packages
Package Importer and Exporter
This command-line tool gives you access to the Packager plugins. It can ingest a package to create a new
DSpace Object (Community, Collection or Item), or disseminate a DSpace Object as a package.
To see all the options, invoke it as:
[dspace]/bin/dspace packager --help
This mode also displays a list of the names of package ingestion and dissemination plugins that are currently
installed in your DSpace. Each Packager plugin also may allow for custom options, which may provide you
more control over how a package is imported or exported. You can see a listing of all specific packager options
by invoking --help (or -h) with the --type (or -t) option:
[dspace]/bin/dspace packager --help --type METS
The above example will display the normal help message, while also listing any additional options available to
the "METS" packager plugin.
Supported Package Formats
DSpace comes with several pre-configured package ingestion and dissemination plugins, which allow you to
import/export content in a variety of formats.
Pre-Configured Submission Package (SIP) Types
AIP - Ingests content which is in the DSpace Archival Information Package (AIP) format. This is used as
part of the DSpace AIP Backup and Restore process
DSPACE-ROLES - Ingests DSpace users/groups in the DSPACE-ROLES XML Schema. This is primarily
used by the DSpace AIP Backup and Restore process to ingest/replace DSpace Users & Groups.
METS - Ingests content which is in the DSpace METS SIP format
PDF - Ingests a single PDF file (where basic metadata is extracted from the file properties in the PDF
Document).
Pre-Configured Dissemination Package (DIP) Types
AIP - Exports content which is in the DSpace Archival Information Package (AIP) format. This is used as
part of the DSpace AIP Backup and Restore process
DSPACE-ROLES - Exports DSpace users/groups in the DSPACE-ROLES XML Schema. This is
primarily used by the DSpace AIP Backup and Restore process to export DSpace Users & Groups.
METS - Exports content in the DSpace METS SIP format
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For a list of all package ingestion and dissemination plugins that are currently installed in your DSpace, you can
execute:
[dspace]/bin/dspace packager --help
Some packages ingestion and dissemination plugins also have custom options/parameters. For example, to
see a listing of the custom options for the "METS" plugin, you can execute:
[dspace]/bin/dspace packager --help --type METS
Ingesting
Ingestion Modes & Options
When ingesting packages DSpace supports several different "modes". (Please note that not all packager
plugins may support all modes of ingestion)
1. Submit/Ingest Mode (-s option, default) – submit package to DSpace in order to create a new object(s)
2. Restore Mode (-r option) – restore pre-existing object(s) in DSpace based on package(s). This also
attempts to restore all handles and relationships (parent/child objects). This is a specialized type of
"submit", where the object is created with a known Handle and known relationships.
3. Replace Mode (-r -f option) – replace existing object(s) in DSpace based on package(s). This also
attempts to restore all handles and relationships (parent/child objects). This is a specialized type of
"restore" where the contents of existing object(s) is replaced by the contents in the AIP(s). By default, if a
normal "restore" finds the object already exists, it will back out (i.e. rollback all changes) and report which
object already exists.
Ingesting a Single Package
To ingest a single package from a file, give the command:
[dspace]/bin/dspace packager -e [user-email] -p [parent-handle] -t [packager-name] /full/path/to/pa
ckage
Where [user-email] is the e-mail address of the E-Person under whose authority this runs; [parent-handle] is the
Handle of the Parent Object into which the package is ingested, [packager-name] is the plugin name of the
package ingester to use, and /full/path/to/package is the path to the file to ingest (or "-" to read from the
standard input).
Here is an example that loads a PDF file with internal metadata as a package:
[dspace]/bin/dspace packager -e [email protected] -p 4321/10 -t PDF thesis.pdf
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This example takes the result of retrieving a URL and ingests it:
wget -O - http://alum.mit.edu/jarandom/my-thesis.pdf | [dspace]/bin/dspace packager -e [email protected]
edu -p 4321/10 -t PDF -
Ingesting Multiple Packages at Once
Some Packager plugins support bulk ingest functionality using the --all (or -a) flag. When --all is used, the
packager will attempt to ingest all child packages referenced by the initial package (and continue on
recursively). Some examples follow:
For a Site-based package - this would ingest all Communities, Collections & Items based on the located
package files
For a Community-based package - this would ingest that Community and all SubCommunities,
Collections and Items based on the located package files
For a Collection - this would ingest that Collection and all contained Items based on the located package
files
For an Item – this just ingest the Item (including all Bitstreams & Bundles) based on the package file.
Here is a basic example of a bulk ingest 'packager' command template:
[dspace]/bin/dspace packager -s -a -t AIP -e <eperson> -p <parent-handle> <file-path>
for example:
[dspace]/bin/dspace packager -s -a -t AIP -e [email protected] -p 4321/12 collection-aip.zip
The above command will ingest the package named "collection-aip.zip" as a child of the specified Parent Object
(handle="4321/12"). The resulting object is assigned a new Handle (since -s is specified). In addition, any child
packages directly referenced by "collection-aip.zip" are also recursively ingested (a new Handle is also
assigned for each child AIP).
Not All Packagers Support Bulk Ingest
Because the packager plugin must know how to locate all child packages from an initial package file,
not all plugins can support bulk ingest. Currently, in DSpace the following Packager Plugins support
bulk ingest capabilities:
METS Packager Plugin
AIP Packager Plugin
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Restoring/Replacing using Packages
Restoring is slightly different than just ingesting. When restoring, the packager makes every attempt to restore
the object as it used to be (including its handle, parent object, etc.).
There are currently three restore modes:
1. Default Restore Mode (-r) = Attempt to restore object (and optionally children). Rollback all changes if
any object is found to already exist.
2. Restore, 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. 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 package. WARNING: This mode is potentially dangerous as it will permanently
destroy any object contents that do not currently exist in the package. You may want to first perform a
backup, unless you are sure you know what you are doing!
Default Restore Mode
By default, the restore mode (-r option) will rollback all changes if any object is found to already exist. The user
will be informed if which object already exists within their DSpace installation.
Use this 'packager' command template:
[dspace]/bin/dspace packager -r -t AIP -e <eperson> <file-path>
For example:
[dspace]/bin/dspace packager -r -t AIP -e [email protected] aip4567.zip
Notice that unlike -s option (for submission/ingesting), the -r option does not require the Parent Object (-p
option) to be specified if it can be determined from the package itself.
In the above example, the package "aip4567.zip" is restored to the DSpace installation with the Handle
provided within the package itself (and added as a child of the parent object specified within the package itself).
If the object is found to already exist, all changes are rolled back (i.e. nothing is restored to DSpace)
Restore, Keep Existing Mode
When the "Keep Existing" flag (-k option) is specified, the restore will attempt to skip over any objects found to
already exist. It will report to the user that the object was found to exist (and was not modified or changed). It
will then continue to restore all objects which do not already exist. This flag is most useful when attempting a
bulk restore (using the --all (or -a) option.
One special case to note: If a Collection or Community is found to already exist, its child objects are also
skipped over. So, this mode will not auto-restore items to an existing Collection.
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Here's an example of how to use this 'packager' command:
[dspace]/bin/dspace packager -r -a -k -t AIP -e <eperson> <file-path>
For example:
[dspace]/bin/dspace packager -r -a -k -t AIP -e [email protected] aip4567.zip
In the above example, the package "aip4567.zip" is restored to the DSpace installation with the Handle
provided within the package itself (and added as a child of the parent object specified within the package itself).
In addition, any child packages referenced by "aip4567.zip" are also recursively restored (the -a option
specifies to also restore all child pacakges). They are also restored with the Handles & Parent Objects provided
with their package. If any object is found to already exist, it is skipped over (child objects are also skipped). All
non-existing objects are restored.
Force Replace Mode
When the "Force Replace" flag (-f option) is specified, the restore will overwrite any objects found to already
exist in DSpace. In other words, existing content is deleted and then replaced by the contents of the package
(s).
Potential for Data Loss
Because this mode actually destroys existing content in DSpace, it is potentially dangerous and may
result in data loss! It is recommended to always perform a full backup (assetstore files & database)
before attempting to replace any existing object(s) in DSpace.
Here's an example of how to use this 'packager' command:
[dspace]/bin/dspace packager -r -f -t AIP -e <eperson> <file-path>
For example:
[dspace]/bin/dspace packager -r -f -t AIP -e [email protected] aip4567.zip
In the above example, the package "aip4567.zip" is restored to the DSpace installation with the Handle
provided within the package itself (and added as a child of the parent object specified within the package itself).
In addition, any child packages referenced by "aip4567.zip" are also recursively ingested. They are also
restored with the Handles & Parent Objects provided with their package. If any object is found to already exist,
its contents are replaced by the contents of the appropriate package.
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If any error occurs, the script attempts to rollback the entire replacement process.
Disseminating
Disseminating a Single Object
To disseminate a single object as a package, give the command:
[dspace]/bin/dspace packager -d -e [user-email] -i [handle] -t [packager-name] [file-path]
Where [user-email] is the e-mail address of the E-Person under whose authority this runs; [handle] is the
Handle of the Object to disseminate; [packager-name] is the plugin name of the package disseminator to use;
and [file-path] is the path to the file to create (or "-" to write to the standard output). For example:
[dspace]/bin/dspace packager -d -e [email protected] -i 4321/4567 -t METS 4567.zip
The above code will export the object of the given handle (4321/4567) into a METS file named "4567.zip".
Disseminating Multiple Objects at Once
To export an object hierarchy, use the -a (or --all) package parameter.
For example, use this 'packager' command template:
[dspace]/bin/dspace packager -d -a -e [user-email] -i [handle] -t [packager-name][file-path]
for example:
[dspace]/bin/dspace packager -d -a -t METS -e [email protected] -i 4321/4567 4567.zip
The above code will export the object of the given handle (4321/4567) into a METS file named "4567.zip". In
addition it would export all children objects to the same directory as the "4567.zip" file.
Archival Information Packages (AIPs)
As of DSpace 1.7, DSpace now can backup and restore all of its contents as a set of AIP Files. This includes all
Communities, Collections, Items, Groups and People in the system.
This feature came out of a requirement for DSpace to better integrate with DuraCloud (http://www.duracloud.org
), and other backup storage systems. One of these requirements is to be able to essentially "backup" local
DSpace contents into the cloud (as a type of offsite backup), and "restore" those contents at a later time.
Essentially, this means DSpace can export the entire hierarchy (i.e. bitstreams, metadata and relationships
between Communities/Collections/Items) into a relatively standard format (a METS-based, AIP format). This
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entire hierarchy can also be re-imported into DSpace in the same format (essentially a restore of that content in
the same or different DSpace installation).
For more information, see the section on AIP backup & Restore for DSpace.
METS packages
Since DSpace 1.4 release, the software includes a package disseminator and matching ingester for the DSpace
METS SIP (Submission Information Package) format. They were created to help end users prepare sets of
digital resources and metadata for submission to the archive using well-defined standards such as METS,
MODS, and PREMIS. The plugin name is METS by default, and it uses MODS for descriptive metadata.
The DSpace METS SIP profile is available at: DSpaceMETSSIPProfile
4.3.4 Importing and Exporting Items via Simple Archive Format
1 Item Importer and Exporter
1.1 DSpace Simple Archive Format
1.2 Configuring metadata_[prefix].xml for Different Schema
1.3 Importing Items
1.3.1 Adding Items to a Collection from a directory
1.3.2 Adding Items to a Collection from a zipfile
1.3.3 Replacing Items in Collection
1.3.4 Deleting or Unimporting Items in a Collection
1.3.5 Other Options
1.3.6 UI Batch Import (JSPUI)
1.3.7 UI Batch Import (XMLUI)
1.4 Exporting Items
Item Importer and Exporter
DSpace has a set of command line tools for importing and exporting items in batches, using the DSpace Simple
Archive Format. Apart from the offered functionality, these tools serve as an example for users who aim to
implement their own item importer.
DSpace Simple Archive Format
The basic concept behind the DSpace's Simple Archive Format is to create an archive, which is a directory
containing one subdirectory per item. Each item directory contains a file for the item's descriptive metadata, and
the files that make up the item.
archive_directory/
item_000/
dublin_core.xml
-- qualified Dublin Core metadata for metadata fields belonging to
the dc schema
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metadata_[prefix].xml
-- metadata in another schema, the prefix is the name of the
schema as registered with the metadata registry
contents
-- text file containing one line per filename
collections
-- text file that contains the handles of the collections the
item will belong two. Optional. Each handle in a row.
-- Collection in first line will be the owning collection
file_1.doc
-- files to be added as bitstreams to the item
file_2.pdf
item_001/
dublin_core.xml
contents
file_1.png
...
The dublin_core.xml or metadata_[prefix].xml file has the following format, where each metadata
element has it's own entry within a <dcvalue> tagset. There are currently three tag attributes available in the
<dcvalue> tagset:
<element> - the Dublin Core element
<qualifier> - the element's qualifier
<language>- (optional)ISO language code for element
<dublin_core>
<dcvalue element="title" qualifier="none">A Tale of Two Cities</dcvalue>
<dcvalue element="date" qualifier="issued">1990</dcvalue>
<dcvalue element="title" qualifier="alternative" language="fr">J'aime les Printemps<
/dcvalue>
</dublin_core>
(Note the optional language tag attribute which notifies the system that the optional title is in French.)
Every metadata field used, must be registered via the metadata registry of the DSpace instance first, see
Metadata and Bitstream Format Registries.
Recommended Metadata
It is recommended to minimally provide "dc.title" and, where applicable, "dc.date.issued". Obviously
you can (and should) provide much more detailed metadata about the Item. For more information see:
Metadata Recommendations.
The contents file simply enumerates, one file per line, the bitstream file names. See the following example:
file_1.doc
file_2.pdf
license
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Please notice that the license is optional, and if you wish to have one included, you can place the file in the ...
/item_001/ directory, for example.
The bitstream name may optionally be followed by any of the following:
\tbundle:BUNDLENAME
\tpermissions:PERMISSIONS
\tdescription:DESCRIPTION
\tprimary:true
Where '\t' is the tab character.
'BUNDLENAME' is the name of the bundle to which the bitstream should be added. Without specifying the
bundle, items will go into the default bundle, ORIGINAL.
'PERMISSIONS' is text with the following format: -[r|w] 'group name'
'DESCRIPTION' is text of the files description.
Primary is used to specify the primary bitstream.
Configuring metadata_[prefix].xml for Different Schema
It is possible to use other Schema such as EAD, VRA Core, etc. Make sure you have defined the new scheme
in the DSpace Metada Schema Registry.
1. Create a separate file for the other schema named metadata_[prefix].xml, where the [prefix] is
replaced with the schema's prefix.
2. Inside the xml file use the dame Dublin Core syntax, but on the <dublin_core> element include the
attribute schema=[prefix].
3. Here is an example for ETD metadata, which would be in the file metadata_etd.xml:
<?xml version="1.0" encoding="UTF-8"?>
<dublin_core schema="etd">
<dcvalue element="degree" qualifier="department">Computer Science</dcvalue>
<dcvalue element="degree" qualifier="level">Masters</dcvalue>
<dcvalue element="degree" qualifier="grantor">Michigan Institute of Technology</dcvalue>
</dublin_core>
Importing Items
Before running the item importer over items previously exported from a DSpace instance, please first refer to
Transferring Items Between DSpace Instances.
Command used:
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Java class:
org.dspace.app.itemimport.ItemImport
Arguments short and (long) forms:
Description
-a or --add
Add items to DSpace ‡
-r or --replace
Replace items listed in mapfile ‡
-d or --delete
Delete items listed in mapfile ‡
-s or --source
Source of the items (directory)
-c or --collection
Destination Collection by their Handle or database ID
-m or --mapfile
Where the mapfile for items can be found (name and directory)
-e or --eperson
Email of eperson doing the importing
-w or --workflow
Send submission through collection's workflow
-n or --notify
Kicks off the email alerting of the item(s) has(have) been imported
-t or --test
Test run‚ do not actually import items
-p or --template
Apply the collection template
-R or --resume
Resume a failed import (Used on Add only)
-h or --help
Command help
-z or --zip
Name of zipfile
‡ These are mutually exclusive.
The item importer is able to batch import unlimited numbers of items for a particular collection using a very
simple CLI command and 'arguments'
Adding Items to a Collection from a directory
To add items to a collection, you gather the following information:
eperson
Collection ID (either Handle (e.g. 123456789/14) or Database ID (e.g. 2)
Source directory where the items reside
Mapfile. Since you don't have one, you need to determine where it will be (e.g. /Import/Col_14/mapfile)
At the command line:
[dspace]/bin/dspace import --add [email protected] --collection=CollectionID -source=items_dir --mapfile=mapfile
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or by using the short form:
[dspace]/bin/dspace import -a -e [email protected] -c CollectionID -s items_dir -m mapfile
The above command would cycle through the archive directory's items, import them, and then generate a map
file which stores the mapping of item directories to item handles. SAVE THIS MAP FILE. Using the map file you
can use it for replacing or deleting (unimporting) the file.
Testing. You can add --test (or -t) to the command to simulate the entire import process without actually
doing the import. This is extremely useful for verifying your import files before doing the actual import.
Adding Items to a Collection from a zipfile
To add items to a collection, you gather the following information:
eperson
Collection ID (either Handle (e.g. 123456789/14) or Database ID (e.g. 2)
Source directory where your zipfile containing the items resides
Zipfile
Mapfile. Since you don't have one, you need to determine where it will be (e.g. /Import/Col_14/mapfile)
At the command line:
[dspace]/bin/dspace import --add [email protected] --collection=CollectionID -source=items_dir --zip=filename.zip --mapfile=mapfile
or by using the short form:
[dspace]/bin/dspace import -a -e [email protected] -c CollectionID -s items_dir -z filename.zip -m
mapfile
The above command would unpack the zipfile, cycle through the archive directory's items, import them, and
then generate a map file which stores the mapping of item directories to item handles. SAVE THIS MAP FILE.
Using the map file you can use it for replacing or deleting (unimporting) the file.
Testing. You can add --test (or -t) to the command to simulate the entire import process without actually
doing the import. This is extremely useful for verifying your import files before doing the actual import.
Replacing Items in Collection
Replacing existing items is relatively easy. Remember that mapfile you were supposed to save? Now you will
use it. The command (in short form):
[dspace]/bin/dspace import -r -e [email protected] -c collectionID -s items_dir -m mapfile
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Long form:
[dspace]/bin/dspace import --replace [email protected] --collection=collectionID -source=items_dire --mapfile=mapfile
Deleting or Unimporting Items in a Collection
You are able to unimport or delete items provided you have the mapfile. Remember that mapfile you were
supposed to save? The command is (in short form):
[dspace]/bin/dspace import -e [email protected] -d -m mapfile
In long form:
[dspace]/bin/dspace import [email protected] --delete --mapfile mapfile
Other Options
Workflow. The importer usually bypasses any workflow assigned to a collection. But add the -workflow (-w) argument will route the imported items through the workflow system.
Templates. If you have templates that have constant data and you wish to apply that data during batch
importing, add the --template (-p) argument.
Resume. If, during importing, you have an error and the import is aborted, you can use the --resume (R) flag that you can try to resume the import where you left off after you fix the error.
Specifying the owning collection on a per-item basis from the command line administration tool
If you omit the -c flag, which is otherwise mandatory, the ItemImporter searches for a file named
"collections" in each item directory. This file should contain a list of collections, one per line, specified
either by their handle, or by their internal db id. The ItemImporter then will put the item in each of the
specified collections. The owning collection is the collection specified in the first line of the collections file.
If both the -c flag is specified and the collections file exists in the item directory, the ItemImporter will
ignore the collections file and will put the item in the collection specified on the command line.
Since the collections file can differ between item directories, this gives you more fine-grained control of
the process of batch adding items to collections.
Importing with BTE
The DSpaceOutputGenerator, which writes the metadata into the DSpace Simple Archive Format, has
been updated to produce the collections file, if a metadata field named "collections" (reserved word)
exists in the original metadata. This is mainly applicable to the CSV input format which is more flexible,
but could also be implemented with a Modifier that adds the "collections" field to each Record in the BTE
pipeline.
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Important note: an entry with the "collections" key should be in the output map that is used by the
DSpaceOutputGenerator.
More info in Importing Items via basic bibliographic formats (Endnote, BibTex, RIS, TSV, CSV) and
online services (OAI, arXiv, PubMed, CrossRef, CiNii).
UI Batch Import (JSPUI)
Batch import can also take place via the Administrator's UI. The steps to follow are:
A. Prepare the data
1. Items, i.e. the metadata and their bitstreams, must be in the Simple Archive Format describer earlier in
this chapter. Thus, for each item there must be a separate directory that contains the corresponding files
of the specific item.
2. Moreover, in each item directory, there can be another file that describes the collection or the collections
that this item will be added to. The name of this file must be "collections" and it is optional. It has the
following format:
Each line contains the handle of the collection. The collection in the first line is the owning collection
while the rest are the other collection the item should belong to.
3. Compress the item directories into a zip file. Please note that you need to zip the actual item directories
and not just the directory that contains the item directories. Thus, the final zip file must directly contain
the item directories.
4. Place the zip file in a public domain URL, like Dropbox or Google Drive or wherever you have access to
do so. Since such a zip file can be very big in size, the batch import UI needs the URL to download it for
a public location rather than just upload it and get a timeout exception
B. Import the items via the UI
1. Login as an administrator
2. Find the menu on the top right of the page, and select the "Administer" option
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3. Select the "Batch Import" option from the "Content" drop down menu on the top of the page
4. Fill in the form that appears as follows:
Field #1: select the type of the input data that you want to batch import. Be sure to select "Simple Archive
Format" in this drop down menu
Field #2: Copy/Paste the public URL where the zip file mentioned earlier is located
Filed #3: Select the owning collection of the items you are importing. This field is optional meaning that if
you leave it empty, you are supposed to include per item collection information (via the "collections" file
mentioned before) in the Simple Archive Format
Field #4: Select the other collections the item will belong to. You can select more than one collection by
just holding down the Ctrl key on your keyboard. If you select the owning collection in this multiselect
input control, it will be ignored at the very end.
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Comments:
1) If you select an owning collection from this form, then the "collections" file that may be included in the item
will be ignored.
2) If you do not specify an owning collection, and for some items no "collections" file exists in the item directory,
then the item will not be imported in DSpace
Finally, when you submit the form you will receive a message informing you that the import process is being
executed in the background (since it may take long). At the end, you will receive a success or failure email (to
the email address of your DSpace account) informing you of the status of the import.
C. View past batch imports (that have be done via the UI)
1. Login
2. Visit "My DSpace" page
3.
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3. On the next page, you can see the history of batch imports. For each import, the following information is
available:
The status of the batch import (success or failure)
The number of items that the user tried to import
The number of items that were actually imported
Moreover, the user can take the following actions:
Download the map file that was produced during the import. This file contains a list of items that were
imported with the corresponding handle assigned to them by DSpace.
Delete the imported items. Everything that was imported will be deleted (including the history directory in
the "[dspace]/import" directory)
In case of failure, the user can "Resume" the import. The user is taken to the upload form again, but the
system recognizes the initial import (and the map file) in order to resume the old import. There is a red
label in the form that informs the user about the "Resume" form.
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UI Batch Import (XMLUI)
A SimpleArchiveFormat package can be imported by an administrator in XMLUI. The SimpleArchiveFormat
package needs to be compressed into a ZIP file, and it be will be uploaded to XMLUI through the browser.
DSpace will then process that ZIP, and ingest items into DSpace. A stable network connection is
recommended, as your browser will need to upload a potentially large ZIP file, and then wait while DSpace
processes that ZIP file.
While logged in as an administrator, click on Batch Import (ZIP):
Then, choose the owning collection from the collection dropdown, and browse to the ZIP file on your computer
that has the SimpleArchiveFormat ZIP file.
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If successful, you will get a green message with a list of handles that were imported. It is what is considered the
"map file".
If an error occurred, you will get a red error message with the issue:
Exporting Items
The item exporter can export a single item or a collection of items, and creates a DSpace simple archive in the
aforementioned format for each exported item. The items are exported in a sequential order in which they are
retrieved from the database. As a consequence, the sequence numbers of the item subdirectories (item_000,
item_001) are not related to DSpace handle or item ids.
Command
[dspace]/bin/dspace export
used:
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Java class:
org.dspace.app.itemexport.ItemExport
Arguments
Description
short and
(long) forms:
-t or --
Type of export. COLLECTION will inform the program you want the whole collection. ITEM will
type
be only the specific item. (You will actually key in the keywords in all caps. See examples
below.)
-i or --id
The ID or Handle of the Collection or Item to export.
-d or --
The destination path where you want the file of items to be placed.
dest
-n or --
Sequence number to begin export the items with. Whatever number you give, this will be the
number
name of the first directory created for your export. The layout of the export directory is the
same as the layout used for import.
-m or --
Export the item/collection for migration. This will remove the handle and metadata that will be
migrate
re-created in the new instance of DSpace.
-h or --
Brief Help.
help
Exporting a Collection
The CLI command to export the items of a collection:
[dspace]/bin/dspace export --type=COLLECTION --id=collectionID_or_handle --dest=/path/to
/destination --number=seq_num
Short form:
[dspace]/bin/dspace export -t COLLECTION -i collectionID_or_handle -d /path/to/destination -n
seq_num
Exporting a Single Item
The keyword COLLECTION means that you intend to export an entire collection. The ID can either be the
database ID or the handle. The exporter will begin numbering the simple archives with the sequence number
that you supply. To export a single item use the keyword ITEM and give the item ID as an argument:
[dspace]/bin/dspace export --type=ITEM --id=itemID_or_handle --dest=/path/to/destination -number=seq_num
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Short form:
[dspace]/bin/dspace export -t ITEM -i itemID_or_handle -d /path/to/destination -n seq_num
Each exported item will have an additional file in its directory, named "handle". This will contain the handle that
was assigned to the item, and this file will be read by the importer so that items exported and then imported to
another machine will retain the item's original handle.
The -m Argument
Using the -m argument will export the item/collection and also perform the migration step. It will perform the
same process that the next section Exchanging Content Between Repositories performs. We recommend that
section to be read in conjunction with this flag being used.
4.3.5 Registering Bitstreams via Simple Archive Format
1 Overview
1.1 Accessible Storage
1.2 Registering Items Using the Item Importer
1.3 Internal Identification and Retrieval of Registered Items
1.4 Exporting Registered Items
1.5 Deleting Registered Items
Registering is not Importing
The procedures below will not import the actual bitstreams into DSpace. They will merely inform
DSpace of an existing location where these Bitstreams can be found. Please refer to Importing and
Exporting Items via Simple Archive Format for information on importing metadata and bitstreams.
Overview
Registration is an alternate means of incorporating items, their metadata, and their bitstreams into DSpace by
taking advantage of the bitstreams already being in storage accessible to DSpace. An example might be that
there is a repository for existing digital assets. Rather than using the normal interactive ingest process or the
batch import to furnish DSpace the metadata and to upload bitstreams, registration provides DSpace the
metadata and the location of the bitstreams. DSpace uses a variation of the import tool to accomplish
registration.
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Accessible Storage
To register an item its bitstreams must reside on storage accessible to DSpace and therefore referenced by an
asset store number in dspace.cfg. The configuration file dspace.cfg establishes one or more asset stores
through the use of an integer asset store number. This number relates to a directory in the DSpace host's file
system or a set of SRB account parameters. This asset store number is described in The dspace.cfg
Configuration Properties File section and in the dspace.cfg file itself. The asset store number(s) used for
registered items should generally not be the value of the assetstore.incoming property since it is unlikely that
you will want to mix the bitstreams of normally ingested and imported items and registered items.
Registering Items Using the Item Importer
DSpace uses the same import tool that is used for batch import except that several variations are employed to
support registration. The discussion that follows assumes familiarity with the import tool.
The DSpace Simple Archive Format for registration does not include the actual content files (bitstreams) being
registered. The format is however a directory full of items to be registered, with a subdirectory per item. Each
item directory contains a file for the item's descriptive metadata (dublin_core.xml) and a file listing the item's
content files (contents), but not the actual content files themselves.
The dublin_core.xml file for item registration is exactly the same as for regular item import.
The contents file, like that for regular item import, lists the item's content files, one content file per line, but each
line has the one of the following formats:
-r
-r
-r
-r
-s
-s
-s
-s
n
n
n
n
-f
-f
-f
-f
filepath
filepath\tbundle:bundlename
filepath\tbundle:bundlename\tpermissions: -[r|w] 'group name'
filepath\tbundle:bundlename\tpermissions: -[r|w] 'group
name'\tdescription: some text
where
-r indicates this is a file to be registered
-s n indicates the asset store number (n)
-f filepath indicates the path and name of the content file to be registered (filepath)
\t is a tab character
bundle:bundlename is an optional bundle name
permissions: -[r|w] 'group name' is an optional read or write permission that can be attached
to the bitstream
description: some text is an optional description field to add to the file
The bundle, that is everything after the filepath, is optional and is normally not used.
The command line for registration is just like the one for regular import:
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[dspace]/bin/dspace import -a -e [email protected] -c collectionID -s items_dir -m mapfile
(or by using the long form)
[dspace]/bin/dspace import --add [email protected] --collection=collectionID -source=items_dir --map=mapfile
The --workflow and --test flags will function as described in Importing Items.
The --delete flag will function as described in Importing Items but the registered content files will not be
removed from storage. See Deleting Registered Items.
The --replace flag will function as described in Importing Items but care should be taken to consider different
cases and implications. With old items and new items being registered or ingested normally, there are four
combinations or cases to consider. Foremost, an old registered item deleted from DSpace using --replace
will not be removed from the storage. See Deleting Registered Items. where is resides. A new item added to
DSpace using --replace will be ingested normally or will be registered depending on whether or not it is
marked in the contents files with the -r.
Internal Identification and Retrieval of Registered Items
Once an item has been registered, superficially it is indistinguishable from items ingested interactively or by
batch import. But internally there are some differences:
First, the randomly generated internal ID is not used because DSpace does not control the file path and name
of the bitstream. Instead, the file path and name are that specified in the contents file.
Second, the store_number column of the bitstream database row contains the asset store number specified in
the contents file.
Third, the internal_id column of the bitstream database row contains a leading flag (-R) followed by the
registered file path and name. For example, -Rfilepath where filepath is the file path and name relative to
the asset store corresponding to the asset store number. The asset store could be traditional storage in the
DSpace server's file system or an SRB account.
Fourth, an MD5 checksum is calculated by reading the registered file if it is in local storage. If the registered file
is in remote storage (say, SRB) a checksum is calculated on just the file name! This is an efficiency choice
since registering a large number of large files that are in SRB would consume substantial network resources
and time. A future option could be to have an SRB proxy process calculate MD5s and store them in SRB's
metadata catalog (MCAT) for rapid retrieval. SRB offers such an option but it's not yet in production release.
Registered items and their bitstreams can be retrieved transparently just like normally ingested items.
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Exporting Registered Items
Registered items may be exported as described in Exporting Items. If so, the export directory will contain actual
copies of the files being exported but the lines in the contents file will flag the files as registered. This means
that if DSpace items are "round tripped" (see Transferring Items Between DSpace Instances) using the exporter
and importer, the registered files in the export directory will again registered in DSpace instead of being
uploaded and ingested normally.
Deleting Registered Items
If a registered item is deleted from DSpace, (either interactively or by using the --delete or --replace flags
described in Importing and Exporting Items via Simple Archive Format) the item will disappear from DSpace but
its registered content files will remain in place just as they were prior to registration. Bitstreams not registered
but added by DSpace as part of registration, such as license.txt files, will be deleted.
4.3.6 Importing Items via basic bibliographic formats (Endnote,
BibTex, RIS, TSV, CSV) and online services (OAI, arXiv, PubMed,
CrossRef, CiNii)
1 About the Biblio-Transformation-Engine (BTE)
1.1 BTE in DSpace
1.2 BTE Configuration
1.3 UI for administrators
1.4 Case Studies
This functionality is an extension of that provided by Importing and Exporting Items via Simple Archive
Format so please read that section before continuing. It is underpinned by the Biblio Transformation
Engine (https://github.com/EKT/Biblio-Transformation-Engine )
About the Biblio-Transformation-Engine (BTE)
The BTE is a Java framework developed by the Hellenic National Documentation Centre (EKT, www.ekt.gr )
and consists of programmatic APIs for filtering and modifying records that are retrieved from various types of
data sources (eg. databases, files, legacy data sources) as well as for outputing them in appropriate standards
formats (eg. database files, txt, xml, Excel). The framework includes independent abstract modules that are
executed seperately, offering in many cases alternative choices to the user depending of the input data set, the
transformation workflow that needs to be executed and the output format that needs to be generated.
The basic idea behind the BTE is a standard workflow that consists of three steps, a data loading step, a
processing step (record filtering and modification) and an output generation. A data loader provides the system
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with a set of Records, the processing step is responsible for filtering or modifying these records and the output
generator outputs them in the appropriate format.
The standard BTE version offers several predefined Data Loaders as well as Output Generators for basic
bibliographic formats. However, Spring Dependency Injection can be utilized to load custom data loaders,
filters, modifiers and output generators.
BTE in DSpace
The functionality of batch importing items in DSpace using the BTE has been incorporated in the
"import" script already used in DSpace for years.
In the import script, there is a new option (option "-b") to import using the BTE and an option -i to declare the
type of the input format. All the other options are the same apart from option "-s" that in this case points to a file
(and not a directory as it used to) that is the file of the input data. However, in the case of batch BTE import, the
option "-s" is not obligatory since you can configure the input from the Spring XML configuration file discussed
later on. Keep in mind, that if option "-s" is defined, import will take that option into consideration instead of the
one defined in the Spring XML configuration.
Thus, to import metadata from the various input formats use the following commands:
Input
Command
BibTeX
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
(*.bib)
123456789/1 -s path-to-my-bibtex-file -i bibtex
CSV (*.
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
csv)
123456789/1 -s path-to-my-csv-file -i csv
TSV (*.
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
tsv)
123456789/1 -s path-to-my-tsv-file -i tsv
RIS (*.
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
ris)
123456789/1 -s path-to-my-ris-file -i ris
EndNote
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
123456789/1 -s path-to-my-endnote-file -i endnote
OAI-PMH
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
123456789/1 -s path-to-my-oai-file -i oai
arXiv
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
123456789/1 -s path-to-my-arxiv-file -i arxivXML
PubMed
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
123456789/1 -s path-to-my-pubmed-file -i pubmedXML
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Input
Command
CrossRef [dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
123456789/1 -s path-to-my-crossref-file -i crossrefXML
CiNii
[dspace]/bin/dspace import -b -m mapFile -e [email protected] -c
123456789/1 -s path-to-my-crossref-file -i ciniifXML
Keep in mind that the value of the "-e" option must be a valid email of a DSpace user and value of the "-c"
option must be the target collection handle. Attached, you can find a .zip file ( sample-files.zip) that includes
examples of the file formats that are mentioned above.
BTE Configuration
The basic idea behind BTE is that the system holds the metadata in an internal format using a specific key for
each metadata field. DataLoaders load the record using the aforementioned keys, while the output generator
needs to map these keys to DSpace metadata fields.
The BTE configuration file is located in path: [dspace]/config/spring/api/bte.xml and it's a Spring
XML configuration file that consists of Java beans. (If these terms are unknown to you, please refer to Spring
Dependency Injection web site for more information.)
Explanation of beans:
<bean id="org.dspace.app.itemimport.BTEBatchImportService" />
This is the top level bean that describes the service of the batch import from the various external metadata
formats. It accepts three properties:
a) dataLoaders: a list of all the possible data loaders that are supported. Keep in mind that for each data loader
we specify a key that can be used as the value of option "-i" in the import script that we mentioned earlier. Here
is the point where you would add a new custom DataLoader in case the default ones doesn't match your needs.
b) outputMap: a Map between the internal keys that BTE service uses to hold metadata and the DSpace
metadata fields. (See later on, how data loaders specify the keys that BTE uses to hold the metadata)
c) transformationEngine: the BTE transformation engine that actually consisits of the processing steps that
will be applied to metadata during their import to DSpace
<bean id="batchImportTransformationEngine" />
This bean is instantiated when the batch import takes place. It deploys a new BTE transformation engine that
will do the transformation from one format to the other. It needs one input argument, the workflow (the
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processing step mentioned before) that will run when transformation takes place. Normally, you don't need to
modify this bean.
<bean id="batchImportLinearWorkflow" />
This bean describes the processing steps. Currently, there are no processing steps meaning that all records
loaded by the data loader will pass to the output generator, unfiltered and unmodified. ( See next section "Case
studies" for info about how to add a filter or a modifier )
<bean
<bean
<bean
<bean
<bean
<bean
<bean
<bean
<bean
id="bibTeXDataLoader" />
id="csvDataLoader" />
id="tsvDataLoader" />
id="risDataLoader" />
id="endnoteDataLoader" />
id="pubmedFileDataLoader" />
id="arXivFileDataLoader" />
id="crossRefFileDataLoader" />
id="oaipmhDataLoader" />
These data loaders are of two types: "file" data loaders and "online" data loaders. The first 8 of them belong to
file data loaders while the last one (OAI data loader) is an online one.
The file data loaders have the following properties:
a) filename: it is a String that specifies the filepath to the file that the loader will read data from. If you specify
this property, you do not need to give the option "-s" to the import script in the command prompt. If you,
however, specify this property and you also provide a "-s" option in the command line, the option "-s" will be
taken into consideration by the data loader.
b) fieldMap: it is a map that specifies the mapping between the keys that hold the metadata in the input file and
the ones that we want to have internal in the BTE. This mapping is very important because the internal keys
need to be declared in the "outputMap" of the "DataLoadeService" bean. Be aware that each data loader has
each own input file keys. For example, RIS loader uses the keys "T1, AU, SO ... " while the TSV or CSV use the
index number of the column that the value resides.
Some loaders have more properties:
CSV and TSV (which is actually a CSV loader if you look carefully the class value of the bean) loaders have
some more properties:
a) skipLines: A number that specifies the first line of the file that loader will start reading data. For example, if
you have a csv file that the first row contains the column names, and the second row is empty, the the value of
this property must be 2 so as the loader starts reading from row 2 (starting from 0 row). The default value for
this property is 0.
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b) separator: A value to specify the separator between the values in the same row in order to make the
columns. For example, in a TSV data loader this value is "\u0009" which is the "Tab" character. The default
value is "," and that is why the CSV data loader doesn't need to specify this property.
c) quoteChar: This property specifies the quote character used in the CSV file. The default value is the double
quote character (").
The OAIPMHDataLoader has the following properties:
a) fieldMap: Same as above, the mapping between the input keys holding the metadata and the ones that we
want to have internal in BTE.
b) serverAddress: The base address of the OAI provider (server). Base address can be specified also in the "s" option of the command prompt. If is specified in both places, the one specified from the command line is
preferred.
c) prefix: The metadata prefix to be used in OAI requests.
Since DSpace administrators may have incorporated their own metadata schema within DSpace (apart from the
default Dublin Core schema), they may need to configure BTE to match their custom schemas.
So, in case you need to process more metadata fields than those that are specified by default, you need to
change the data loader configuration and the output map.
I can see more beans in the configuration file that are not explained above. Why is this?
The configuration file hosts options for two services. BatchImport service and SubmissionLookup
service. Thus, some beans that are not used for the latter, are not mentioned in this documentation.
However, since both services are based on the BTE, some beans are used by both services.
UI for administrators
Batch import of files can be done via the administrative UI. While logged in as administrator, visit "Administer"
link and then, under the "Content" drop down menu, choose "Batch import metadata (BTE)"
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In the screen that follows, select the file to upload, select the data type of the file to be uploaded (bibtex, csv,
etc.) and finally, select the collections the data need to be inserted to.
Keep in mind, that the type drop down menu includes all the supported data loaders declared in the
configuration XML file that are of type "file". Thus, OAI data loader is not included in this list and in case you
need to create your own data loader you are advised to extend the "FileDataLoader" abstract class rather than
implement the "DataLoade" interface, as mentioned in previous paragraph.
The whole procedure can take long time to complete, in case of large input files, so the whole procedure runs in
the background in a separate thread. When the thread is completed (either successfully or erroneously), the
user is informed via email for the status of the import.
Case Studies
1) I have my data in a format different from the ones that are supported by this functionality. What can I
do?
Either you try to easily transform your data to one of the supported formats or you need to create a new data
loader. To do this, create a new Java class that implements the following Java interface from BTE:
gr.ekt.bte.core.DataLoader
You will need to implement the following method:
public RecordSet getRecords() throws MalformedSourceException
in which you have to create records - most probably you will need to create your own Record class (by
implementing the gr.ekt.bte.core.Record interface) and fill a RecordSet. Feel free to add whatever code you like
in this method, even to read data from multiple sources. All you need is just to return a RecordSet of Records.
You may also extend the abstract class
gr.ekt.bte.core.dataloader.FileDataLoader
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if you want to create a "file" data loader in which you need to pass a filepath to the file that the loader will read
the data from. Normally, a simple data loader is enough for the system to work, but file data loaders are also
utilized in the administration UI discussed later in this documentation.
After that, you will need to declare the new DataLoader in the Spring XML configuration file (in the bean with
id=" org.dspace.app.itemimport.BTEBatchImportService ") using your own unique key. Use this key as a value
for option "-i" in the batch import in order to specify that the specific data loader must run.
2) I need to filter some of the input records or modify some value from records before outputting them
In this case you will need to create your own filters and modifiers.
To create a new filter, you need to extend the following BTE abstact class:
gr.ekt.bte.core.AbstractFilter
You will need to implement the following method:
public abstract boolean isIncluded ( Record
record )
Return false if the specified record needs to be filtered, otherwise return true.
To create a new modifier, you need to extend the following BTE abstact class:
gr.ekt.bte.core.AbstractModifier
You will need to implement the following method:
public abstract Record modify ( Record record )
within you can make any changes you like in the record. You can use the Record methods to get the values for
a specific key and load new ones (For the later, you need to make the Record mutable)
After you create your own filters or modifiers you need to add them in the Spring XML configuration file as in the
following example:
<bean id="customfilter"
class="org.mypackage.MyFilter" />
<bean id="batchImportLinearWorkflow" class="gr.ekt.bte.core.LinearWorkflow">
<property name="process">
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<list>
<ref bean="customfilter" />
</list>
</property>
</bean>
You can add as many filters and modifiers you like to batchImportLinearWorkflow, they will run the one after the
other in the specified order.
4.3.7 Importing Community and Collection Hierarchy
1 Community and Collection Structure Importer
1.1 Usage
1.2 XML Import Format
1.3 Limitations
Community and Collection Structure Importer
This Command-Line tool gives you the ability to import a community and collection structure directory from a
source XML file.
Usage
Command used:
[dspace]/bin/dspace structure-builder
Java class:
org.dspace.administer.StructBuilder
Argument: short and long (if available) forms:
Description of the argument
-f
Source xml file.
-o
Output xml file.
-e
Email of DSpace Administrator.
XML Import Format
The administrator need to build the source xml document in the following format:
<import_structure>
<community>
<name>Community Name</name>
<description>Descriptive text</description>
<intro>Introductory text</intro>
<copyright>Special copyright notice</copyright>
<sidebar>Sidebar text</sidebar>
<community>
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<name>Sub Community Name</name>
<community> ...[ad infinitum]...
</community>
</community>
<collection>
<name>Collection Name</name>
<description>Descriptive text</description>
<intro>Introductory text</intro>
<copyright>Special copyright notice</copyright>
<sidebar>Sidebar text</sidebar>
<license>Special licence</license>
<provenance>Provenance information</provenance>
</collection>
</community>
</import_structure>
The resulting output document will be as follows:
<import_structure>
<community identifier="123456789/1">
<name>Community Name</name>
<description>Descriptive text</description>
<intro>Introductory text</intro>
<copyright>Special copyright notice</copyright>
<sidebar>Sidebar text</sidebar>
<community identifier="123456789/2">
<name>Sub Community Name</name>
<community identifier="123456789/3"> ...[ad infinitum]...
</community>
</community>
<collection identifier="123456789/4">
<name>Collection Name</name>
<description>Descriptive text</description>
<intro>Introductory text</intro>
<copyright>Special copyright notice</copyright>
<sidebar>Sidebar text</sidebar>
<license>Special licence</license>
<provenance>Provenance information</provenance>
</collection>
</community>
</import_structure>
This command-line tool gives you the ability to import a community and collection structure directly from a
source XML file. It is executed as follows:
[dspace]/bin/dspace structure-builder -f /path/to/source.xml -o path/to/output.xml -e [email protected]
com
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This will examine the contents of source.xml, import the structure into DSpace while logged in as the supplied
administrator, and then output the same structure to the output file, but including the handle for each imported
community and collection as an attribute.
Limitations
Currently this does not export community and collection structures, although it should only be a small
modification to make it do so
4.3.8 SWORDv1 Server
SWORD (Simple Web-service Offering Repository Deposit) is a protocol that allows the remote deposit of items
into repositories. DSpace implements the SWORD protocol via the 'sword' web application. The version of
SWORD v1 currently supported by DSpace is 1.3. The specification and further information can be found at
http://swordapp.org.
SWORD is based on the Atom Publish Protocol and allows service documents to be requested which describe
the structure of the repository, and packages to be deposited.
1 Enabling SWORD Server
2 Configuring SWORD Server
3 Deposit to SWORD Server
Enabling SWORD Server
To enable DSpace's SWORD server, just make sure the [dspace]/webapps/sword/ web application is
available from your Servlet Container (usually Tomcat).
Configuring SWORD Server
Configuration
[dspace]/config/modules/sword-server.cfg
File:
Property:
mets-ingester.package-ingester
Example
mets-ingester.package-ingester = METS
Value:
Informational
The property key tell the SWORD METS implementation which package ingester to use to
Note:
install deposited content. This should refer to one of the classes configured for:
plugin.named.org.dspace.content.packager.PackageIngester
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Configuration
[dspace]/config/modules/sword-server.cfg
File:
The value of sword.mets-ingester.package-ingester tells the system which named plugin for
this interface should be used to ingest SWORD METS packages.
Properties:
mets.default.ingest.crosswalk.EPDCX
mets.default.ingest.crosswalk.*
(NOTE: These configs are in the dspace.cfg file as they are used by many interfaces)
Example
mets.submission.crosswalk.EPDCX = EPDCX
Value:
Informational
Define the metadata types which can be accepted/handled by SWORD during ingest of a
Note:
package. Currently, EPDCX (EPrints DC XML) is the recommended default metadata
format, but others are supported.
Property:
crosswalk.submission.EPDCX.stylesheet
(NOTE: This configuration is in the dspace.cfg file)
Example
crosswalk.submission.EPDCX.stylesheet = crosswalks/sword-swap-
Value:
ingest.xsl
Informational
Define the stylesheet which will be used by the self-named XSLTIngestionCrosswalk class
Note:
when asked to load the SWORD configuration (as specified above). This will use the
specified stylesheet to crosswalk the incoming SWAP metadata to the DIM format for
ingestion.
Property:
deposit.url
Example
Value:
deposit.url = http://www.myu.ac.uk/sword/deposit
Informational
The base URL of the SWORD deposit. This is the URL from which DSpace will construct
Note:
the deposit location URLs for collections. The default is ${dspace.baseUrl}/sword
/deposit (where dspace.baseUrl is defined in your dspace.cfg file). In the event that
you are not deploying DSpace as the ROOT application in the servlet container, this will
generate incorrect URLs, and you should override the functionality by specifying in full as
shown in the example value.
Property:
servicedocument.url
Example
Value:
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Informational
The base URL of the SWORD service document. This is the URL from which DSpace will
Note:
construct the service document location URLs for the site, and for individual collections. The
default is ${dspace.baseUrl}/sword/servicedocument (where dspace.baseUrl is
defined in your dspace.cfg file). In the event that you are not deploying DSpace as the
ROOT application in the servlet container, this will generate incorrect URLs, and you should
override the functionality by specifying in full as shown in the example value.
Property:
media-link.url
Example
Value:
media-link.url = http://www.myu.ac.uk/sword/media-link
Informational
The base URL of the SWORD media links. This is the URL which DSpace will use to
Note:
construct the media link URLs for items which are deposited via sword. The default is
${dspace.baseUrl}/sword/media-link (where dspace.baseUrl is defined in your
dspace.cfg file). In the event that you are not deploying DSpace as the ROOT application
in the servlet container, this will generate incorrect URLs, and you should override the
functionality by specifying in full as shown in the example value.
Property:
generator.url
Example
Value:
generator.url = http://www.dspace.org/ns/sword/1.3.1
Informational
The URL which identifies the SWORD software which provides the sword interface. This is
Note:
the URL which DSpace will use to fill out the atom:generator element of its atom
documents. The default is: {{http://www.dspace.org/ns/sword/1.3.1
}}. If you have modified your SWORD software, you should change this URI to identify your
own version. If you are using the standard 'dspace-sword' module you will not, in general,
need to change this setting.
Property:
updated.field
Example
updated.field = dc.date.updated
Value:
Informational
The metadata field in which to store the updated date for items deposited via SWORD.
Note:
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Configuration
[dspace]/config/modules/sword-server.cfg
File:
Property:
slug.field
Example
slug.field = dc.identifier.slug
Value:
Informational
The metadata field in which to store the value of the slug header if it is supplied.
Note:
Properties:
accept-packaging.METSDSpaceSIP.identifier
accept-packaging.METSDSpaceSIP.q
Example
Value:
accept-packaging.METSDSpaceSIP.identifier = http://purl.org/net/sword-types
/METSDSpaceSIP
accept-packaging.METSDSpaceSIP.q = 1.0
Informational
The accept packaging properties, along with their associated quality values where
Note:
appropriate. This is a Global Setting; these will be used on all DSpace collections
Property:
accepts
Example
accepts = application/zip, foo/bar
Value:
Informational
A comma separated list of MIME types that SWORD will accept.
Note:
Properties:
accept-packaging.[handle].METSDSpaceSIP.identifier
accept-packaging.[handle].METSDSpaceSIP.q
Example
Value:
Informational
accept-packaging.[handle].METSDSpaceSIP.identifier = http://purl.org/net/swordtypes/METSDSpaceSIP
accept-packaging.[handle].METSDSpaceSIP.q = 1.0
Collection Specific settings: these will be used on the collections with the given handles.
Note:
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Configuration
[dspace]/config/modules/sword-server.cfg
File:
Property:
expose-items
Example
expose-items = false
Value:
Informational
Should the server offer up items in collections as sword deposit targets. This will be effected
Note:
by placing a URI in the collection description which will list all the allowed items for the
depositing user in that collection on request. NOTE: this will require an implementation of
deposit onto items, which will not be forthcoming for a short while.
Property:
expose-communities
Example
expose-communities = false
Value:
Informational
Should the server offer as the default the list of all Communities to a Service Document
Note:
request. If false, the server will offer the list of all collections, which is the default and
recommended behavior at this stage. NOTE: a service document for Communities will not
offer any viable deposit targets, and the client will need to request the list of Collections in
the target before deposit can continue.
Property:
max-upload-size
Example
max-upload-size = 0
Value:
Informational
The maximum upload size of a package through the sword interface, in bytes. This will be
Note:
the combined size of all the files, the metadata and any manifest data. It is NOT the same
as the maximum size set for an individual file upload through the user interface. If not set, or
set to 0, the sword service will default to no limit.
Property:
keep-original-package
Example
keep-original-package = true
Value:
Informational
Whether or not DSpace should store a copy of the original sword deposit package. NOTE:
Note:
this will cause the deposit process to run slightly slower, and will accelerate the rate at
which the repository consumes disk space. BUT, it will also mean that the deposited
packages are recoverable in their original form. It is strongly recommended, therefore, to
leave this option turned on. When set to "true", this requires that the configuration option
upload.temp.dir (in dspace.cfg) is set to a valid location.
Property:
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Configuration
[dspace]/config/modules/sword-server.cfg
File:
Example
bundle.name = SWORD
Value:
Informational
The bundle name that SWORD should store incoming packages under if sword.keep-
Note:
original-package is set to true. The default is "SWORD" if not value is set
Properties:
keep-package-on-fail
failed-package.dir
Example
Value:
keep-package-on-fail=true
failed-package.dir=${dspace.dir}/upload
Informational
In the event of package ingest failure, provide an option to store the package on the file
Note:
system. The default is false.
Property:
identify-version
Example
identify-version = true
Value:
Informational
Should the server identify the sword version in a deposit response. It is recommended to
Note:
leave this unchanged.
Property:
on-behalf-of.enable
Example
on-behalf-of.enable = true
Value:
Informational
Should mediated deposit via sword be supported. If enabled, this will allow users to deposit
Note:
content packages on behalf of other users.
Property:
restore-mode.enable
Example
restore-mode.enable = true
Value:
Informational
Should the sword server enable restore-mode when ingesting new packages. If this is
Note:
enabled the item will be treated as a previously deleted item from the repository. If the item
had previously been assigned a handle then that same handle will be restored to activity. If
that item had not been previously assign a handle, then a new handle will be assigned.
Property:
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Configuration
[dspace]/config/modules/sword-server.cfg
File:
Example
Value:
plugin.named.org.dspace.sword.SWORDIngester = \
org.dspace.sword.SWORDMETSIngester = http://purl.org/net/sword-types
/METSDSpaceSIP \
org.dspace.sword.SimpleFileIngester = SimpleFileIngester
Informational
Configure the plugins to process incoming packages. The form of this configuration is as per
Note:
the Plugin Manager's Named Plugin documentation: plugin.named.[interface] =
[implementation] = [package format identifier] (see dspace.cfg).
Package ingesters should implement the SWORDIngester interface, and will be loaded
when a package of the format specified above in: accept-packaging.[package
format].identifier = [package format identifier] is received. In the event
that this is a simple file deposit, with no package format, then the class named by
"SimpleFileIngester" will be loaded and executed where appropriate. This case will only
occur when a single file is being deposited into an existing DSpace Item.
Deposit to SWORD Server
If you'd like to deposit content to your repository via the installed SWORD Server, you'll need to select a
SWORD Client to do so.
A variety of SWORDv1 Clients (in various languages/tools) are available off of http://swordapp.org/swordv1/
The DSpace XMLUI also comes with an optional SWORDv1 Client which can be enabled to deposit
content from one DSpace to another.
Finally, it's also possible to simply deposit a valid SWORD Zip package via common Linux commandline
tools (e.g. curl). For example:
# Deposit a SWORD Zip package named "sword-package.zip" into a DSpace Collection (handle 1234
56789/2) as user "[email protected]"
# (Please note that you WILL need to obviously modify the Collection location, user/password
and name of the SWORD package)
curl -i --data-binary "@sword-package.zip" -H "Content-Disposition:filename=sword-package.
zip" -H "Content-Type:application/zip" -H "X-Packaging:http://purl.org/net/sword-types
/METSDSpaceSIP" -u [email protected]:[password] http://[dspace.url]/sword/deposit/123456789/2
# Template 'curl' command:
#curl -i --data-binary "@[zip-package-name]" -H "Content-Disposition:filename=[zip-packagename]" -H "Content-Type:application/zip" -H "X-Packaging:http://purl.org/net/sword-types
/METSDSpaceSIP" -u [user]:[password] http://[dspace.url]/sword/deposit/[collection-handle]
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4.3.9 SWORDv2 Server
SWORD (Simple Web-service Offering Repository Deposit) is a protocol that allows the remote deposit of items
into repositories. DSpace implements the SWORD protocol via the 'sword' web application. The specification
and further information can be found at http://swordapp.org/.
SWORD is based on the Atom Publish Protocol and allows service documents to be requested which describe
the structure of the repository, and packages to be deposited.
1 Enabling SWORD v2 Server
2 Configuring SWORD v2 Server
Enabling SWORD v2 Server
To enable DSpace's SWORD v2 server, just make sure the [dspace]/webapps/swordv2/ web application
is available from your Servlet Container (usually Tomcat).
Configuring SWORD v2 Server
Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Property:
url
Example
Value:
url = http://www.myu.ac.uk/swordv2
Informational
The base url of the SWORD 2.0 system. This defaults to ${dspace.baseUrl}/swordv2 (where dspace
Note:
dspace.cfg file).
Property:
collection.url
Example
Value:
collection.url = http://www.myu.ac.uk/swordv2/collection
Informational
The base URL of the SWORD collection. This is the URL from which DSpace will construct the deposit loca
Note:
defaults to ${dspace.baseUrl}/swordv2/collection (where dspace.baseUrl is defined in your d
Property:
servicedocument.url
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Example
Value:
servicedocument.url = http://www.myu.ac.uk/swordv2/servicedocument
Informational
The service document URL of the SWORD collection. The base URL of the SWORD service document. Thi
Note:
DSpace will construct the service document location urls for the site, and for individual collections. This defa
/swordv2/servicedocument (where dspace.baseUrl is defined in your dspace.cfg file).
Property:
accept-packaging.collection
Example
Value:
Informational
accept-packaging.collection.METSDSpaceSIP = http://purl.org/net/sword/package/METSDSpaceSIP
accept-packaging.collection.SimpleZip = http://purl.org/net/sword/package/SimpleZip
accept-packaging.collection.Binary = http://purl.org/net/sword/package/Binary
The accept packaging properties, along with their associated quality values where appropriate.
Note:
Property:
accept-packaging.item
Example
Value:
accept-packaging.item.METSDSpaceSIP = http://purl.org/net/sword/package/METSDSpaceSIP
accept-packaging.item.SimpleZip = http://purl.org/net/sword/package/SimpleZip
accept-packaging.item.Binary = http://purl.org/net/sword/package/Binary
Informational
The accept packaging properties for items. It is possible to configure this for specific collections by adding th
Note:
the setting, for example accept-packaging.collection.[handle].METSDSpaceSIP = http://pu
/METSDSpaceSIP
Property:
accepts
Example
Value:
Informational
accepts = application/zip, image/jpeg
A comma-separated list of MIME types that SWORD will accept. To accept all mimetypes, the value can be
Note:
Property:
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Example
Value:
expose-communities = false
Informational
Whether or not the server should expose a list of all the communities to a service document request. As dep
Note:
collection, it is recommended to leave this set to false.
Property:
max-upload-size
Example
Value:
max-upload-size = 0
Informational
The maximum upload size of a package through the SWORD interface (measured in bytes). This will be the
Note:
metadata, and manifest file in a package - this is different to the maximum size of a single bitstream.
If this is set to 0, no maximum file size will be enforced.
Property:
keep-original-package
Example
Value:
Informational
keep-original-package = true
Should DSpace store a copy of the orignal SWORD deposit package?
Note:
This will cause the deposit process to be slightly slower and for more disk to be used, however original files
recommended to leave this option enabled.
Property:
bundle.name
Example
Value:
Informational
bundle.name = SWORD
The bundle name that SWORD should store incoming packages within if keep-original-package is se
Note:
Property:
bundle.deleted
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Example
Value:
bundle.deleted = DELETED
Informational
The bundle name that SWORD should use to store deleted bitstreams if versions.keep is set to true. Th
Note:
individual files are updated or removed via SWORD. If the entire Media Resource (files in the ORIGINAL bu
backed up in its entirety in a bundle of its own
Property:
keep-package-on-fail
Example
Value:
keep-package-on-fail = false
Informational
In the event of package ingest failure, provide an option to store the package on the file system. The default
Note:
set using the failed-package-dir setting.
Property:
failed-package-dir
Example
Value:
Informational
failed-package-dir = /dspace/upload
If keep-package-on-fail is set to true, this is the location where the package would be stored.
Note:
Property:
on-behalf-of.enable
Example
Value:
Informational
on-behalf-of.enable = true
Should DSpace accept mediated deposits? See the SWORD specification for a detailed explanation of depo
Note:
Property:
on-behalf-of.update.mediators
Example
Value:
on-behalf-of.update.mediators = [email protected], [email protected]
Informational
Which user accounts are allowed to do updates on items which already exist in DSpace, on-behalf-of other
Note:
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
If this is left blank, or omitted, then all accounts can mediate updates to items, which could be a security risk
checking that the authenticated user is a "legitimate" mediator
Property:
verbose-description.receipt.enable
Example
Value:
verbose-description.receipt.enable = false
Informational
Should the deposit receipt include a verbose description of the deposit? For use by developers - recommen
Note:
systems
Property:
verbose-description.error.enable
Example
Value:
verbose-description.error.enable = true
Informational
should the error document include a verbose description of the error? For use by developers, although you
Note:
to "true" for production systems
Property:
error.alternate.url
Example
Value:
error.alternate.url = http://mydspace.edu/xmlui/contact
Informational
The error document can contain an alternate url, which the client can use to follow up any issues. For exam
Note:
Contact-Us page on the XMLUI
Property:
error.alternate.content-type
Example
Value:
error.alternate.content-type = text/html
Informational
The error.alternate.url may have an associated content type, such as text/html if it points to a w
Note:
indicate to the client what content type it can expect if it follows that url.
Property:
generator.url
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Example
Value:
Informational
generator.url = http://www.dspace.org/ns/sword/2.0/
The URL which identifies DSpace as the software that is providing the SWORD interface.
Note:
Property:
generator.version
Example
Value:
Informational
generator.version = 2.0
The version of the SWORD interface.
Note:
Property:
auth-type
Example
Value:
Informational
auth-type = Basic
Which form of authentication to use. Normally this is set to Basic in order to use HTTP Basic.
Note:
Property:
upload.tempdir
Example
Value:
Informational
upload.tempd = /dspace/upload
The location where uploaded files and packages are stored while being processed.
Note:
Property:
updated.field
Example
Value:
Informational
updated.field = dc.date.updated
The metadata field in which to store the updated date for items deposited via SWORD.
Note:
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Property:
slug.field
Example
Value:
Informational
slug.field = dc.identifier.slug
The metadata field in which to store the value of the slug header if it is supplied.
Note:
Property:
author.field
Example
Value:
Informational
author.field = dc.contributor.author
The metadata field in which to store the value of the atom entry author if it supplied.
Note:
Property:
title.field
Example
Value:
Informational
dc.title
The metadata field in which to store the value of the atom entry title if it supplied.
Note:
Property:
disseminate-packaging
Example
Value:
Informational
disseminate-packaging.METSDSpaceSIP = http://purl.org/net/sword/package/METSDSpaceSIP
disseminate-packaging.SimpleZip = http://purl.org/net/sword/package/SimpleZip
Supported packaging formats for the dissemination of packages.
Note:
Property:
statement.bundles
Example
Value:
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Informational
Which bundles should the Statement include in its list of aggregated resources? The Statement will automa
Note:
which are in the bundle identified by the ${bundle.name} property, provided that bundle is also listed her
Deposits to be listed in the Statement then you should add the SWORD bundle to this list)
Property:
plugin.single.org.dspace.sword2.WorkflowManager
Example
Value:
Informational
plugin.single.org.dspace.sword2.WorkflowManager = org.dspace.sword2.WorkflowManagerDefault
Which workflow manager to use.
Note:
Property:
workflowmanagerdefault.always-update-metadata
Example
Value
workflowmanagerdefault.always-update-metadata = true
Informational
Should the WorkflowManagerDefault plugin allow updates to the item's metadata to take place on items wh
Note
workspace (e.g. in the workflow, archive, or withdrawn) ?
Property:
workflowmanagerdefault.file-replace.enable
Example
Value
workflowmanagerdefault.file-replace.enable = false
Informational
Should the server allow PUT to individual files?
Note
If this is enabled, then DSpace may be used with the DepositMO SWORD extensions, BUT the caveat is th
support Bitstream replace, so this is equivalent to a DELETE and then a POST, which violates the RESTfuln
resulting file DOES NOT have the same identifier as the file it was replacing. As such it is STRONGLY REC
option turned off unless working explicitly with DepositMO enabled client environments
Property:
mets-ingester.package-ingester
Example
Value:
mets-ingester.package-ingester = METS
Which package ingester to use for METS packages.
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Informational
Note:
Property:
restore-mode.enable
Example
Value:
restore-mode.enable = false
Informational
Should the SWORD server enable restore-mode when ingesting new packages. If this is enabled the item w
Note:
deleted item from the repository. If the item has previously been assigned a handle then that same handle w
Property:
simpledc.*
Example
Value:
Informational
simpledc.abstract = dc.description.abstractsimpledc.date = dc.datesimpledc.rights = dc.rights
Configuration of metadata field mapping used by the SimpleDCEntryIngester, SimpleDCEntryDisseminator
Note:
Property:
atom.*
Example
Value
atom.author = dc.contributor.author
Informational
Configuration of metadata field mapping used by the SimpleDCEntryIngester, SimpleDCEntryDisseminator
Note:
Property:
metadata.replaceable
Example
Value
metadata.replaceable = dc.description.abstract, dc.rights, dc.title.alternative
Informational
Used by SimpleDCEntryIngester: Which metadata fields can be replaced during a PUT to the Item of an Ato
Note
listed here are the ones which will be removed when a new PUT comes through (irrespective of whether the
replace them)
Property:
multipart.entry-first
Example
Value:
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
multipart.entry-first = false
Informational
The order of precedence for importing multipart content. If this is set to true then metadata in the package
Note:
atom entry, otherwise the metadata in the atom entry will override that from the package.
Property:
workflow.notify
Example
Value:
Informational
workflow.notify = true
If the workflow gets started (the collection being deposited into has a workflow configured), should a notifica
Note:
Property:
versions.keep
Example
Value:
versions.keep = true
Informational
When content is replaced, should the old version be kept? This creates a copy of the ORIGINAL bundle with
Note:
where YYYY-MM-DD is the date the copy was created, and X is an integer from 0 upwards.
Property:
state.*
Example
Value:
Informational
state.workspace.uri = http://localhost:8080/xmlui/state/inprogress
state.workspace.description = The item is in the user workspace
state.workflow.uri = http://localhost:8080/xmlui/state/inreview
state.workflow.description = The item is undergoing review prior to acceptance in the archive
Pairs of states (URI and description) than items can be in. Typical states are workspace, workflow, arch
Note:
Property:
workspace.url-template
Example
Value
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Configuration
[dspace]/config/modules/swordv2-server.cfg
File:
Informational
URL template for links to items in the workspace (items in the archive will use the handle). The #wsid# url
Note
the workspace id of the item. The example above shows how to construct this URL for XMLUI.
Other configuration options exist that define the mapping between mime types, ingesters, and disseminators. A
typical configuration looks like this:
plugin.named.org.dspace.sword2.SwordContentIngester = \
org.dspace.sword2.SimpleZipContentIngester = http://purl.org/net/sword/package/SimpleZip, \
org.dspace.sword2.SwordMETSIngester = http://purl.org/net/sword/package/METSDSpaceSIP, \
org.dspace.sword2.BinaryContentIngester = http://purl.org/net/sword/package/Binary
plugin.single.org.dspace.sword2.SwordEntryIngester = \
org.dspace.sword2.SimpleDCEntryIngester
plugin.single.org.dspace.sword2.SwordEntryDisseminator = \
org.dspace.sword2.SimpleDCEntryDisseminator
# note that we replace ";" with "_" as ";" is not permitted in the PluginManager names
plugin.named.org.dspace.sword2.SwordContentDisseminator = \
org.dspace.sword2.SimpleZipContentDisseminator = http://purl.org/net/sword/package/SimpleZip, \
org.dspace.sword2.FeedContentDisseminator = application/atom+xml, \
org.dspace.sword2.FeedContentDisseminator = application/atom+xml_type_feed
# note that we replace ";" with "_" as ";" is not permitted in the PluginManager names
plugin.named.org.dspace.sword2.SwordStatementDisseminator = \
org.dspace.sword2.AtomStatementDisseminator = atom, \
org.dspace.sword2.OreStatementDisseminator = rdf, \
org.dspace.sword2.AtomStatementDisseminator = application/atom+xml_type_feed, \
org.dspace.sword2.OreStatementDisseminator = application/rdf+xml
4.3.10 Ingesting HTML Archives
For the most part, at present DSpace simply supports uploading and downloading of bitstreams as-is. This is
fine for the majority of commonly-used file formats – for example PDFs, Microsoft Word documents,
spreadsheets and so forth. HTML documents (Web sites and Web pages) are far more complicated, and this
has important ramifications when it comes to digital preservation:
Web pages tend to consist of several files – one or more HTML files that contain references to each
other, and stylesheets and image files that are referenced by the HTML files.
Web pages also link to or include content from other sites, often imperceptibly to the end-user. Thus, in a
few year's time, when someone views the preserved Web site, they will probably find that many links are
now broken or refer to other sites than are now out of context.In fact, it may be unclear to an end-user
when they are viewing content stored in DSpace and when they are seeing content included from
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another site, or have navigated to a page that is not stored in DSpace. This problem can manifest when
a submitter uploads some HTML content. For example, the HTML document may include an image from
an external Web site, or even their local hard drive. When the submitter views the HTML in DSpace, their
browser is able to use the reference in the HTML to retrieve the appropriate image, and so to the
submitter, the whole HTML document appears to have been deposited correctly. However, later on,
when another user tries to view that HTML, their browser might not be able to retrieve the included image
since it may have been removed from the external server. Hence the HTML will seem broken.
Often Web pages are produced dynamically by software running on the Web server, and represent the
state of a changing database underneath it.
Dealing with these issues is the topic of much active research. Currently, DSpace bites off a small,
tractable chunk of this problem. DSpace can store and provide on-line browsing capability for self-
contained, non-dynamic HTML documents. In practical terms, this means:
No dynamic content (CGI scripts and so forth)
All links to preserved content must be relative links, that do not refer to 'parents' above the 'root' of the
HTML document/site:
diagram.gif is OK
image/foo.gif is OK
../index.html is only OK in a file that is at least a directory deep in the HTML document/site
hierarchy
/stylesheet.css is not OK (the link will break)
http://somedomain.com/content.html is not OK (the link will continue to link to the external site
which may change or disappear)
Any 'absolute links' (e.g. http://somedomain.com/content.html) are stored 'as is', and will continue to link
to the external content (as opposed to relative links, which will link to the copy of the content stored in
DSpace.) Thus, over time, the content referred to by the absolute link may change or disappear.
4.4 Items and Metadata
Authority Control of Metadata Values
Batch Metadata Editing
DOI Digital Object Identifier
Item Level Versioning
Mapping Items
Metadata Recommendations
Moving Items
ORCID Integration
PDF Citation Cover Page
Updating Items via Simple Archive Format
4.4.1 Authority Control of Metadata Values
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1 WORK IN PROGRESS
2 Introduction
3 Simple choice management for DSpace submission forms
3.1 Example
4 Hierarchical Taxonomies and Controlled Vocabularies
4.1 How to invoke a controlled vocabulary from input-forms.xml
5 Authority Control: Enhancing DSpace metadata fields with Authority Keys
5.1 How it looks in the DSpace user interface
5.2 How it works
5.3 Original source:
WORK IN PROGRESS
Introduction
With DSpace you can describe digital objects such as text files, audio, video or data to facilitate easy retrieval
and high quality search results. These descriptions are organized into metadata fields that each have a specific
designation. For example: dc.title stores the title of an object, while dc.subject is reserved for subject keywords.
For many of these fields, including title and abstract, free text entry is the proper choice, as the values are likely
to be unique. Other fields are likely to have values drawn from controlled sets. Such fields include unique
names, subject keywords, document types and other classifications. For those kinds of fields the overall quality
of the repository metadata increases if values with the same meaning are normalized across all items.
Additional benefits can be gained if unique identifiers are associated as well in addition to canonical text values
associated with a particular metadata field.
This page covers features included in the DSpace submission forms that allow repository managers to enforce
the usage of normalized terms for those fields where this is required in their institutional use cases. DSpace
offers simple and straightforward features, such as definitions of simple text values for dropdowns, as well as
more elaborate integrations with external vocabularies such as the Library of Congress Naming Authority.
Simple choice management for DSpace submission forms
The DSpace Submission forms, defined in the input-forms.xml file, allows the inclusion of value pairs that can
be organized in lists in order to populate dropdowns or other multiple choice elements. If you explore the default
input-forms.xml file, you can see that a number of such value pair lists are already pre defined.
Example
<value-pairs value-pairs-name="common_identifiers" dc-term="identifier">
<pair>
<displayed-value>Gov't Doc #</displayed-value>
<stored-value>govdoc</stored-value>
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</pair>
<pair>
<displayed-value>URI</displayed-value>
<stored-value>uri</stored-value>
</pair>
<pair>
<displayed-value>ISBN</displayed-value>
<stored-value>isbn</stored-value>
</pair>
</value-pairs>
It generates the following HTML, which results in the menu widget below.
<select name="identifier_qualifier_0">
<option VALUE="govdoc">Gov't Doc #</option>
<option VALUE="uri">URI</option>
<option VALUE="isbn">ISBN</option>
</select>
A list of value pairs has following required attributes:
value-pairs-name – Name by which an input-type refers to this list.
dc-term – Dublin Core field for which this choice list is selecting a value.
Each value-pairs element contains a sequence of pair sub-elements, each of which in turn contains two
elements:
displayed-value – Name shown (on the web page) for the menu entry.
stored-value – Value stored in the DC element when this entry is chosen. Unlike the HTML select tag,
there is no way to indicate one of the entries should be the default, so the first entry is always the default
choice.
Hierarchical Taxonomies and Controlled Vocabularies
The value pairs system works well for short and flat lists of choices. DSpace offers a second way of structuring
and managing more complex, hierarchical controlled vocabularies. In contrast to the value pairs system, these
controlled vocabularies are managed in separate XML files in the [dspace]/config/controlledvocabularies/ directory instead of being entered straight into input-forms.xml
The taxonomies are described in XML according to this structure:
<node id="acmccs98" label="ACMCCS98">
<isComposedBy>
<node id="A." label="General Literature">
<isComposedBy>
<node id="A.0" label="GENERAL"/>
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<node id="A.1" label="INTRODUCTORY AND SURVEY"/>
...
</isComposedBy>
</node>
...
</isComposedBy>
</node>
As you can see, each node element has an id and label attribute. It can contain the isComposedBy element,
which in its turn, consists of a list of other nodes.
You are free to use any application you want to create your controlled vocabularies. A simple text editor should
be enough for small projects. Bigger projects will require more complex tools. You may use Protegé to create
your taxonomies, save them as OWL and then use a XML Stylesheet (XSLT) to transform your documents to
the appropriate format. Future enhancements to this add-on should make it compatible with standard schemas
such as OWL or RDF.
How to invoke a controlled vocabulary from input-forms.xml
Vocabularies need to be associated with the correspondent DC metadata fields. Edit the file [dspace]
/config/input-forms.xml and place a "vocabulary" tag under the "field" element that you want to
control. Set value of the "vocabulary" element to the name of the file that contains the vocabulary, leaving
out the extension (the add-on will only load files with extension "*.xml"). For example:
<field>
<dc-schema>dc</dc-schema>
<dc-element>subject</dc-element>
<dc-qualifier></dc-qualifier>
<repeatable>true</repeatable>
<label>Subject Keywords</label>
<input-type>onebox</input-type>
<hint>Enter appropriate subject keywords or phrases below.</hint>
<required></required>
<vocabulary>srsc</vocabulary>
</field>
The vocabulary element has an optional boolean attribute closed that can be used to force input only with the
Javascript of controlled-vocabulary add-on. The default behaviour (i.e. without this attribute) is as set closed="
false". This allow the user also to enter values as free text, not selecting them from the controlled vocabulary.
The following vocabularies are currently available by default:
nsi - nsi.xml - The Norwegian Science Index
srsc - srsc.xml - Swedish Research Subject Categories
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Authority Control: Enhancing DSpace metadata fields with Authority Keys
The aforementioned features only deal with text representations of controlled values. DSpace also offers
support for adding authority keys and confidence values to a specific text value entered in a metadata field. The
following terminology applies in the description of this area of DSpace functionality:
Authority An authority is an external source of fixed values for a given domain, each unique value
identified by a key. For example, the OCLC LC Name Authority Service, ORCID or VIAF.
Authority Record The information associated with one of the values in an authority; may include
alternate spellings and equivalent forms of the value, etc.
Authority Key An opaque, hopefully persistent, identifier corresponding to exactly one record in the
authority.
The fact that this functionality deals with external sources of authority makes it inherently different from the
functionality for controlled vocabularies. Another difference is that the authority control is asserted everywhere
metadata values are changed, including unattended/batch submission, LNI and SWORD package submission,
and the administrative UI.
How it looks in the DSpace user interface
The difference between an authority controlled metadata field and a non-authority controlled metadata field can
be seen in the Edit interface for an accepted item.
Authority controlled author field edit
This example shows a value for an author name that has been linked with an authority key. The green thumb
represents the associated confidence value "Accepted": This authority value has been confirmed as accurate by
an interactive user or authoritative policy.
How it works
TODO
Original source:
Authority Control of Metadata Values original development proposal for DSpace 1.6
4.4.2 Batch Metadata Editing
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1 Batch Metadata Editing Tool
1.1 Export Function
1.1.1 Web Interface Export
1.1.2 Command Line Export
1.2 Import Function
1.2.1 Web Interface Import
1.2.2 Command Line Import
1.3 CSV Format
1.3.1 File Structure
1.4 Editing the CSV
1.4.1 Editing Collection Membership
1.4.2 Adding Metadata-Only Items
1.4.3 Deleting Metadata
1.4.4 Performing 'actions' on items
1.4.5 Migrating Data or Exchanging data
1.4.6 Common Issues
Batch Metadata Editing Tool
DSpace provides a batch metadata editing tool. The batch editing tool is able to produce a comma delimited file
in the CSV format. The batch editing tool facilitates the user to perform the following:
Batch editing of metadata (e.g. perform an external spell check)
Batch additions of metadata (e.g. add an abstract to a set of items, add controlled vocabulary such as
LCSH)
Batch find and replace of metadata values (e.g. correct misspelled surname across several records)
Mass move items between collections
Mass deletion, withdrawal, or re-instatement of items
Enable the batch addition of new items (without bitstreams) via a CSV file
Re-order the values in a list (e.g. authors)
For information about configuration options for the Batch Metadata Editing tool, see Batch Metadata Editing
Configuration
Export Function
Web Interface Export
Batch metadata exports (to CSV) can be performed from the Administrative menu:
Login as an Administrative user
Browse to the Community or Collection you wish to export to CSV
NOTE: in the JSPUI, it is also possible to export search results to CSV. Just perform a search,
and click on the "Export Metadata" button above the search results.
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Click "Export Metadata" link to export to a downloadable CSV
In XMLUI, "Export Metadata" can be found in the "Context" menu on a Community/Collection
homepage
In JSPUI, "Export Metadata" can be found in the "Admin Tools" menu on a Community/Collection
homepage
Please see below documentation for more information on the CSV format and actions that can be performed by
editing the CSV.
Command Line Export
The following table summarizes the basics.
Command
[dspace]/bin/dspace metadata-export
used:
Java class:
org.dspace.app.bulkedit.MetadataExport
Arguments
Description
short and
(long) forms):
-f or --file
Required. The filename of the resulting CSV.
-i or --id
The Item, Collection, or Community handle or Database ID to export. If not specified, all
items will be exported.
-a or --all
Include all the metadata fields that are not normally changed (e.g. provenance) or those
fields you configured in the [dspace]/config/modules/bulkedit.cfg to be ignored
on export.
-h or --help
Display the help page.
To run the batch editing exporter, at the command line:
[dspace]/bin/dspace metadata-export -f name_of_file.csv -i 1023/24
Example:
[dspace]/bin/dspace metadata-export -f /batch_export/col_14.csv -i /1989.1/24
In the above example we have requested that a collection, assigned handle ' 1989.1/24' export the entire
collection to the file 'col_14.csv' found in the '/batch_export' directory.
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Please see below documentation for more information on the CSV format and actions that can be performed by
editing the CSV .
Import Function
Importing large CSV files
It is not recommended to import CSV files of more than 1,000 lines (i.e. 1,000 items). When importing
files larger than this, it may be difficult for an Administrator to accurately verify the changes that the
import tool states it will make. In addition, depending on the memory available to the DSpace site,
large files may cause 'Out Of Memory' errors part way through the import process.
Web Interface Import
Batch metadata imports (from CSV) can be performed from the Administrative menu:
First, complete all editing of the CSV and save your changes
Login as an Administrative User
Click "Import Metadata" and select the CSV file
In XMLUI, "Import Metadata" can be found under the "Administrative" menu on any page
In JSPUI, "Import Metadata" can be found under the "Administer" menu (under your user account
dropdown). On the Adminstration Tools page, select "Import Metadata" from the "Content"
dropdown
After uploading the CSV, you will be presented with a summary of all changes that will be performed in
the system. You can review these changes and choose whether to apply them or cancel.
Command Line Import
The following table summarizes the basics.
Command used:
[dspace]/bin/dspace metadata-import
Java class:
org.dspace.app.bulkedit.MetadataImport
Arguments short and
Description
(long) forms:
-f or --file
Required. The filename of the CSV file to load.
-s or --silent
Silent mode. The import function does not prompt you to make sure you wish to
make the changes.
-e or --email
The email address of the user. This is only required when adding new items.
-w or --workflow
When adding new items, the program will queue the items up to use the
Collection Workflow processes.
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-n or --notify
when adding new items using a workflow, send notification emails.
-t or --template
When adding new items, use the Collection template, if it exists.
-h or --help
Display the brief help page.
Silent Mode should be used carefully. It is possible (and probable) that you can overlay the wrong data and
cause irreparable damage to the database.
To run the batch importer, at the command line:
[dspace]/bin/dspace metadata-import -f name_of_file.csv
Example
[dspace]/bin/dspace metadata-import -f /dImport/col_14.csv
If you are wishing to upload new metadata without bitstreams, at the command line:
[dspace]/bin/dspace metadata-import -f /dImport/new_file.csv -e [email protected] -w -n -t
In the above example we threw in all the arguments. This would add the metadata and engage the workflow,
notification, and templates to all be applied to the items that are being added.
CSV Format
The CSV (comma separated values) files that this tool can import and export abide by the RFC4180 CSV
format. This means that new lines, and embedded commas can be included by wrapping elements in double
quotes. Double quotes can be included by using two double quotes. The code does all this for you, and any
good csv editor such as Excel or OpenOffice will comply with this convention.
All CSV files are also in UTF-8 encoding in order to support all languages.
File Structure
The first row of the CSV must define the metadata values that the rest of the CSV represents. The first column
must always be "id" which refers to the item's internal database ID. All other columns are optional. The
other columns contain the dublin core metadata fields that the data is to reside.
A typical heading row looks like:
id,collection,dc.title,dc.contributor,dc.date.issued,etc,etc,etc.
Subsequent rows in the csv file relate to items. A typical row might look like:
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350,2292,Item title,"Smith, John",2008
If you want to store multiple values for a given metadata element, they can be separated with the double-pipe '||'
(or another character that you defined in your modules/bulkedit.cfg file). For example:
Horses||Dogs||Cats
Elements are stored in the database in the order that they appear in the CSV file. You can use this to order
elements where order may matter, such as authors, or controlled vocabulary such as Library of Congress
Subject Headings.
Editing the CSV
If you are editing with Microsoft Excel, be sure to open the CSV in Unicode/UTF-8 encoding
By default, Microsoft Excel may not correctly open the CSV in Unicode/UTF-8 encoding. This means
that special characters may be improperly displayed and also can be "corrupted" during re-import of
the CSV.
You need to tell Excel this CSV is Unicode, by importing it as follows. ( Please note these instructions
are valid for MS Office 2007 and 2013. Other Office versions may vary )
First, open Excel (with an empty sheet/workbook open)
Select "Data" tab
Click "From Text" button (in the "External Data" section)
Select your CSV file
Wizard Step 1
Choose "Delimited" option
Start import at row: 1
In the "File origin" selectbox, select "65001 : Unicode (UTF-8)"
NOTE: these encoding options are sorted alphabetically, so "Unicode (UTF-8)"
appears near the bottom of the list.
Click Next
Wizard Step 2
Select "Comma" as the only delimiter
Click Next
Wizard Step 3
Select "Text" as the "Column data format" (Unfortunately, this must be done for each
column individually in Excel)
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At a minimum, you MUST ensure all date columns (e.g. dc.date.issued) are
treated as "Text" so that Excel doesn't autoconvert DSpace's YYYY-MM-DD
format into MM/DD/YYYY
To avoid such autoconversion, it is safest to ensure each column is treated as
"Text". Unfortunately, this means selecting each column one-by-one and choosing
"Text" as the "Column data format".
Click Finish
Choose whether to open CSV in the existing sheet or a new one
Tips to Simplify the Editing Process
When editing a CSV, here's a couple of basic tips to keep in mind:
1. The "id" column MUST remain intact. This column also must always have a value in it.
2. To simplify the CSV, you can simply remove any columns you do NOT wish to edit (except for
"id" column, see #1). Don't worry, removing the entire column won't delete metadata (see #3)
3. When importing a CSV file, the importer will overlay the metadata onto what is already in the
repository to determine the differences. It only acts on the contents of the CSV file, rather than
on the complete item metadata. This means that the CSV file that is exported can be
manipulated quite substantially before being re-imported. Rows (items) or Columns (metadata
elements) can be removed and will be ignored.
a. For example, if you only want to edit "dc.subject", you can remove ALL columns
EXCEPT for "id" and "dc.subject" so that you can just manipulate the "dc.subject" field.
On import, DSpace will see that you've only included the "dc.subject" field in your CSV
and therefore will only update the "dc.subject" metadata field for any items listed in that
CSV.
4. Because removing an entire column does NOT delete metadata value(s), if you actually wish to
delete a metadata value you should leave the column intact, and simply clear out the
appropriate row's value (in that column).
Editing Collection Membership
Items can be moved between collections by editing the collection handles in the 'collection' column. Multiple
collections can be included. The first collection is the 'owning collection'. The owning collection is the primary
collection that the item appears in. Subsequent collections (separated by the field separator) are treated as
mapped collections. These are the same as using the map item functionality in the DSpace user interface. To
move items between collections, or to edit which other collections they are mapped to, change the data in the
collection column.
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Adding Metadata-Only Items
New metadata-only items can be added to DSpace using the batch metadata importer. To do this, enter a plus
sign '+' in the first 'id' column. The importer will then treat this as a new item. If you are using the command line
importer, you will need to use the -e flag to specify the user email address or id of the user that is registered as
submitting the items.
Deleting Metadata
It is possible to perform metadata deletes across the board of certain metadata fields from an exported file. For
example, let's say you have used keywords (dc.subject) that need to be removed en masse. You would leave
the column (dc.subject) intact, but remove the data in the corresponding rows.
Performing 'actions' on items
It is possible to perform certain 'actions' on items. This is achieved by adding an 'action' column to the CSV file
(after the id, and collection columns). There are three possible actions:
1. 'expunge' This permanently deletes an item. Use with care! This action must be enabled by setting
'allowexpunge = true' in modules/bulkedit.cfg
2. 'withdraw' This withdraws an item from the archive, but does not delete it.
3. 'reinstate' This reinstates an item that has previously been withdrawn.
If an action makes no change (for example, asking to withdraw an item that is already withdrawn) then, just like
metadata that has not changed, this will be ignored.
Migrating Data or Exchanging data
It is possible that you have data in one Dublin Core (DC) element and you wish to really have it in another. An
example would be that your staff have input Library of Congress Subject Headings in the Subject field (dc.
subject) instead of the LCSH field (dc.subject.lcsh). Follow these steps and your data is migrated upon import:
1. Insert a new column. The first row should be the new metadata element. (We will refer to it as the
TARGET)
2. Select the column/rows of the data you wish to change. (We will refer to it as the SOURCE)
3. Cut and paste this data into the new column (TARGET) you created in Step 1.
4. Leave the column (SOURCE) you just cut and pasted from empty. Do not delete it.
Common Issues
Metadata values in CSV export seem to have duplicate columns
Batch Metadata Editing Configuration
The Batch Metadata Editing Tool allows the administrator to extract from the DSpace database a set of records
for editing via a CSV file. It provides an easier way of editing large collections.
A full list of all available Batch Metadata Editing Configurations:
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Configuration
[dspace]/config/modules/bulkedit.cfg
File:
Property:
valueseparator
Example
valueseparator = ||
Value:
Informational
The delimiter used to separate values within a single field. For example, this will place the
note
double pipe between multiple authors appearing in one record (Smith, William || Johannsen,
Susan). This applies to any metadata field that appears more than once in a record. The
user can change this to another character.
Property:
fieldseparator
Example
fieldseparator = ,
Value:
Informational
The delimiter used to separate fields (defaults to a comma for CSV). Again, the user could
note
change it something like '$'. If you wish to use a tab, semicolon, or hash (#) sign as the
delimiter, set the value to be tab, semicolon or hash.
fieldseparator = tab
Property:
gui-item-limit
Example
gui-item-limit = 20
Value:
Informational
When using the WEBUI, this sets the limit of the number of items allowed to be edited in
note
one processing. There is no limit when using the CLI.
Property:
ignore-on-export
Example
Value:
ignore-on-export = dc.date.accessioned, \
dc.date.available, \
dc.date.updated, dc.description.provenance
Informational
Metadata elements to exclude when exporting via the user interfaces, or when using the
note
command line version and not using the -a (all) option.
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4.4.3 DOI Digital Object Identifier
Persistent Identifier
DOI Registration Agencies
Configure DSpace to use the DataCite API
dspace.cfg
Metadata conversion
Identifier Service
Command Line Interface
'cron' job for asynchronous reservation/registration
Limitations of DataCite DOI support
Configure DSpace to use EZID service for registration of DOIs
Limitations of EZID DOI support
Adding support for other Registration Agencies
Persistent Identifier
It is good practice to use Persistent Identifiers to address items in a digital repository. There are many different
systems for Persistent Identifiers: Handle , DOI , urn:nbn, purl and many more. It is far out of the scope of this
document to discuss the differences of all these systems. For several reasons the Handle System is deeply
integrated in DSpace, and DSpace makes intensive use of it. With DSpace 3.0 the Identifier Service was
introduced that makes it possible to also use external identifier services within DSpace.
DOIs are Persistent Identifiers like Handles are, but as many big publishing companies use DOIs they are quite
well-known to scientists. Some journals ask for DOIs to link supplemental material whenever an article is
submitted. Beginning with DSpace 4.0 it is possible to use DOIs in parallel to the Handle System within
DSpace. By "using DOIs" we mean automatic generation, reservation and registration of DOIs for every item
that enters the repository. These newly registered DOIs will not be used as a means to build URLs to DSpace
items. Items will still rely on handle assignment for the item urls.
DOI Registration Agencies
To register a DOI one has to enter into a contract with a DOI registration agency which is a member of the
International DOI Foundation. Several such agencies exist. Different DOI registration agencies have different
policies. Some of them offer DOI registration especially or only for academic institutions, others only for
publishing companies. Most of the registration agencies charge fees for registering DOIs, and all of them have
different rules describing for what kind of item a DOI can be registered. To make it quite clear: to register DOIs
with DSpace you have to enter into a contract with a DOI registration agency.
DataCite is an international initiative to promote science and research, and a member of the International DOI
Foundation. The members of DataCite act as registration agencies for DOIs. Some DataCite members provide
their own APIs to reserve and register DOIs; others let their clients use the DataCite API directly. Starting with
version 4.0 DSpace supports the administration of DOIs by using the DataCite API directly or by using the API
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from EZID (which is a service of the University of California Digital Library). This means you can administer
DOIs with DSpace if your registration agency allows you to use the DataCite API directly or if your registration
agency is EZID.
Configure DSpace to use the DataCite API
If you use a DOI registration agency that lets you use the DataCite API directly, you can follow the instructions
below to configure DSpace. In case EZID is your registration agency the configuration of DSpace is
documented here: Configure DSpace to use EZID service for registration of DOIs.
To use DOIs within DSpace you have to configure several parts of DSpace:
enter your DOI prefix and the credentials to use the API from DataCite in dspace.cfg,
configure the script which generates some metadata,
activate the DOI mechanism within DSpace,
configure a cron job which transmits the information about new and changed DOIs to the registration
agency.
dspace.cfg
After you enter into a contract with a DOI registration agency, they'll provide you with user credentials and a
DOI prefix. You have to enter these in the dspace cfg. Here is a list of DOI configuration options in dspace.cfg:
Configuration
[dspace]/config/dspace.cfg
File:
Property:
identifier.doi.user
Example
Value:
identifier.doi.user = user123
Informational
Username to login into the API of the DOI registration agency. You'll get it from your DOI
Note:
registration agency.
Property:
identifier.doi.password
Example
Value:
identifier.doi.password = top-secret
Informational
Password to login into the API of the DOI registration agency. You'll get it from your DOI
Note:
registration agency.
Property:
identifier.doi.prefix
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Example
Value:
identifier.doi.prefix = 10.5072
Informational
The prefix you got from the DOI registration agency. All your DOIs start with this prefix,
Note:
followed by a slash and a suffix generated from DSpace. The prefix can be compared with a
namespace within the DOI system.
Property:
identifier.doi.namespaceseparator
Example
Value:
identifier.doi.namespaceseparator = dspace-
Informational
This property is optional. If you want to use the same DOI prefix in several DSpace
Note:
installations or with other tools that generate and register DOIs it is necessary to use a
namespace separator. All the DOIs that DSpace generates will start with the DOI prefix,
followed by a slash, the namespace separator and some number generated by DSpace. For
example, if your prefix is 10.5072 and you want all DOIs generated by DSpace to look like
10.5072/dspace-1023 you have to set this as in the example value above.
Please don't use the test prefix 10.5072 with DSpace. The test prefix 10.5072 differs from other
prefixes: It answers GET requests for all DOIs even for DOIs that are unregistered. DSpace checks
that it mint only unused DOIs and will create an Error: "Register DOI ... failed:
DOI_ALREADY_EXISTS". Your registration agency can provide you an individual test prefix, that you
can use for tests.
Metadata conversion
To reserve or register a DOI, DataCite requires that metadata be supplied which describe the object that the
DOI addresses. The file [dspace]/config/crosswalks/DIM2DataCite.xsl controls the conversion of metadata from
the DSpace internal format into the DataCite format. You have to add the name of your institution to this file:
\[dspace\]/config/crosswalks/DIM2DataCite.xsl
<!-Document
:
Created on :
Author
:
Description:
DIM2DataCite.xsl
January 23, 2013, 1:26 PM
pbecker, ffuerste
Converts metadata from DSpace Intermediat Format (DIM) into
metadata following the DataCite Schema for the Publication and
Citation of Research Data, Version 2.2
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-->
<xsl:stylesheet xmlns:xsl="http://www.w3.org/1999/XSL/Transform"
xmlns:dspace="http://www.dspace.org/xmlns/dspace/dim"
xmlns="http://datacite.org/schema/kernel-2.2"
version="1.0">
<!-- CONFIGURATION -->
<!-- The content of the following variable will be used as element publisher. -->
<xsl:variable name="publisher">My University</xsl:variable>
<!-- The content of the following variable will be used as element contributor with
contributorType datamanager. -->
<xsl:variable name="datamanager"><xsl:value-of select="$publisher" /></xsl:variable>
<!-- The content of the following variable will be used as element contributor with
contributorType hostingInstitution. -->
<xsl:variable name="hostinginstitution"><xsl:value-of select="$publisher" /></xsl:variable>
<!-- Please take a look into the DataCite schema documentation if you want to know how to use
these elements.
http://schema.datacite.org -->
<!-- DO NOT CHANGE ANYTHING BELOW THIS LINE EXCEPT YOU REALLY KNOW WHAT YOU ARE DOING! -->
...
Just change the value in the variable named "publisher".
If you want to know more about the DataCite Schema, have a look at the documentation. If you change this file
in a way that is not compatible with the DataCite schema, you won't be able to reserve and register DOIs
anymore. Do not change anything if you're not sure what you're doing.
Identifier Service
The Identifier Service manages the generation, reservation and registration of identifiers within DSpace. You
can configure it using the config file located in [dspace]/config/spring/api/identifier-service.xml. In the file you
should already find the code to configure DSpace to register DOIs. Just read the comments and remove the
comment signs around the two appropriate beans.
After removing the comment signs the file should look something like this (I removed the comments to make the
listing shorter):
\[dspace\]/config/spring/api/identifier-service.xml
<!-Copyright (c) 2002-2010, DuraSpace. All rights reserved
Licensed under the DuraSpace License.
A copy of the DuraSpace License has been included in this
distribution and is available at: http://www.dspace.org/license
-->
<beans xmlns="http://www.springframework.org/schema/beans"
xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
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xsi:schemaLocation="http://www.springframework.org/schema/beans
http://www.springframework.org/schema/beans/spring-beans-2.5.xsd">
<bean id="org.dspace.identifier.IdentifierService"
class="org.dspace.identifier.IdentifierServiceImpl"
autowire="byType"
scope="singleton"/>
<bean id="org.dspace.identifier.DOIIdentifierProvider"
class="org.dspace.identifier.DOIIdentifierProvider"
scope="singleton">
<property name="configurationService"
ref="org.dspace.services.ConfigurationService" />
<property name="DOIConnector"
ref="org.dspace.identifier.doi.DOIConnector" />
</bean>
<bean id="org.dspace.identifier.doi.DOIConnector"
class="org.dspace.identifier.doi.DataCiteConnector"
scope="singleton">
<property name='DATACITE_SCHEME' value='https'/>
<property name='DATACITE_HOST' value='mds.test.datacite.org'/>
<property name='DATACITE_DOI_PATH' value='/doi/' />
<property name='DATACITE_METADATA_PATH' value='/metadata/' />
<property name='disseminationCrosswalkName' value="DataCite" />
</bean>
</beans>
If you use other IdentifierProviders beside the DOIIdentifierProvider there will be more beans in this file.
Please pay attention to configure the property DATACITE_HOST. Per default it is set to the DataCite test
server. To reserve real DOIs you will probably have to change it to mds.datacite.org. Ask your registration
agency if you're not sure about the correct address.
For sometime unfortunately the test and the production server of Datacite had different paths to the
API. Those paths has changed after the release of DSpace 5.4. Please use the properties
DATACITE_HOST, DATACITE_DOI_PATH and DATACITE_METADATA_PATH as mentioned above
to connect to the test server and change the DATACITE_HOST to mds.datacite.org when you want to
to switch to the production server of DataCite (registering real DOIs).
DSpace should send updates to DataCite whenever the metadata of an item changes. To do so you have to
change the dspace.cfg again. You should remove the comments in front of the two following properties or add
them to the dspace.cfg:
\[dspace\]/config/dspace.cfg
event.consumer.doi.class = org.dspace.identifier.doi.DOIConsumer
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event.consumer.doi.filters = Item+Modify_Metadata
Then you should add 'doi' to the property event.dispatcher.default.consumers. After adding it, this
property may look like this:
\[dspace\]/config/dspace.cfg
event.dispatcher.default.consumers = versioning, discovery, eperson, harvester, doi
Command Line Interface
To make DSpace resistant to outages of DataCite we decided to separate the DOI support into two parts. When
a DOI should be generated, reserved or minted, DSpace does this in its own database. To perform registration
and/or reservation against the DOI registration agency a job has to be started using the command line.
Obviously this should be done by a cron job periodically. In this section we describe the command line interface,
in case you ever want to use it manually. In the next section you'll see the cron job that transfers all DOIs
designated for reservation and/or registration.
The command line interface in general is documented here: Command Line Operations.
The command used for DOIs is 'doi-organiser'. You can use the following options:
Option
Option
Parameter
Description
(short)
(long)
-d
--
Transmit information to the DOI registration agency about all DOIs that
delete-
were deleted.
all
--
DOI
Transmit information to the DOI registration agency that the specified DOI
delete-
was deleted. The DOI must already be marked for deletion; you cannot use
doi
this command to delete a DOI for an exisiting item.
-h
--help
Print online help.
-l
--list
List all DOIs whose changes were not committed to the registration agency
yet.
-q
--quiet
The doi-organiser sends error reports to the mail address configured in the
property alert.recipient in dspace.cfg. If you use this option no output
should be given to stdout. If you do not use this option the doi-organiser
writes information about successful and unsuccessful operations to stdout
and stderr. You can find information in dspace.log of course.
-r
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Transmit information about all DOIs that should be registered.
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Option
Option
(short)
(long)
Parameter
Description
DOI |
If a DOI is marked for registration, you can trigger the registration at the
-registerall
--
-s
register- ItemID |
DOI registration agency by this command. Specify either the DOI, the ID of
doi
the item, or its handle.
handle
--
Transmit to the DOI registration agency information about all DOIs that
reserve-
should be reserved.
all
--
-u
DOI |
If a DOI is marked for registration, you can trigger the registration at the
reserve- ItemID |
DOI registration agency by this command. Specify either the DOI, the ID of
doi
the item, or its handle.
handle
--
If a DOI is reserved for an item, the metadata of the item will be sent to
update-
DataCite. This command transmits new metadata for items whose
all
metadata were changed since the DOI was reserved.
--
DOI |
If a DOI needs an update of the metadata of the item it belongs to, you can
update-
ItemID |
trigger this update with this command. Specify either the DOI, the ID of the
doi
handle
item, or its handle.
Currently you cannot generate new DOIs with this tool. You can only send information about changes in your
local DSpace database to the registration agency.
'cron' job for asynchronous reservation/registration
When a DOI should be reserved, registered, deleted or its metadata updated, DSpace just writes this
information into its local database. A command line interface is supplied to send the necessary information to
the registration agency. This behavior makes it easier to react to outages or errors while using the API. This
information should be sent regularly, so it is a good idea to set up a cron job instead of doing it manually.
There are four commands that should be run regularly:
Update the metadata of all items that have changed since their DOI was reserved.
Reserve all DOIs marked for reservation
Register all DOIs marked for registration
Delete all DOIs marked for deletion
In DSpace, a DOI can have the state "registered", "reserved", "to be reserved", "to be registered", "needs
update", "to be deleted", or "deleted". After updating an item's metadata the state of its assigned DOI is set
back to the last state it had before. So, e.g., if a DOI has the state "to be registered" and the metadata of its
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item changes, it will be set to the state "needs update". After the update is performed its state is set to "to be
registered" again. Because of this behavior the order of the commands above matters: the update command
must be executed before all of the other commands above.
The cron job should perform the following commands with the rights of the user your DSpace installation runs
as:
[dspace]/bin/dspace
[dspace]/bin/dspace
[dspace]/bin/dspace
[dspace]/bin/dspace
doi-organiser
doi-organiser
doi-organiser
doi-organiser
-u
-s
-r
-d
-q
-q
-q
-q
The doi-organiser sends error messages as email and logs some additional information. The option -q tells
DSpace to be quiet. If you don't use this option the doi-organiser will print messages to stdout about every DOI
it successfully reserved, registered, updated or deleted. Using a cron job these messages would be sent as
email.
In case of an error, consult the log messages. If there is an outage of the API of your registration agency,
DSpace will not change the state of the DOIs so that it will do everything necessary when the cron job starts the
next time and the API is reachable again.
The frequency the cron job runs depends on your needs and your hardware. The more often you run the cron
job the faster your new DOIs will be available online. If you have a lot of submissions and want the DOIs to be
available really quickly, you probably should run the cron job every fifteen minutes. If there are just one or two
submissions per day, it should be enough to run the cron job twice a day.
To set up the cron job, you just need to run the following command as the dspace UNIX user:
crontab -e
The following line tells cron to run the necessary commands twice a day, at 1am and 1pm. Please notice that
the line starting with the numbers is one line, even it it should be shown as multiple lines in your browser.
# Send information about new and changed DOIs to the DOI registration agency:
0 1,13 * * * [dspace]/bin/dspace doi-organiser -u -q ; [dspace]/bin/dspace doi-organiser -s -q ;
[dspace]/bin/dspace doi-organiser -r -q ; [dspace]/bin/dspace doi-organiser -d -q
Limitations of DataCite DOI support
Every DSpace installation expects to be the only application that generates DOIs which start
with the prefix and the namespace separator you configured. DSpace does not check whether
a DOI it generates is reserved or registered already.
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That means if you want to use other applications or even more than one DSpace installation to register DOIs
with the same prefix, you'll have to use a unique namespace separator for each of them. Also you should not
generate DOIs manually with the same prefix and namespace separator you configured within DSpace. For
example, if your prefix is 10.5072 you can configure one DSpace installation to generate DOIs starting with
10.5072/papers-, a second installation to generate DOIs starting with 10.5072/data- and another application to
generate DOIs starting with 10.5072/results-.
DOIs will be used in addition to Handles. This implementation does not replace Handles with DOIs in DSpace.
That means that DSpace will continue to generate Handles for every item, every collection and every
community, and will use those Handles as part of the URL of items, collections and communities.
DSpace currently generates DOIs for items only. There is no support to generate DOIs for Communities and
collections yet.
When using DSpace's support for the DataCite API probably not all information would be restored when using
the AIP Backup and Restore (see DS-1836). The DOIs included in metadata of Items will be restored, but
DSpace won't update the metadata of those items at DataCite anymore. You can even get problems when
minting new DOIs after you restored older once using AIP.
Configure DSpace to use EZID service for registration of DOIs
The EZID IdentifierProvider operates synchronously, so there is much less to configure. You will need to uncomment the org.dspace.identifier.EZIDIdentifierProvider bean in config/spring/api
/identifier-service.xml to enable DOI registration through EZID.
In config/dspace.cfg you will find a small block of settings whose names begin with identifier.doi.
ezid. You should uncomment these properties and give them appropriate values. Sample values for a test
account are supplied.
name
meaning
identifier.doi.
The "shoulder" is the DOI prefix issued to you by the EZID service. DOIs minted by this
ezid.
instance of DSpace will be the concatenation of the "shoulder" and a locally unique token.
shoulder
identifier.doi.
The username and password by which you authenticate to EZID.
ezid.user
identifier.doi.
ezid.
password
You may specify a default value for the required datacite.publisher metadatum, for use
when the Item has no publisher.
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name
meaning
identifier.doi.
ezid.
publisher
Back in config/spring/api/identifier-service.xml you will see some other configuration of the
EZIDIdentiferProvider bean. In most situations, the default settings should work well. But, here's an
explanation of options available:
EZID Provider / Registrar settings: By default, the EZIDIdentifierProvider is configured to use the CDLib
provider (ezid.cdlib.org) in the EZID_SCHEME, EZID_HOST and EZID_PATH settings. In most situations,
the default values should work for you. However, you may need to modify these values (especially the
EZID_HOST) if you are registered with a different EZID provider. In that situation, please check with your
provider for valid "host" and "path" settings. If your provider provides EZID service at a particular path on
its host, you may set that in EZID_PATH.
NOTE: As of the writing of this documentation, the default CDLib provider settings should also
work for institutions that use Purdue (ezid.lib.purdue.edu) as a provider. Currently, Purdue and
CDLib currently share the same infrastructure, and both ezid.cdlib.org and ezid.lib.
purdue.edu point to the same location.
Metadata mappings: You can alter the mapping between DSpace and EZID metadata, should you
choose. The crosswalk property is a map from DSpace metadata fields to EZID fields, and can be
extended or changed. The key of each entry is the name of an EZID metadata field; the value is the
name of the corresponding DSpace field, from which the EZID metadata will be populated.
Crosswalking / Transforms: You can also supply transformations to be applied to field values using the
crosswalkTransform property. Each key is the name of an EZID metadata field, and its value is the
name of a Java class which will convert the value of the corresponding DSpace field to its EZID form.
The only transformation currently provided is one which converts a date to the year of that date, named
org.dspace.identifier.ezid.DateToYear. In the configuration as delivered, it is used to convert
the date of issue to the year of publication. You may create new Java classes with which to supply other
transformations, and map them to metadata fields here. If an EZID metadatum is not named in this map,
the default mapping is applied: the string value of the DSpace field is copied verbatim.
Limitations of EZID DOI support
DOIs will be used in addition to Handles. This implementation does not replace Handles with DOIs in DSpace.
That means that DSpace will continue to generate Handles for every item, every collection and every
community, and will use those Handles as part of the URL of items, collections and communities.
Currently, the EZIDIdentifierProvider has a known issue where it stores its DOIs in the dc.identifier field,
instead of using the dc.identifier.uri field (which is the one used by DataCite DOIs and Handles). See
DS-2199 for more details. This will be corrected in a future version of DSpace.
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DSpace currently generates DOIs for items only. There is no support to generate DOIs for Communities and
Collections yet.
Adding support for other Registration Agencies
If you want DSpace to support other registration agencies, you just have to write a Java class that implements
the interface DOIConnector ([dspace-source]/dspace-api/src/main/java/org/dspace/identifier/doi/DOIConnector.
java). You might use the DataCiteConnector ([dspace-source]/dspace-api/src/main/java/org/dspace/identifier/doi
/DataCiteConnector.java) as an example. After developing your own DOIConnector, you configure DSpace as if
you were using the DataCite API directly. Just use your DOIConnector when configuring the IdentifierService
instead of the DataCiteConnector.
4.4.4 Item Level Versioning
1 What is Item Level Versioning?
2 Important warnings - read before enabling
3 Enabling Item Level Versioning
3.1 Steps for XML UI
3.2 Steps for JSP UI
4 Initial Requirements
5 User Interface
5.1 General behaviour: Linear Versioning
5.2 Creating a new version of an item
5.3 View the history and older versions of an item
6 Architecture
6.1 Versioning model
6.2 Services to support Versioning and Alternative Identifiers
6.2.1 Versioning Service
6.2.2 Identifier Service
7 Configuration
7.1 Versioning Service Override
7.2 Identifier Service Override
7.3 Version History Visibility
8 Identified Challenges & Known Issues in DSpace 4.0
8.1 Only Administrators and Collection/Community Administrators can add new versions
8.2 Conceptual compatibility with Embargo
8.3 Conceptual compatibility with Item Level Statistics
8.4 Exposing version history
9 Credits
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What is Item Level Versioning?
Versioning is a new functionality to build the history of an item. Users will have the opportunity to create new
version of an existing item any time the will make a change.
Important warnings - read before enabling
AIP Backup & Restore functionality only works with the Latest Version of Items
If you are using the AIP Backup and Restore functionality to backup / restore / migrate DSpace
Content, you must be aware that the "Item Level Versioning" feature is not yet compatible with AIP
Backup & Restore. Using them together may result in accidental data loss. Currently the AIPs that
DSpace generates only store the latest version of an Item. Therefore, past versions of Items will
always be lost when you perform a restore / replace using AIP tools. See DS-1382.
Versioning history exposes data that may be considered personal
If you enable versioning, the name and email of the submitter are shown to all users by default in
Version history. The only way to circumvent this is to make Version history visible only to admins by
setting item.history.view.admin=false in [dspace]/config/modules/versioning.cfg.
See DS-1349 for ongoing work on a better solution.
Enabling Item Level Versioning
By default, Item Level Versioning is disabled in DSpace 3, 4 and 5.
Starting from DSpace 4.0, Item Level Versioning is also supported in JSPUI.
Steps for XML UI
If you wish to enable this feature, you just have to uncomment the "Versioning" aspect in your [dspace]
/config/xmlui.xconf file (and restart your servlet container):
<!-- =====================
Item Level Versioning
===================== -->
<!-- To enable Item Level Versioning features, uncomment this aspect. -->
<aspect name="Versioning Aspect" path="resource://aspects/Versioning/" />
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Steps for JSP UI
If you wish to enable this feature, you just have to edit the enabled settings in your [dspace]/config
/modules/versioning.cfg file (and restart your servlet container):
#---------------------------------------------------#
#------------ VERSIONING CONFIGURATIONS ------------#
#---------------------------------------------------#
# These configs are used by the versioning system #
#---------------------------------------------------#
#Parameter 'enabled' is used only by JSPUI
enabled=false
Initial Requirements
The Item Level Versioning implementation in DSpace 3.0 builds on following requirements identified by the
stakeholders who supported this contribution: Initial Requirements Analysis
1. What should be Versionable
a. Versioning happens at the level of an Individual Item
b. Versioning should preserve the current state of metadata, bitstreams and resource policies
attached to the item.
2. Access, Search and Discovery
a. Only the most recent version of an item is available via the search interface
b. Previous versions of Items should continue to be visible, citable and accessible
c. The Bitstreams for previous versions are retained. If something was once retrievable, it should
always be retrievable.
3. Identifiers
a. Each version of an Item is represented by a separate "versioned" identifier
b. A base "versionhistory" Identifier points to the most recent version of the Item.
c. A revision identifier also exists that is unique to the specific version.
d. When a new version of an Item is deposited, a new revision identifier will be created.
4. Presentation
a. On the item page, there is a link to view previous/subsequent versions.
b. By examining the metadata or identifiers, it is possible to determine whether an item is the most
recent version, the original version, or an intermediate version.
5. Access Control and Rights
a. Certain roles should be able to generate a new version of the item via submission.
b. To submitters, collection manager, administrators will be given to option to create new version of
an item.
c. Rights to access a specific Item should transmute as well to previous versions
d. Rights to access a specific Bitstream should also transmute to previous versions.
6. Data Integrity
a.
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a. The relationships between versions should not be brittle and breakable by manipulating Item
metadata records.
b. The relationships between versions should be preserved and predictable in various Metadata
Exports (OAI, Packagers, ItemExport)
c. The relationships between versions should be maintained in SWORD, LNI and AIP packaging and
be maintained in updates and restorations.
User Interface
General behaviour: Linear Versioning
From the user interface, DSpace offers linear versioning. As opposed to hierarchical versioning, linear version
has following properties:
A new version can only be created started from the latest available version
When new version has been created and still needs to pass certain steps of the workflow, it is
temporarily impossible to create another new version until the workflow steps are finished and the new
version has replaced the previous one.
Creating a new version of an item
Administrators and collection/community administrators can create new versions of an item from the Item View
page.
1. Click "Create a new version" from the Context Menu in the navigation bar.
2. Provide the reason for creating a new version that will lateron be stored and displayed in the version
summary.
3. Your new version is now creates as a new Item in your Workspace. It requires you to go through the
submission and workflow steps like you would do for a normal, new submission to the collection. The
rationale behind this is that if you are adding new files or metadata, you will also need to accept the
license for them. In addition to this, the versioning functionality does not bypass any quality control
embedded in the workflow steps.
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After the submission steps and the execution of subsequent workflow steps, the new version becomes available
in the repository.
View the history and older versions of an item
An overview of the version history, including links to older versions of an item, is available at the bottom of an
Item View page. The repository administrator can decide whether the version history should be available to all
users or restricted to administrators.
Architecture
Versioning model
For every new Version a separate DSpace Item will be created that replicates the metadata, bundle and
bitstream records. The bitstream records will point to the same file on the disk.
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The Cleanup method has been modified to retain the file if another Bitstream record point to it (the dotted lines
in the diagram represent a bitstream deleted in the new version), in other words the file will be deleted only if
the Bitstream record processed is the only one to point to the file (count(INTERNAL_ID)=1).
Services to support Versioning and Alternative Identifiers
DSpace Item Versioning will be encapsulated as an Extensible Service that may be reimplemented by the local
repository maintainers to produce alternate versioning behaviors and Identifier Schemes. Versioning Services
layer on top of IdentifierServices dedicated to Encoding, Resolution, Minting and Registration of Identifiers for
specific DSpace Items and Bitstreams. It is through this highly extensible layering of functionality where local
developers can alter the versioning behavior and introduce their own local enhancements. The DSpace Service
Manager, based on the Spring Framework, provides the key leverage for this flexibility.
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Versioning Service
The Versioning Service will be responsible for the replication of one or more Items when a new version is
requested. The new version will not yet be preserved in the Repository, it will be preserved when the databases
transactional window is completed, thus when errors arise in the versioning process, the database will be
properly kept in its original state and the application will alert that an exception has occurred that is in need of
correction.
The Versioning Service will rely on a generic IdentifierService that is described below for minting and registering
any identifiers that are required to track the revision history of the Items.
public interface VersioningService {
Version createNewVersion(Context c, int itemId);
Version createNewVersion(Context c, int itemId, String summary);
void removeVersion(Context c, int versionID);
void removeVersion(Context c, Item item);
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Version getVersion(Context c, int versionID);
Version restoreVersion(Context c, int versionID);
Version restoreVersion(Context c, int versionID, String summary);
VersionHistory findVersionHistory(Context c, int itemId);
Version updateVersion(Context c, int itemId, String summary);
Version getVersion(Context c, Item item);
}
Identifier Service
The Identifier Service maintains an extensible set of IdentifierProvider services that are responsible for two
important activities in Identifier management:
1. Resolution: IdentifierService act in a manner similar to the existing HandleManager in DSpace, allowing
for resolution of DSpace Items from provided identifiers.
2. Minting: Minting is the act of reserving and returning an identifier that may be used with a specific
DSpaceObject.
3. Registering: Registering is the act of recording the existence of a minted identifier with an external
persistent resolver service. These services may reside on the local machine (HandleManager) or exist as
external services (PURL or EZID DOI registration services)
public interface IdentifierService {
/**
*
* @param context
* @param dso
* @param identifier
* @return
*/
String lookup(Context context, DSpaceObject dso, Class<? extends Identifier> identifier);
/**
*
* This will resolve a DSpaceObject based on a provided Identifier. The Service will
interrogate the providers in
* no particular order and return the first successful result discovered. If no
resolution is successful,
* the method will return null if no object is found.
*
* TODO: Verify null is returned.
*
* @param context
* @param identifier
* @return
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* @throws IdentifierNotFoundException
* @throws IdentifierNotResolvableException
*/
DSpaceObject resolve(Context context, String identifier) throws
IdentifierNotFoundException, IdentifierNotResolvableException;
/**
*
* Reserves any identifiers necessary based on the capabilities of all providers in the
service.
*
* @param context
* @param dso
* @throws org.dspace.authorize.AuthorizeException
* @throws java.sql.SQLException
* @throws IdentifierException
*/
void reserve(Context context, DSpaceObject dso) throws AuthorizeException, SQLException,
IdentifierException;
/**
*
* Used to Reserve a Specific Identifier (for example a Handle, hdl:1234.5/6) The
provider is responsible for
* Detecting and Processing the appropriate identifier, all Providers are interrogated,
multiple providers
* can process the same identifier.
*
* @param context
* @param dso
* @param identifier
* @throws org.dspace.authorize.AuthorizeException
* @throws java.sql.SQLException
* @throws IdentifierException
*/
void reserve(Context context, DSpaceObject dso, String identifier) throws
AuthorizeException, SQLException, IdentifierException;
/**
*
* @param context
* @param dso
* @return
* @throws org.dspace.authorize.AuthorizeException
* @throws java.sql.SQLException
* @throws IdentifierException
*/
void register(Context context, DSpaceObject dso) throws AuthorizeException,
SQLException, IdentifierException;
/**
*
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* Used to Register a Specific Identifier (for example a Handle, hdl:1234.5/6) The
provider is responsible for
* Detecting and Processing the appropriate identifier, all Providers are interrogated,
multiple providers
* can process the same identifier.
*
* @param context
* @param dso
* @param identifier
* @return
* @throws org.dspace.authorize.AuthorizeException
* @throws java.sql.SQLException
* @throws IdentifierException
*/
void register(Context context, DSpaceObject dso, String identifier) throws
AuthorizeException, SQLException, IdentifierException;
/**
* Delete (Unbind) all identifiers registered for a specific DSpace item. Identifiers
are "unbound" across
* all providers in no particular order.
*
* @param context
* @param dso
* @throws org.dspace.authorize.AuthorizeException
* @throws java.sql.SQLException
* @throws IdentifierException
*/
void delete(Context context, DSpaceObject dso) throws AuthorizeException, SQLException,
IdentifierException;
/**
* Used to Delete a Specific Identifier (for example a Handle, hdl:1234.5/6) The
provider is responsible for
* Detecting and Processing the appropriate identifier, all Providers are interrogated,
multiple providers
* can process the same identifier.
*
* @param context
* @param dso
* @param identifier
* @throws org.dspace.authorize.AuthorizeException
* @throws java.sql.SQLException
* @throws IdentifierException
*/
void delete(Context context, DSpaceObject dso, String identifier) throws
AuthorizeException, SQLException, IdentifierException;
}
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Configuration
Versioning Service Override
You can override the default behaviour of the Versioning Service using following XML configuration file,
deployed under your dspace installation directory:
[dspace_installation_dir]/config/spring/api/versioning-service.xml
In this file, you can specify which metadata fields are automatically "reset" (i.e. cleared out) during the creation
of a new item version. By default, all metadata values (and bitstreams) are copied over to the newly created
version, with the exception of dc.date.accessioned and dc.description.provenance. You may specify
additional metadata fields to reset by adding them to the "ignoredMetadataFields" property in the "versioningservice.xml" file:
<!-- Default Item Versioning Provider, defines behavior for replicating
Item, Metadata, Budles and Bitstreams. Autowired at this time. -->
<bean class="org.dspace.versioning.DefaultItemVersionProvider">
<property name="ignoredMetadataFields">
<set>
<value>dc.date.accessioned</value>
<value>dc.description.provenance</value>
</set>
</property>
</bean>
Identifier Service Override
You can override the default behaviour of the Identifier Service using following XML configuration file, deployed
under your dspace installation directory:
[dspace_installation_dir]/config/spring/api/identifier-service.xml
No changes to this file are required to enable Versioning. This file is currently only relevant if you aim to develop
your own implementation of versioning.
Version History Visibility
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By default, all users will be able to see the version history. To ensure that only administrators can see the
Version History, enable item.history.view.admin in following configuration file:
[dspace_installation_dir]/config/modules/versioning.cfg
item.history.view.admin=false
Identified Challenges & Known Issues in DSpace 4.0
Item Level Versioning has a substantial conceptual impact on many DSpace features. Therefore it has been
accepted into DSpace 3.0 as an optional feature and it is still an option feature in DSpace 4.0. Following
challenges have been identified in the current implementation. As an early adopter of the Item Level Versioning
feature, your input is greatly appreciated on any of these.
Only Administrators and Collection/Community Administrators can add new versions
There is currently no configuration option to allow submitters to create new versions of an item. This
functionality is restricted to Administrators and Collection/Community Administrators. In a context where original
submission of DSpace items is done by non-administrator users, it might also make sense to allow them to
create new versions. Especially given the fact that new versions have to pass through the workflow anyway.
Conceptual compatibility with Embargo
Lifting an embargo currently does not interact with Item Level Versioning. Additional implementation would be
required to ensure that lifting an embargo actually creates a new version of the item.
Conceptual compatibility with Item Level Statistics
Both on the level of pageviews and downloads, different versions of an item are treated as different items. As a
result, an end user will have the impression that the stats are being "reset" once a new version is installed,
because the previous downloads and pageviews are allocated to the previous version.
One possible solution would be to present an end user with aggregated statistics across all viewers, and give
administrators the possibility to view statistics per version.
Exposing version history
The version history is added on the bottom of a versioned item page. A repository administrator can either
decide to show this to all users, or restrict it to admins only. If it is shown to admins only, an end user will have
no way to find the way to an older version. On the other hand, if a repository administrator does decide to
expose version history to all users, the name and email address of the editor are exposed as well. This might
actually be useful if the editor account is a generic institutional email address, but may conflict with local privacy
laws if any personal details are included in this account.
Therefore, discussion has illustrated that there is a usecase for an intermediate exposure of version history that
hides the Editor column.
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You can join the discussion or contribute a new code here:
JIRA DS-1349 - Item Level Versioning exposes personal data
Credits
The initial contribution of Item Level Versioning to DSpace 3.0 was implemented by @mire with kind support
from:
MBLWHOI Library
Woods Hole Oceanographic Institution
Marine Biology Laboratory, Center for Library and Informatics, History and Philosophy of Science
program
Arizona State University, Center for Biology and Society
Dryad
The JSP UI compatibility has been added in DSpace 4.0 by CINECA
4.4.5 Mapping Items
Introduction
Using the Item Mapper
Implications
Mapping collection vs Owning collection
Mapping an item does not modify access rights
Introduction
The Item Mapper is a tool in the DSpace web user interface allowing repository managers to display the same
item in multiple collections at once. Thanks to this feature, a repository manager is not forced to duplicate items
to display them in different collections
Using the Item Mapper
In the XML User Interface, the item mapper can be accessed from the "Context" menu from a collection
homepage.
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In the JSP User Interface, the item mapper can be accessed from the "Admin Tools" menu on the right side of a
collection homepage.
Item Mapper - JSPUI Interface
Item Mapper - XMLUI Interface
The item mapper offers an interface to search for items in the repository with the goal of mapping them to the
collection from where you accessed the Item Mapper. While the JSPUI only offers a search for author names,
the XMLUI Item Mapper offers a broader search.
The list of items mapped into the current collection can be consulted through the Item Mapper page. While
JSPUI immediately shows the list of mapped items, the XMLUI requires you to click "Browse mapped items" in
order to access the list.
The list of mapped items provides the functionality to remove the mapping for selected items.
Implications
Mapping collection vs Owning collection
The relation between an item and the collection in which it is mapped is different from the relation that this item
has with the collection to which it was originally submitted. This second collection is referred to as the "owning"
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collection. When an item is deleted from the owning collection, it automatically disappears from the mapping
collection. From within the mapping collection, the only thing that can be deleted is the mapping relation.
Removing this mapping relation does not affect the presence of the item in the owning collection.
Mapping an item does not modify access rights
When an item gets mapped into a collection, it does not receive new access rights. I t retains the authorizations
that it inherited from the collection that "owns" it. Collection admins who do not have read access to an item will
not be able to map them to other collections.
4.4.6 Metadata Recommendations
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1 Recommended Metadata Fields
2 Local Fields
Recommended Metadata Fields
DSpace provides a broad list of metadata fields out of the box (see: Metadata and Bitstream Format Registries),
and a variety of options for adding content to DSpace (both from the UI and from other services). No matter
which Ingest option you use, DSpace recommends ensuring that the following metadata fields are specified:
Title (dc.title)
When submitting an Item via the DSpace web user interface, this field is required.
If you add an Item to DSpace through another means (SWORD, etc), it is recommend to specify a
title for an Item. Without a title, the Item will show up in DSpace a "Untitled".
Publication Date (dc.date.issued)
When submitting an Item via the DSpace web user interface, this field is required (by default).
However, your System Administrator can choose to enable the "Initial Questions" step
within the Submission User Interface. Enabling this step will cause the following to occur: If
the item is said to be "published", then the Publication Date will be required. If the item is
said to be "unpublished" then the Publication Date will be auto-set to today's date (date of
submission). WARNING: Google Scholar has recommended against automatically
assigning this "dc.date.issued" field to the date of submission as it often results in incorrect
dates in Google Scholar results. See DS-1481 and DS-1745 for more details.
If you add and Item to DSpace through another means (SWORD, etc), it is recommended to
specify the date in which an Item was published, in ISO-8601 (e.g. 2007, 2008-01, or 2011-03-04).
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This ensures DSpace can accurately report the publication date to services like Google Scholar. If
an item is unpublished, you can either chose to leave this blank, or pass in the literal string "today"
(which will tell DSpace to automatically set it to the date of ingest)
DSpace will not auto-assign a "dc.date.issued"
As of DSpace 4.0, the system will not assign a "dc.date.issued" when unspecified.
Previous versions of DSpace (3.0 or below) would set "dc.date.issued" to the date of
accession (dc.date.accessioned), if it was unspecified during ingest.
If you are adding content to DSpace without using the DSpace web user interface, there
are two recommended options for assigning "dc.date.issued"
If the item is previously published before, please set "dc.date.issued" to the date
of publication in ISO-8601(e.g. 2007, 2008-01, or 2011-03-04)
If the item has never been previously published, you may set "dc.date.
issued='today'" (the literal string "today"). This will cause DSpace to automatically
assign "dc.date.issued" to the date of accession (dc.date.accessioned), as it did
previously
You can also chose to leave "dc.date.issued" as unspecified, but then the
new Item will have an empty date within DSpace.
Obviously, we recommend specifying as much metadata as you can about a new Item. For a full list of
supported metadata fields, please see: Metadata and Bitstream Format Registries
Local Fields
You may encounter situations in which you will require an appropriate place to store information that does not
immediately fit with the description of a field in the default registry. The recommended practice in this situation is
to create new fields in a separate schema. You can choose your own name and prefix for this schema such as
local. or myuni.
It is generally discouraged to use any of the fields from the default schema as a place to store information that
doesn't correspond with the fields description. This is especially true if you are ever considering the option to
open up your repository metadata for external harvesting.
4.4.7 Moving Items
1 Moving Items via Web UI
2 Moving Items via the Batch Metadata Editor
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Moving Items via Web UI
It is possible for administrators to move items one at a time using either the JSPUI or the XMLUI. When editing
an item, on the 'Edit item' screen select the 'Move Item' option. To move the item, select the new collection for
the item to appear in. When the item is moved, it will take its authorizations (who can READ / WRITE it) with it.
If you wish for the item to take on the default authorizations of the destination collection, tick the 'Inherit default
policies of destination collection' checkbox. This is useful if you are moving an item from a private collection to a
public collection, or from a public collection to a private collection.
Note: When selecting the 'Inherit default policies of destination collection' option, ensure that this will not
override system-managed authorizations such as those imposed by the embargo system.
Moving Items via the Batch Metadata Editor
Items may also be moved in bulk by using the CSV batch metadata editor (see Editing Collection Membership
section under Batch Metadata Editing).
4.4.8 ORCID Integration
1 Introduction
2 Use case and high level benefits
3 Enabling the ORCID authority control
4 Importing existing authors & keeping the index up to date
4.1 Different possible use cases for Index-authority script
4.1.1 Metadata value WITHOUT authority key in metadata
4.1.2 Metadata that already has an authority key from an external source (NOT autogenerated by DSpace)
4.1.3 Metadata that has already a new dspace generated uid authority key
4.1.4 Processing on records in the authority cache
4.2 Submission of new DSpace items - Author lookup
4.3 Admin Edit Item
4.4 Editing existing items using Batch CSV Editing
4.5 Storage of related metadata
5 Configuration
6 Adding additional fields under ORCID
7 Integration with other systems beside ORCID
8 FAQ
8.1 Which information from ORCID is currently indexed in the authority cache?
8.2 How can I index additional fields in the authority cache?
8.3 How can I use the information stored in the authority cache?
8.4 How to add additional metadata fields in the authority cache that are not related to ORCID?
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8.5 What happens to data if another authority control was already present?
8.6 Where can I find the URL that is used to lookup ORCIDs?
Introduction
The ORCID integration adds ORCID compatibility to the existing solutions for Authority control in DSpace.
String names of authors are still being stored in DSpace metadata. The authority key field is leveraged to store
a uniquely generated internal ID that links the author to more extended metadata, including the ORCID ID and
alternative author names.
This extended metadata is stored and managed in a dedicated SOLR index, the DSpace authority cache.
Use case and high level benefits
The vision behind this project consists of the following two aspects:
Lowering the threshold to adopt ORCID for the members of the DSpace community
ORCID’s API has enabled developers across the globe to build points of integration between ORCID and third
party applications. Up until today, this meant that members of the DSpace community were still required to
implement front-end and back-end modifications to the DSpace source code in order to leverage these APIs. As
DSpace aims to provide turnkey Institutional Repository functionality, the platform is expected to provide more
functionality out of the box. Only an elite selection of members in the DSpace community has software
development resources readily available to implement this kind of functionality. By contributing a solution
directly to the core DSpace codebase, this threshold to adopt ORCID functionality in DSpace repositories is
effectively lowered. The ultimate goal is to allow easy adoption of ORCID without customization of the DSpace
software, by allowing repository administrators to enable or disable functionality by means of user friendly
configuration.
Address generic use cases with appealing end user functionality
This proposal aims to provide user friendly features for both repository administrators as well as non- technical
end users of the system. The addition of ORCID functionality to DSpace should not come at the cost of making
the system more difficult for administrators and end users to use. Scope With this vision in mind, the project
partners wanted to tackle the first phases for repository managers of existing DSpace repositories: ensuring that
ORCIDs are properly associated with new works entering the system, as well as providing functionality to
efficiently batch-update content already existing in the system, with unambiguous author identity information.
Enabling the ORCID authority control
JSPUI Support
In DSpace 5.0 the functionality only includes user interface functionality for the DSpace XML User
Interface.
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XMLUI Theme Support
In DSpace 5.0 the functionality only adds support for the XMLUI Mirage and Mirage 2 themes. Older
XMLUI themes including Kubrick, Reference and Classic are currently unsupported.
If you wish to enable this feature, some changes are required to the dspace.cfg file. The first step is to
activate the authority as a valid option for authority control, this is done by adding/setting an additional plugin in
the plugin.named.org.dspace.content.authority.ChoiceAuthority property. An example of this
can be found below.
plugin.named.org.dspace.content.authority.ChoiceAuthority = \
org.dspace.content.authority.SolrAuthority = SolrAuthorAuthority
The feature relies on the following configuration parameters in dspace.cfg. To activate the default settings it
suffices to remove the comment hashes ("#") for the following lines. See the section at the bottom of this page
what these parameters mean exactly and how you can tweak the configuration.
solr.authority.server=${solr.server}/authority
choices.plugin.dc.contributor.author = SolrAuthorAuthority
choices.presentation.dc.contributor.author = authorLookup
authority.controlled.dc.contributor.author = true
authority.author.indexer.field.1=dc.contributor.author
The final part of configuration is to add the authority consumer in front of the list of event consumers. Add
"authority" in front of the list as displayed below.
event.dispatcher.default.consumers = authority, versioning, discovery, eperson, harvester
Importing existing authors & keeping the index up to date
When first enabled the authority index will be empty, to populate the authority index run the following script:
[dspace]/bin/dspace index-authority
This will iterate over every metadata under authority control and create records of them in the authority index.
The metadata without an authority key will each be updated with an auto generated authority key. These will not
be matched in any way with other existing records. The metadata with an authority key that does not already
exist in the index will be indexed with those authority keys. The metadata with an authority key that already exist
in the index will be re-indexed the same way. These records remain unchanged.
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Different possible use cases for Index-authority script
Metadata value WITHOUT authority key in metadata
“Luyten, Bram” is present in the metadata without any authority key.
GOAL: “Luyten, Bram” gets added in the cache ONCE
All occurences of “Luyten, Bram” in the DSpace item metadata will become linked with the same generated uid.
Metadata that already has an authority key from an external source (NOT auto-generated by
DSpace)
“Snyers, Antoine” is present with authority key “u12345”
The old authority key needs to be preserved in the item metadata and duplicated in the cache.
“u12345” will be copied to the authority cache and used as the authority key there.
Metadata that has already a new dspace generated uid authority key
Item metadata already contains an author with name “Haak, Danielle” and a uid in the authority field 3dda25716be8-4102-a47b-5748531ae286
This uid is preserved and no new record is being created in the authority index.
Processing on records in the authority cache
Running this script again will update the index and keep the index clean. For example if an author occurs in a
single item and that item is deleted the script will need to be run again to remove it from the index. When run
again it will remove all records that no longer have a link to existing authors in the database.
Submission of new DSpace items - Author lookup
The submissions forms have not changed much. The only thing you can notice is an extra button next to the
input fields for the author names. Next to the Add button, which is common for all repeatable fields, there is the
Lookup & Add button.
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It's by clicking on that button that the Look-up User Interface appears. If an author name was filled in but not
added yet, the Lookup User Interface will immediately perform a search for that name. Otherwise the search
field remains empty and a list of known authors is displayed. The list of authors is updated as you type in the
search box.
Authors that already appear somewhere in the repository are differentiated from the authors that have been
retrieved from ORCID.
The authors retrieved from ORCID have their name italicized and they're listed after the authors that are found
in the repository.
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Click on one of these names to see more information about them. The message "There's no one selected" will
vanish, making room for the author's information. The available information can vary: Authors imported from
ORCID have an orcid where the others do not. Authors that have been added without look-up only show their
last name and first name.
To add an author from the Look-up User Interface, you select the author in the list and then you click on the
"Add This Person" button.
To add an author without look-up, you don't go through the Look-up User Interface. Instead you simply use the
"Add" button in the submissions forms.
Admin Edit Item
In the edit metadata page, under the values for the dc.contributor.author fields, an extra line shows the author
ID together with a lock icon and a Lookup button. The author ID cannot be changed manually. However the
Lookup button will help you change the author name and ID at the same time.
Clicking the Lookup button brings back the Lookup User Interface. This works just the same way as in the
submission forms.
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Editing existing items using Batch CSV Editing
Instructions on how to use the Batch CSV Editing are found on the Batch Metadata Editing documentation page
.
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ORCID Integration is provided through the Batch CSV Editing feature with an extra available headers "ORCID:
dc.contributor.author". The usual CSV headers only contain the metadata fields: e.g. "dc.contributor.author". In
addition to the traditional header, another dc.contributor.author header can be added with the "ORCID:" prefix.
The values in this column are supposed to be ORCIDs.
For each of the ORCID authors a lookup will be done and their names will be added to the metadata. All the
non-ORCID authors will be added as well. The authority keys and solr records are added when the reported
changes are applied.
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Storage of related metadata
ORCID authorities not only link a digital identifier to a name. It regroups a load of metadata going from
alternative names and email addresses to keywords about their works and much more. The metadata is
obtained by querying the ORCID web services. In order to avoid querying the ORCID web services every time,
all these related metadata is gathered in a "metadata authority cache" that DSpace can access directly.
In practice the cache is provided by an apache solr server. When a look-up is made and an author is chosen
that is not yet in the cache, a record is created from an ORCID profile and added to the cache with the list of
related metadata. The value of the Dublin Core metadata is based on the first and last name as they are set in
the ORCID profile. The authority key for this value links directly to the solr document's id. DSpace does not
provide a way to edit these records manually.
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The information in the authority cache can be updated by running the following command line operation:
Command used:
[dspace]/bin/dspace dsrun org.dspace.authority.UpdateAuthorities
Arguments
description
-i
update specific solr records with the given internal ids (comma-separated)
-h
prints this help message
This will iterate over every solr record currently in use (unless the -i argument is provided), query the ORCID
web service for the latest data and update the information in the cache. If configured, the script will also update
the metadata of the items in the repository where applicable.
The configuration property can be set in config/modules/solrauthority.cfg:
auto-update-items = false | true
When set to true and this is script is run, if an authority record's information is updated the whole repository will
be scanned for this authority. Every metadata field with this authority key will be updated with the value of the
updated authority record.
Configuration
In the Enabling the ORCID authority control section, you have been told to add this block of configuration.
solr.authority.server=${solr.server}/authority
choices.plugin.dc.contributor.author = SolrAuthorAuthority
choices.presentation.dc.contributor.author = authorLookup
authority.controlled.dc.contributor.author = true
authority.author.indexer.field.1=dc.contributor.author
The ORCID Integration feature is an extension on the authority control in DSpace. Most of these properties are
extensively explained on the Authority Control of Metadata Values documentation page. These will be revisited
but first we cover the properties that have been newly added.
The solr.authority.server is the url to the solr core. Usually this would be on the solr.server
next to the oai, search and statistics cores.
authority.author.indexer.field.1 and the subsequent increments configure which fields will be
indexed in the authority cache. However before adding extra fields into the solr cache, please read the
section about Adding additional fields under ORCID.
That's it for the novelties. Moving on to the generic authority control properties:
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With the authority.controlled property every metadata field that needs to be authority controlled is
configured. This involves every type of authority control, not only the fields for ORCID integration.
The choices.plugin should be configured for each metadata field under authority control. Setting the
value on SolrAuthorAuthority tells DSpace to use the solr authority cache for this metadatafield, cfr.
Storage of related metadata.
The choices.presention should be configured for each metadata field as well. The traditional values
for this property are select|suggest|lookup. A new value, authorLookup, has been added to be
used in combination with the SolrAuthorAuthority choices plugin. While the other values can still be used,
the authorLookup provides a richer user interface in the form of a popup on the submission page.
The browse indexes need to point to the new authority-controlled index: webui.browse.index.2 =
author:metadata:dc.contributor.*,dc.creator:text should become webui.browse.index.2
= author:metadataAuthority:dc.contributor.author:authority
More existing configuration properties are available but their values are independent of this feature and
their default values are usually fine: choices.closed , authority.required, authority.
minconfidence .
For the cache update script, one property can be set in config/modules/solrauthority.cfg:
auto-update-items = false | true
The default value for when the property is missing is false.
The final part of configuration is to add the authority consumer in front of the list of event consumers. Add
"authority" in front of the list as displayed below.
event.dispatcher.default.consumers = authority, versioning, discovery, eperson, harvester
Without the consumer there is no automatic indexing of the authority cache and the metadata will not even have
authority keys.
Changes to the configuration always require a server restart before they're in effect.
Adding additional fields under ORCID
Other metadata fields besides "dc.contributor.author" can benefit from the ORCID authority control at the same
time. Here is an example of how to get the same ORCID functionality for the "dc.contributor.editor" metadata
field assuming that "dc.contributor.author" is already configured correctly. It can be achieved by modifying
configuration files only.
First add the same configuration fields that have been added for the "dc.contributor.author"
choices.plugin.dc.contributor.editor = SolrAuthorAuthority
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choices.presentation.dc.contributor.editor = authorLookup
authority.controlled.dc.contributor.editor = true
authority.author.indexer.field.1=dc.contributor.author
authority.author.indexer.field.2=dc.contributor.editor
This is enough to get the look-up interface on the submission page and on the edit metadata page. The
authority keys will be added and indexed with the information from orcid just as it happens with the Authors.
But you're not completely done yet, There is one more configuration step. Because now when adding new
editors in the metadata that are not retrieved through the external look-up, their first and last name will not be
displayed in the look-up interface next time you look for them.
To fix this, open the file at config/spring/api/orcid-authority-services.xml and find this spring
bean:
<bean name="AuthorityTypes" class="org.dspace.authority.AuthorityTypes">
<property name="types">
<list>
<bean class="org.dspace.authority.orcid.OrcidAuthorityValue"/>
<bean class="org.dspace.authority.PersonAuthorityValue"/>
</list>
</property>
<property name="fieldDefaults">
<map>
<entry key="dc_contributor_author">
<bean class="org.dspace.authority.PersonAuthorityValue"/>
</entry>
</map>
</property>
</bean>
The map inside the "fieldDefaults" property needs an additional entry for the editor field:
<entry key="dc_contributor_editor">
<bean class="org.dspace.authority.PersonAuthorityValue"/>
</entry>
With this last change everything is set up to work correctly. The rest of this configuration file is meant for JAVA
developers that wish to provide integration with other systems beside ORCID. Developers that wish to display
other fields than first and last name can also have a look in that section.
Note: Each metadata field has a separate set of authority records. Authority keys are not shared between
different metadata fields. E. g. multiple dc.contributor.author can have the same authority key and point to the
same authority record in the cache. But when an ORCID is chosen for a dc.contributor.editor field, a separate
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record is made in the cache. Both records are updated from the same source and will contain the same
information. The difference is that when performing a look-up of a person that has been introduced as an
authority for an author field but not yet as an editor, it will show as record that is not yet present in the repository
cache.
Integration with other systems beside ORCID
The authority cache and look-up functionality can be extended to use other sources than ORCID or to show
more information in the look-up interface. However some JAVA development is necessary for this. Specific
instructions can be found in the readme file of the org.dspace.authority package.
FAQ
Which information from ORCID is currently indexed in the authority cache?
Here is a breakdown of the fields stored in the solr cache.
The system/dspace related fields are: id, field, value, deleted, creation_date, last_modified_date, authority_type
.
The fields with data coming directly from ORCID are: first_name, last_name, name_variant, orcid_id,
label_researcher_url, label_keyword, label_external_identifier, label_biography, label_country. The field
all_labels contains all the values from the other fields starting with "label_".
How can I index additional fields in the authority cache?
There is currently no configuration to control which fields are indexed. The only way to achieve this is to modify
the source code.
List of the files at work for this job:
config/spring/api/orcid-authority-services.xml: OrcidSource contains the URL for orcid's REST
API.
org.dspace.authority.orcid.Orcid makes the REST call
+ org.dspace.authority.orcid.xml.XMLtoBio converts the received XML to a java object (Bio).
+ org.dspace.authority.orcid.model.Bio
+ org.dspace.authority.orcid.OrcidAuthorityValue#create(org.dspace.authority.orcid.model.Bio) inserts all the
values from Bio into the AuthorityValue subclass.
+ org.dspace.authority.orcid.OrcidAuthorityValue#getSolrInputDocument defines what's included in solr.
The files preceded with a '+' would be necessary to modify to add more info into the cache.
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How can I use the information stored in the authority cache?
The look-up UI is currently the only place this information is sent to. However just a limited number of fields are
sent. The place in the source code to modify to get more fields there is org.dspace.authority.orcid.
OrcidAuthorityValue#choiceSelectMap. This is also documented in the readme of the org.dspace.authority
package.
How to add additional metadata fields in the authority cache that are not related to
ORCID?
Make the same configuration step as for adding additional fields under ORCID. Currently the ORCID
suggestions cannot be turned off for specific fields, that would require custom code.
What happens to data if another authority control was already present?
As long as the metadata does not get indexed, there will be no changes. However every time any metadata of
an item is modified, the metadata under authority control for that item will be re-indexed. When that happens a
record will be inserted in the solr cache. That record's ID will be the authority key of the metadata. This can be
done for all metadata at once with the index-authority script.
In short: authority keys that exist prior to enabling the solrauthority are kept. They just won't show in the look-up
until they are indexed.
Where can I find the URL that is used to lookup ORCIDs?
It is found in the config/spring/api/orcid-authority-services.xml configuration file. Look for the
<bean name="OrcidSource">, which is initialized with a URL of http://pub.orcid.org
4.4.9 PDF Citation Cover Page
Enabling PDF Cover Pages may affect your site's visibility in Google Scholar (and similar
search engines)
Google Scholar specifically warns against automatically generating PDF Cover Pages, as they can
break the metadata extraction techniques used by their search engine. Be aware that enabling PDF
Cover Pages may also cause those items to no longer be indexed by Google Scholar. For more
information, please see the "Indexing Repositories: Pitfalls and Best Practices" talk from Anurag
Acharya (co-creator of Google Scholar) presented at the Open Repositories 2015 conference.
Adding a cover page to retrieved documents from DSpace that include additional citation information has been
sought, as documents uploaded to the repository might have had their context stripped from them, when they
are just a PDF. Context that might have surrounded the document would be the journal, publisher, edition, and
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more. Without that information, the document might just be a few pages of text, with no way to piece it together.
Since repository policy might be to include this information as metadata to the Item, this metadata can be added
to the citation cover page, so that the derivative PDF includes all of this information.
The citation cover page works by only storing the original PDF in DSpace, and then generating the citationcover-page PDF on-the-fly. An alternative set up would be to run the PDF Citation Coverpage Curation Task on
the DSpace repository contents, and then disseminate the pre-generated citation-version instead of generating
it on the fly.
Screenshot of generated citation cover page
Configuration settings for Citation Cover Page
In the {dspace.dir}/config/modules/disseminate-citation.cfg file review the following fields to make sure they
are uncommented:
Property:
enable_globally
Example
enable_globally = true
Values:
Informational
Boolean to determine is citation-functionality is enabled globally for entire site. This will enable
Note:
the citation cover page generator for all PDFs.
Default: disabled
Property:
enabled_collections
Example
enabled_collections = 1811/123, 1811/234
Values:
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Property:
enable_globally
Informational
List of collection handles to enable the cover page generator for bitstreams within.
Note:
Default: blank
Property:
enabled_communities
Example
enabled_communities = 1811/222, 1811/333
Values:
Informational
List of community handles to enable the cover page generator for bitstreams within.
Note:
Default: blank
Property:
citation_as_first_page
Example
citation_as_first_page = true
Values:
Informational
Should the citation page be the first page cover (true), or the last page (false).
Note:
Default: true, (first page)
Property:
header1
Example
header1 = University of Higher Education
Values:
Informational
First row of header, perhaps for institution / university name
Note:
Default: DSpace Institution
Property:
header2
Example
header2 = Scholar Archive, http://archive.example.com
Values:
Informational
Second row of header, perhaps put your DSpace instance branded name, and url to your
Note:
DSpace. A comma is used to separate instance name, and the URL
Default: DSpace Repository, http://dspace.org
Property:
fields
Example
fields = dc.date.issued, dc.title, dc.creator, dc.contributor.author, dc.publisher, _line_, dc.
Values:
identifier.citation, dc.identifier.uri
Informational
Metadata fields to display on the citation PDF. Specify in schema.element.qualifier form, and
Note:
separate fields by a comma. If you want to have a horizontal line break, use _line_
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Property:
enable_globally
Default: dc.date.issued,dc.title,dc.creator,dc.contributor.author,dc.publisher,_line_,dc.identifier.
citation,dc.identifier.uri
Property:
footer
Example
footer = Downloaded from Scholar Archive at University of Higher Education, an open access
Values:
institutional repository. All Rights Reserved.
Informational
Footer text at the bottom of the citation page. It might be some type of license or copyright
Note:
information, or just letting the recipient know where they downloaded the file from.
Default: Downloaded from DSpace Repository, DSpace Institution's institutional repository
A known issue with the current implementation of the PDF Citation Cover Page is that primarily only English
/Roman characters are supported. This is due to a limitation in the tool used to generate PDFs.
4.4.10 Updating Items via Simple Archive Format
1 Item Update Tool
1.1 DSpace Simple Archive Format
1.2 ItemUpdate Commands
1.2.1 CLI Examples
Item Update Tool
ItemUpdate is a batch-mode command-line tool for altering the metadata and bitstream content of existing items
in a DSpace instance. It is a companion tool to ItemImport and uses the DSpace simple archive format to
specify changes in metadata and bitstream contents. Those familiar with generating the source trees for
ItemImporter will find a similar environment in the use of this batch processing tool.
For metadata, ItemUpdate can perform 'add' and 'delete' actions on specified metadata elements. For
bitstreams, 'add' and 'delete' are similarly available. All these actions can be combined in a single batch run.
ItemUpdate supports an undo feature for all actions except bitstream deletion. There is also a test mode, as
with ItemImport. However, unlike ItemImport, there is no resume feature for incomplete processing. There is
more extensive logging with a summary statement at the end with counts of successful and unsuccessful items
processed.
One probable scenario for using this tool is where there is an external primary data source for which the
DSpace instance is a secondary or down-stream system. Metadata and/or bitstream content changes in the
primary system can be exported to the simple archive format to be used by ItemUpdate to synchronize the
changes.
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A note on terminology: item refers to a DSpace item. metadata element refers generally to a qualified or
unqualified element in a schema in the form [schema].[element].[qualifier] or [schema].
[element] and occasionally in a more specific way to the second part of that form. metadata field refers to a
specific instance pairing a metadata element to a value.
DSpace Simple Archive Format
As with ItemImporter, the idea behind the DSpace's simple archive format is to create an archive directory with
a subdirectory per item. There are a few additional features added to this format specifically for ItemUpdate.
Note that in the simple archive format, the item directories are merely local references and only used by
ItemUpdate in the log output.
The user is referred to the previous section DSpace Simple Archive Format.
Additionally, the use of a delete_contents is now available. This file lists the bitstreams to be deleted, one
bitstream ID per line. Currently, no other identifiers for bitstreams are usable for this function. This file is an
addition to the Archive format specifically for ItemUpdate.
The optional suppress_undo file is a flag to indicate that the 'undo archive' should not be written to disk. This file
is usually written by the application in an undo archive to prevent a recursive undo. This file is an addition to the
Archive format specifically for ItemUpdate.
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ItemUpdate Commands
Command used:
[dspace]/bin/dspace itemupdate
Java class:
org.dspace.app.itemupdate.ItemUpdate
Arguments short and
Description
(long) forms:
-a or --
Repeatable for multiple elements. The metadata element should be in the form dc.x
addmetadata
or dc.x.y. The mandatory argument indicates the metadata fields in the dublin_core.
[metadata
xml file to be added unless already present (multiple fields should be separated by a
element]
semicolon ';'). However, duplicate fields will not be added to the item metadata
without warning or error.
-d or --
Repeatable for multiple elements. All metadata fields matching the element will be
deletemetadata
deleted.
[metadata
element]
-A or --
Adds bitstreams listed in the contents file with the bitstream metadata cited there.
addbitstreams
-D or --
Not repeatable. With no argument, this operation deletes bitstreams listed in the
deletebitstreams
deletes_contents file. Only bitstream IDs are recognized identifiers for this
[filter plug
operation. The optional filter argument is the classname of an implementation of
classname or
org.dspace.app.itemdupate.BitstreamFilter class to identify files for
alias]
deletion or one of the aliases (e.g. ORIGINAL, ORIGINAL_AND_DERIVATIVES,
TEXT, THUMBNAIL) which reference existing filters based on membership in a
bundle of that name. In this case, the delete_contents file is not required for any
item. The filter properties file will contains properties pertinent to the particular filer
used. Multiple filters are not allowed.
-h or --help
Displays brief command line help.
-e or --eperson
Email address of the person or the user's database ID (Required)
-s or --source
Directory archive to process (Required)
-i or --itemfield
Specifies the metadata field that contains the item's identifier; Default value is "dc.
identifier.uri" (Optional)
-t or --test
Runs the process in test mode with logging. But no changes applied to the DSpace
instance. (Optional)
-P or --provenance
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Prevents any changes to the provenance field to represent changes in the bitstream
content resulting from an Add or Delete. In other words, when this flag is specified,
no new provenance information is added to the DSpace Item when adding/deleting a
bitstream. No provenance statements are written for thumbnails or text derivative
bitstreams, in keeping with the practice of MediaFilterManager. (Optional)
-F or --filter-
The filter properties files to be used by the delete bitstreams action (Optional)
properties
-v or --verbose
Turn on verbose logging.
CLI Examples
Adding Metadata:
[dspace]/bin/dspace itemupdate -e [email protected] -s [path/to/archive] -a dc.description
This will update all DSpace Items listed in your archive directory, adding a new dc.description metadata
field. Items will be located in DSpace based on the handle found in 'dc.identifier.uri' (since the -i argument
wasn't used, the default metadata field, dc.identifier.uri, from the dublin_core.xml file in the archive folder, is
used).
4.5 Managing Community Hierarchy
1 Sub-Community Management
4.5.1 Sub-Community Management
DSpace provides an administrative tool‚ 'CommunityFiliator'‚ for managing community sub-structure. Normally
this structure seldom changes, but prior to the 1.2 release sub-communities were not supported, so this tool
could be used to place existing pre-1.2 communities into a hierarchy. It has two operations, either establishing a
community to sub-community relationship, or dis-establishing an existing relationship.
The familiar parent/child metaphor can be used to explain how it works. Every community in DSpace can be
either a 'parent' community‚ meaning it has at least one sub-community, or a 'child' community‚ meaning it is a
sub-community of another community, or both or neither. In these terms, an 'orphan' is a community that lacks a
parent (although it can be a parent); 'orphans' are referred to as 'top-level' communities in the DSpace userinterface, since there is no parent community 'above' them. The first operation‚ establishing a parent/child
relationship - can take place between any community and an orphan. The second operation - removing a parent
/child relationship‚ will make the child an orphan.
Command used:
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[dspace]/bin/dspace community-filiator
Java class:
org.dspace.administer.CommunityFiliator
Arguments short and (long) forms:
Description
-s or --set
Set a parent/child relationship
-r or --remove
Remove a parent/child relationship
-c or --child
Child community (Handle or database ID)
-p or --parent
Parent community (Handle or database ID
-h or --help
Online help.
Set a parent/child relationship, issue the following at the CLI:
[dspace]/bin/dspace community-filiator --set --parent=parentID --child=childID
(or using the short form)
[dspace]/bin/dspace community-filiator -s -p parentID -c childID
where '-s' or '-set' means establish a relationship whereby the community identified by the '-p' parameter
becomes the parent of the community identified by the '-c' parameter. Both the 'parentID' and 'childID' values
may be handles or database IDs.
The reverse operation looks like this:
[dspace]/bin/dspace community-filiator --remove --parent=parentID --child=childID
(or using the short form)
[dspace]/bin/dspace community-filiator -r -p parentID -c childID
where '-r' or '-remove' means dis-establish the current relationship in which the community identified by
'parentID' is the parent of the community identified by 'childID'. The outcome will be that the 'childID' community
will become an orphan, i.e. a top-level community.
If the required constraints of operation are violated, an error message will appear explaining the problem, and
no change will be made. An example in a removal operation, where the stated child community does not have
the stated parent community as its parent: "Error, child community not a child of parent community".
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It is possible to effect arbitrary changes to the community hierarchy by chaining the basic operations together.
For example, to move a child community from one parent to another, simply perform a 'remove' from its current
parent (which will leave it an orphan), followed by a 'set' to its new parent.
It is important to understand that when any operation is performed, all the sub-structure of the child community
follows it. Thus, if a child has itself children (sub-communities), or collections, they will all move with it to its new
'location' in the community tree.
4.6 Statistics and Metrics
4.6.1 DSpace Google Analytics Statistics
Google Analytics Recording
For a number of years now it has been possible to record User Interface traffic by enabling the recording of
Google Analytics data within DSpace using the jspui.google.analytics.key or xmlui.google.analytics.key in the
DSpace configuration file dspace.cfg. Until DSpace version 5.0 only User Interface activity could be recorded,
that is to say that downloads initiated straight from a Google search (or any other search engine) were not
recorded. As of DSpace version 5.0 downloads are now recorded as Google 'Events', so that all item page
views and bitstream downloads are now recorded.
Google Analytics Reporting
As of DSpace version 5.0 it has also become possible to expose that recorded Google Analytics data within
DSpace. At present this is only available to those sites using themes based on the XMLUI Mirage2 theme but it
is hoped that further development will result in it being available for other XMLUI themes and for the JSPUI. The
data is retrieved from Google using the Google Analytics Reporting API v3. This feature is disabled by default,
to enable it please follow the instructions below.
Please read the documentation found at https://developers.google.com/analytics/devguides/reporting/core/v3/
and https://developers.google.com/accounts/docs/OAuth2ServiceAccount. It is the definitive documentation,
however, it is over detailed for our purposes so the critical steps are summarised below. The theory is that as a
developer you would create a Google project, write your application and store the code in the Google code
repository, then create a Google Service Account which your application could use to retrieve data from the
Google Analytics API. In our case we already have our application, DSpace, but we still have to go through the
motions of creating a project in order to be able to be able to generate the Service Account which we need to
allow DSpace to talk to the Google Analytics API.
1. Enable the Google Analytics XMLUI aspect by editing the configuration file {dspace.dir}/config/xmlui.
xconf.
2. Logon to the Google Developers Console https://console.developers.google.com/project with whatever
email address you use to access/manage your existing Google Analytics account(s).
3.
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3. Create a new Google Project. The assumption is that you are developing some new software and will
make use of the Google code repository. This is not the case but you need to create the skeleton project
before you can proceed to the next step.
4. Enable the Analytics API for the project. In the sidebar on the left, expand APIs & auth. Next, click APIs.
In the list of APIs, make sure the status is ON for the Analytics API.
5. In the sidebar on the left, select Credentials.
6. Select OAuth / Create new Client ID, then in the subsequent popup screen select Service account.
This will automatically generate the required Service Account email address and certificate.
7. Go to your Google Analytics dashboard http://www.google.com/analytics/. Create an account for the
newly generated Service Account email address and give it permission to 'Read and Analyze' at account
level. See *Note below.
8. Download the P12 key file, and place it somewhere that your DSpace application can access and be
referenced as described below in the configuration section.
*Note:- The Google documentation specifies that the Service Account email address should only require 'Read
and Analyze' permission to this specific Property, it does not need permissions to your Account level Google
Analytics.
Configuration settings for Google Analytics Statistics
In the {dspace.dir}/config/modules/google-analytics.cfg file review the following fields to make sure they are
uncommented:
Property:
application.name
Value:
Dummy Project
Informational
Not sure if this property is required but it was in the example code provided by Google. Please do not delete.
Note:
Property:
table.id
Example
ga:12345678
Value:
Informational
Logon to the Google Analytics Dashboard and select the Property (or website in plain English) that you wish t
Note:
Then select the Admin section for the property. You should then be able to select the 'View Settings' for the v
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All Web Site Data) you are interested in. The View ID should replace 12345678 below (note - confusingly the
Reporting API documentation refers to the View ID as Table ID). This is not the same as your Property Settin
Tracking ID (i.e. UA-112233-6)
Account[Longsight DSpace Clients] -> Property[SUNY Dev] -> View[All Web Site Data] -> View Settings
Then this value is the View ID:
Property:
account.email
Example
[email protected]ccount.com
Value:
Informational
The email address automatically generated when you created the Service Account.
Note:
Property:
certificate.location
Example
/home/myudspace/var/MYU-abc123.p12
Value:
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Informational
The certificate file automatically generated when you created the Service Account. The credentials site will ge
Note:
JSON file, and then separately you have to download a new P12 file. Copy it somewhere to your DSpace ser
set this property to the path.
Property:
authorization.admin.usage
Example
true
Value:
Informational
Control if the statistics pages should be only shown to authorized users. If enabled, only the administrators fo
Note:
DSpaceObject will be able to view the statistics. If disabled, anyone with READ permissions on the DSpaceO
be able to view the statistics.
Once Google Analytics Statistics is enabled and configured, you can then view reports. An example report looks
like:
http://localhost:8080/xmlui/handle/999/1/google-stats
4.6.2 Elasticsearch Usage Statistics
Added in DSpace 3.0 is an optional statistics engine using Elasticsearch, which may be enabled as an
alternative to the default SOLR Statistics engine (based on Apache SOLR). The motivation for adding
Elasticsearch was to find an alternative statistics processing engine that would handle the workload of a large
amount of statistics data. Additionally, the Elasticsearch statistics display offers another method for creating
statistical queries against your data. Elasticsearch Usage Statistics has been contributed by Peter Dietz of Ohio
State University's Knowledge Bank. The data source for Elasticsearch Statistics is DSpace Usage Events,
where Usage Event is a view or download of a DSpace Object (Bitstream, Item Page, Collection Page,
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Community Page). Elasticsearch Statistics is bundled with DSpace, and requires no additional installation of
software, it just needs to be enabled. Elasticsearch is only available for use with XMLUI.
What data is being recorded?
The default information below is what DSpace will record about a Usage Event. In DSpace 3.0 the fields of data
collected is not configurable through a configuration setting.
Information about the User Requesting the Content
IP Address
Time of Request
DNS / Hostname
User Agent
isBot, a flag that DSpace thinks that user is a robot or not
Geographical Information about where the user is located:
Continent
Country
Country Code
City
Geographical Latitude/Longitude
Information about the DSpace Resource that was used
DSpace Object ID
DSpace Object Type: (Item, Bitstream, Collection, or Community)
If it is relevant, we also store the hierarchy of where this object exists within DSpace
Owning Community
Owning Collection
Owning Item
Enabling Elasticsearch Statistics
Elasticsearch Statistics is disabled by default in DSpace 3.0, the following steps will enable Elasticsearch so
that you can collect data, and present statistics reports.
Modify dspace/config/xmlui.xconf, and uncomment the aspect, Statistics Elasticsearch.
Enable Elastic Search Statistics in dspace/config/xmlui.xconf
<!-If you prefer to use "Elasticsearch" Statistics, you can uncomment the below
aspect and COMMENT OUT the default "Statistics" aspect above.
You must also enable the ElasticSearchLoggerEventListener.
-->
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<!-- <aspect name="Statistics - Elasticsearch" path="resource://aspects
/StatisticsElasticSearch/" /> -->
Modify dspace-xmlui/src/main/webapp/WEB-INF/spring/applicationContext.xml and uncomment the following
code block for ElasticSearchLoggerEventListener
Enable ElasticSearchLoggerEventListener
<!-- Elasticsearch -->
<!--<bean class="org.dspace.statistics.ElasticSearchLoggerEventListener">
<property name="eventService">
<ref bean="dspace.eventService" />
</property>
</bean>-->
After making these two changes, you will then need to rebuild and restart DSpace.
Importing Legacy Data into Elasticsearch Statistics
Once Elasticsearch Statistics has been enabled, it will begin adding all new Usage Events to its data store. To
import your legacy data, you will need to import the data from the dspace.log files. There is no tool yet that
converts SOLR statistics data to Elasticsearch statistics data.
From the (Windows / Linux) terminal, you will need to use the DSpace Command Launcher to convert the
dspace.log files to a statistics log format. Then you will need to import the statistics log format files into DSpace
Statistics.
The Log Converter program converts log files from dspace.log into an intermediate format that can be inserted
into Elasticsearch Statistics.
Command used:
[dspace]/bin/dspace stats-log-converter
Java class:
org.dspace.statistics.util.ClassicDSpaceLogConverter
Arguments short and
Description
long forms):
Input file
-i or --in
Output file
-o or --out
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Adds a wildcard at the end of input and output, so it would mean if -i dspace.
-m or --multiple
log -m was specified, dspace.log* would be converted. (i.e. all of the following:
dspace.log, dspace.log.1, dspace.log.2, dspace.log.3, etc.)
If the log files have been created with DSpace 1.6 or newer
-n or --newformat
Display verbose output (helpful for debugging)
-v or --verbose
Help
-h or --help
An example form of this command would be [dspace]/bin/dspace stats-log-converter -i dspace.
log -o statistics.log -m -n
The Log Importer program takes the intermediate format data produced in the previous step, and imports it into
Elasticsearch Statistics.
Command used:
[dspace]/bin/dspace stats-log-importer-elasticsearch
Java class:
org.dspace.statistics.util.StatisticsImporterElasticSearch
Arguments short
Description
and long forms):
Input file
-i or --in
Adds a wildcard at the end of input and output, so it would mean if -i statistics.
-m or --multiple
log -m was specified, statistics.log* would be imported. (i.e. all of the following:
statistics.log, statistics.log.1, statistics.log.2, statistics.log.3, etc.)
To skip the reverse DNS lookups that work out where a user is from. (The DNS lookup
-s or --skipdns
finds the information about the host from its IP address, such as geographical location,
etc. This can be slow, and wouldn't work on a server not connected to the internet.)
Display verbose output (helpful for debugging)
-v or --verbose
Help
-h or --help
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An example form of this command would be [dspace]/bin/dspace stats-log-importerelasticsearch -i statistics.log -m
Viewing Data in Elasticsearch Statistics
In XMLUI, while logged in as an administrator, the Context Panel will have an additional "View Statistics" link
when you browse to a Community, Collection, or Item.
The Statistics Report includes:
Bitstreams with Most Downloads, for all time.
Bitstreams with Most Downloads, previous month.
Total Number of Downloads to Bitstreams within this container, broken down by month.
Number of hits per Country
This data is presented as either a Table or Line Graph, and requires JavaScript to draw the graphics.
4.6.3 SOLR Statistics
DSpace 1.6 and newer versions uses the Apache SOLR application underlying the statistics. SOLR enables
performant searching and adding to vast amounts of (usage) data.
Unlike previous versions, enabling statistics in DSpace does not require additional installation or customization.
All the necessary software is included.
1 What is exactly being logged ?
1.1 Common stored fields for all usage events
1.2 Unique stored fields for bitstream downloads
1.3 Unique stored fields for search queries
1.4 Unique stored fields for workflow events
2 Web User Interface Elements
2.1 Pageview and Download statistics
2.1.1 Home page
2.1.2 Community home page
2.1.3 Collection home page
2.1.4 Item home page
2.2 Search Query Statistics
2.3 Workflow Event Statistics
3 Architecture
4 Configuration settings for Statistics
4.1 Pre-1.6 Statistics settings
5 NOTE for developers: if you change the SOLR schema for statistics, you need to reindex existing
SOLR stats data.
6 Statistics Administration
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6.1 Converting older DSpace logs into SOLR usage data
6.2 Statistics Client Utility
7 Statistics differences between DSpace 1.7.x and 1.8.0
7.1 Displayed file statistics bundle configurable
8 Statistics differences between DSpace 1.6.x and 1.7.0
8.1 SOLR optimization added
8.2 SOLR Autocommit
9 Web UI Statistics Modification (XMLUI Only)
9.1 Modifying the number of months, for which statistics are displayed
10 Custom Reporting - Querying SOLR Directly
10.1 Resources
10.2 Examples
10.2.1 Top downloaded items by a specific user
11 Manually Installing/Updating GeoLite Database File
What is exactly being logged ?
DSpace 1.6 and newer
After the introduction of the SOLR Statistics logging in DSpace 1.6, every pageview and file download is logged
in a dedicated SOLR statistics core.
DSpace 3.0 and newer
In addition to the already existing logging of pageviews and downloads, DSpace 3.0 now also logs search
queries users enter in the DSpace search dialog and workflow events.
JSP UI Search Query logging
Due to the very recent addition of Discovery for search & faceted browsing in JSPUI, these search
queries are not yet logged. Regular (non-discovery) search queries are being logged in JSP UI.
Workflow Events logging
Only workflow events, initiated and executed by a physical user are being logged. Automated workflow
steps or ingest procedures are currently not being logged by the workflow events logger.
The logging happens at the server side, and doesn't require a javascript like Google Analytics does, to provide
usage data. Definition of which fields are to be stored are in dspace/solr/statistics/conf/schema.xml.
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Although they are stored in the same index, the stored fields for views, search queries and workflow events are
different. A new field, statistics_type determines which kind of a usage event you are dealing with. The three
possible values for this field are view, search and workflow.
<field name="statistics_type" type="string" indexed="true" stored="true" required="true" />
Common stored fields for all usage events
<field name="type" type="integer" indexed="true" stored="true" required="true" />
<field name="id" type="integer" indexed="true" stored="true" required="true" />
<field name="ip" type="string" indexed="true" stored="true" required="false" />
<field name="time" type="date" indexed="true" stored="true" required="true" />
<field name="epersonid" type="integer" indexed="true" stored="true" required="false" />
<field name="continent" type="string" indexed="true" stored="true" required="false"/>
<field name="country" type="string" indexed="true" stored="true" required="false"/>
<field name="countryCode" type="string" indexed="true" stored="true" required="false"/>
<field name="city" type="string" indexed="true" stored="true" required="false"/>
<field name="longitude" type="float" indexed="true" stored="true" required="false"/>
<field name="latitude" type="float" indexed="true" stored="true" required="false"/>
<field name="owningComm" type="integer" indexed="true" stored="true" required="false" multiValued="
true"/>
<field name="owningColl" type="integer" indexed="true" stored="true" required="false" multiValued="
true"/>
<field name="owningItem" type="integer" indexed="true" stored="true" required="false" multiValued="
true"/>
<field name="dns" type="string" indexed="true" stored="true" required="false"/>
<field name="userAgent" type="string" indexed="true" stored="true" required="false"/>
<field name="isBot" type="boolean" indexed="true" stored="true" required="false"/>
<field name="referrer" type="string" indexed="true" stored="true" required="false"/>
<field name="uid" type="uuid" indexed="true" stored="true" default="NEW" />
<field name="statistics_type" type="string" indexed="true" stored="true" required="true" default="v
iew" />
The combination of type and id determines which resource (either community, collection, item page or file
download) has been requested.
Unique stored fields for bitstream downloads
<field name="bundleName" type="string" indexed="true" stored="true" required="false" multiValued="t
rue" />
Unique stored fields for search queries
<field name="query" type="string" indexed="true" stored="true" required="false" multiValued="true"/
>
<field name="scopeType" type="integer" indexed="true" stored="true" required="false" />
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<field
<field
<field
<field
<field
name="scopeId" type="integer" indexed="true" stored="true" required="false" />
name="rpp" type="integer" indexed="true" stored="true" required="false" />
name="sortBy" type="string" indexed="true" stored="true" required="false" />
name="sortOrder" type="string" indexed="true" stored="true" required="false" />
name="page" type="integer" indexed="true" stored="true" required="false" />
Unique stored fields for workflow events
<field name="workflowStep" type="string" indexed="true" stored="true" required="false" multiValued=
"true"/>
<field name="previousWorkflowStep" type="string" indexed="true" stored="true" required="false"
multiValued="true"/>
<field name="owner" type="string" indexed="true" stored="true" required="false" multiValued="true"/
>
<field name="submitter" type="integer" indexed="true" stored="true" required="false" />
<field name="actor" type="integer" indexed="true" stored="true" required="false" />
<field name="workflowItemId" type="integer" indexed="true" stored="true" required="false" />
Web User Interface Elements
Pageview and Download statistics
In the XMLUI, pageview and download statistics can be accessed from the lower end of the navigation menu. In
the JSPUI, a view statistics button appears on the bottom of pages for which statistics are available.
If you are not seeing these links or buttons, it's likely that they are only enabled for administrators in your
installation. Change the configuration parameter "authorization.admin.usage" in usage-statistics.cfg to false in
order to make statistics visible for all repository visitors.
Home page
Starting from the repository homepage, the statistics page displays the top 10 most popular items of the entire
repository.
Community home page
The following statistics are available for the community home pages:
Total visits of the current community home page
Visits of the community home page over a timespan of the last 7 months
Top 10 country from where the visits originate
Top 10 cities from where the visits originate
Collection home page
The following statistics are available for the collection home pages:
Total visits of the current collection home page
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Visits of the collection home over a timespan of the last 7 months
Top 10 country from where the visits originate
Top 10 cities from where the visits originate
Item home page
The following statistics are available for the item home pages:
Total visits of the item
Total visits for the bitstreams attached to the item
Visits of the item over a timespan of the last 7 months
Top 10 country views from where the visits originate
Top 10 cities from where the visits originate
Search Query Statistics
In the XMLUI, search query statistics can be accessed from the lower end of the navigation menu.
If you are not seeing the link labelled "search statistics", it is likely that they are only enabled for administrators
in your installation. Change the configuration parameter "authorization.admin.search" in usage-statistics.cfg to
false in order to make statistics visible for all repository visitors.
The dropdown on top of the page allows you to modify the time frame for the displayed statistics.
The Pageviews/Search column tracks the amount of pages visited after a particular search term. Therefor a
zero in this column means that after executing a search for a specific keyword, not a single user has clicked a
single result in the list.
If you are using Discovery, note that clicking the facets also counts as a search, because clicking a facet sends
a search query to the Discovery index.
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Workflow Event Statistics
In the XMLUI, search query statistics can be accessed from the lower end of the navigation menu.
If you are not seeing the link labelled "Workflow statistics", it is likely that they are only enabled for
administrators in your installation. Change the configuration parameter "authorization.admin.workflow" in usagestatistics.cfg to false in order to make statistics visible for all repository visitors.
The dropdown on top of the page allows you to modify the time frame for the displayed statistics.
Architecture
The DSpace Statistics Implementation is a Client/Server architecture based on Solr for collecting usage events
in the JSPUI and XMLUI user interface applications of DSpace. Solr runs as a separate webapplication and an
instance of Apache Http Client is utilized to allow parallel requests to log statistics events into this Solr instance.
Configuration settings for Statistics
In the {dspace.dir}/config/modules/solr-statistics.cfg file review the following fields to make sure they are
uncommented:
Property:
server
Example
server = http://127.0.0.1/solr/statistics
Values:
server = ${solr.server}/statistics
Informational
Is used by the SolrLogger Client class to connect to the Solr server over http and perform
Note:
updates and queries. In most cases, this can (and should) be set to localhost (or 127.0.0.1).
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To determine the correct path, you can use a tool like wget to see where Solr is responding
on your server. For example, you'd want to send a query to Solr like the following:
wget http://127.0.0.1/solr/statistics/select?q=*:*
Assuming you get an HTTP 200 OK response, then you should set solr.log.server to
the '/statistics' URL of 'http://127.0.0.1/solr/statistics' (essentially removing the "/select?q= :"
query off the end of the responding URL.)
Property:
query.filter.bundles
Example
query.filter.bundles=ORIGINAL
Value:
Informational
A comma seperated list that contains the bundles for which the file statistics will be displayed.
Note:
Property:
solr.statistics.query.filter.spiderIp
Example
solr.statistics.query.filter.spiderIp = false
Value:
Informational
If true, statistics queries will filter out spider IPs -- use with caution, as this often results in
Note:
extremely long query strings.
Property:
solr.statistics.query.filter.isBot
Example
solr.statistics.query.filter.isBot = true
Value:
Informational
If true, statistics queries will filter out events flagged with the "isBot" field. This is the
Note:
recommended method of filtering spiders from statistics.
Property:
spiderips.urls
Example
spiderips.urls =
Value:
http://iplists.com/google.txt, \
http://iplists.com/inktomi.txt, \
http://iplists.com/lycos.txt, \
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http://iplists.com/infoseek.txt, \
http://iplists.com/altavista.txt, \
http://iplists.com/excite.txt, \
http://iplists.com/misc.txt, \
http://iplists.com/non_engines.txt
Informational
List of URLs to download spiders files into [dspace]/config/spiders. These files contain lists of
Note:
known spider IPs and are utilized by the SolrLogger to flag usage events with an "isBot" field,
or ignore them entirely.
The "stats-util" command can be used to force an update of spider files, regenerate "isBot"
fields on indexed events, and delete spiders from the index. For usage, run:
dspace stats-util -h
from your [dspace]/bin directory
In the {dspace.dir}/config/modules/usage-statistics.cfg file review the following fields to make sure they are
uncommented:
Property:
dbfile
Example
dbfile = ${dspace.dir}/config/GeoLiteCity.dat
Value:
Informational
The following referes to the GeoLiteCity database file utilized by the LocationUtils to calculate
Note:
the location of client requests based on IP address. During the Ant build process (both
fresh_install and update) this file will be downloaded from http://www.maxmind.com/app
/geolitecity if a new version has been published or it is absent from your [dspace]/config
directory.
Property:
resolver.timeout
Example
resolver.timeout = 200
Value:
Informational
Timeout in milliseconds for DNS resolution of origin hosts/IPs. Setting this value too high may
Note:
result in solr exhausting your connection pool.
Property:
useProxies
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Example
useProxies = true
Value:
Informational
Will cause Statistics logging to look for X-Forward URI to detect clients IP that have accessed
Note:
it through a Proxy service (e.g. the Apache mod_proxy). Allows detection of client IP when
accessing DSpace. [Note: This setting is found in the DSpace Logging section of dspace.cfg]
Property:
authorization.admin.usage
Example
authorization.admin.usage = true
Value:
Informational
When set to true, only general administrators, collection and community administrators are
Note:
able to access the pageview and download statistics from the web user interface. As a result,
the links to access statistics are hidden for non logged-in admin users. Setting this property to
"false" will display the links to access statistics to anyone, making them publicly available.
Property:
authorization.admin.search
Example
authorization.admin.search = true
Value:
Informational
When set to true, only system, collection or community administrators are able to access
Note:
statistics on search queries.
Property:
authorization.admin.workflow
Example
authorization.admin.workflow = true
Value:
Informational
When set to true, only system, collection or community administrators are able to access
Note:
statistics on workflow events.
Property:
logBots
Example
logBots = true
Value:
Informational
When this property is set to false, and IP is detected as a spider, the event is not logged.
Note:
When this property is set to true, the event will be logged with the "isBot" field set to true.
(see solr.statistics.query.filter.* for query filter options)
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Pre-1.6 Statistics settings
Older versions of DSpace featured static reports generated from the log files. They still persist in DSpace today
but are completely independent from the SOLR based statistics.
The following configuration parameters applicable to these reports can be found in dspace.cfg.
###### Statistical Report Configuration Settings ######
# should the stats be publicly available?
should be set to false if you only
# want administrators to access the stats, or you do not intend to generate
# any
report.public = false
# directory where live reports are stored
report.dir = ${dspace.dir}/reports/
These fields are not used by the new 1.6 Statistics, but are only related to the Statistics from previous DSpace
releases.
NOTE for developers: if you change the SOLR schema for statistics, you
need to reindex existing SOLR stats data.
You can use the solr-reindex-statistics script to do this.
Statistics Administration
Converting older DSpace logs into SOLR usage data
If you have upgraded from a previous version of DSpace, converting older log files ensures that you carry over
older usage stats from before the upgrade.
Statistics Client Utility
The command line interface (CLI) scripts can be used to clean the usage database from additional spider traffic
and other maintenance tasks. In DSpace 3.0, a script has been added to split up the monolithic SOLR core into
individual cores each containing a year of statistics.
Statistics differences between DSpace 1.7.x and 1.8.0
Displayed file statistics bundle configurable
In DSpace 1.6.x & 1.7.x the file download statistics were generated without regard to the bundle in which the file
was located. In DSpace 1.8.0 it is possible to configure the bundles for which the file statistics are to be shown
by using the query.filter.bundles property. If required the old file statistics can also be upgraded to include the
bundle name so that the old file statistics are fixed.
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Backup Your statistics data first
Applying this change will involve dumping all the old file statistics into a file and re uploading these.
Therefore it is wise to create a backup of the {dspace.dir}/solr/statistics/data directory. It is best to
create this backup when the Tomcat/Jetty/Resin server program isn't running.
When a backup has been made start the Tomcat/Jetty/Resin server program.
The update script has one optional command which will if given not only update the broken file statistics but
also delete file statistics for files that where removed from the system (if this option isn't active these statistics
will receive the "BITSTREAM_DELETED" bundle name).
#The -r is optional
[dspace]/bin/dspace stats-util -b -r
Statistics differences between DSpace 1.6.x and 1.7.0
SOLR optimization added
If required, the solr server can be optimized by running
{dspace.dir}/bin/stats-util -o
More information on how these solr server optimizations work can be found here: http://wiki.apache.org/solr
/SolrPerformanceFactors#Optimization_Considerations.
SOLR Autocommit
In DSpace 1.6.x, each solr event was committed to the solr server individually. For high load DSpace
installations, this would result in a huge load of small solr commits resulting in a very high load on the solr
server.
This has been resolved in dspace 1.7 by only committing usage events to the solr server every 15 minutes. This
will result in a delay of the storage of a usage event of maximum 15 minutes. If required, this value can be
altered by changing the maxTime property in the
{dspace.dir}/solr/statistics/conf/solrconfig.xml
Web UI Statistics Modification (XMLUI Only)
Modifying the number of months, for which statistics are displayed
Modify line 205 in the StatisticsTransformer.java file
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/statistics/StatisticsTransformer.java#L205
-6 is the default setting, displaying the past 6 months of statistics. When reducing this to a smaller natural
number, less months are being displayed.
Related: DatasetTimeGenerator Javadoc
Custom Reporting - Querying SOLR Directly
When the web user interface does not offer you the statistics you need, you can greatly expand the reports by
querying the SOLR index directly.
Resources
https://www.safaribooksonline.com/library/view/apache-solr-enterprise/9781782161363/
https://lucidworks.com/blog/faceted-search-with-solr/
Examples
Top downloaded items by a specific user
Query:
http://localhost:8080/solr/statistics/select?indent=on&version=2.2&start=0&rows=10&fl=*%
2Cscore&qt=standard&wt=standard&explainOther=&hl.fl=&facet=true&facet.field=epersonid&q=type:0
Explained:
facet.field=epersonid — You want to group by epersonid, which is the user id.
type:0 — Interested in bitstreams only
<lst name="facet_counts">
<lst name="facet_fields">
<lst name="epersonid">
<int name="66">1167</int>
<int name="117">251</int>
<int name="52">42</int>
<int name="19">36</int>
<int name="88">20</int>
<int name="112">18</int>
<int name="110">9</int>
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<int name="96">0</int>
</lst>
</lst>
</lst>
Manually Installing/Updating GeoLite Database File
The GeoLite Database file (at [dspace]/config/GeoLiteCity.dat) is used by the Statistics engine to generate
location/country based reports. (Note: If you are not using DSpace Statistics, this file is not needed.)
In most cases, this file is installed automatically when you run ant fresh_install. However, if the file
cannot be downloaded & installed automatically, you may need to manually install it.
As this file is also sometimes updated by MaxMind.com, you may also wish to update it on occasion.
You have three options to install/update this file:
1. Attempt to re-run the automatic installer from your DSpace Source Directory ([dspace-source]). This will
attempt to automatically download the database file, unzip it and install it into the proper location:
ant update_geolite
NOTE: If the location of the GeoLite Database file is known to have changed, you can also run
this auto-installer by passing it the new URL of the GeoLite Database File: ant -Dgeolite=
[full-URL-of-geolite] update_geolite
2. OR, you can manually install the file by performing these steps yourself:
First, download the latest GeoLite Database file from http://geolite.maxmind.com/download/geoip
/database/GeoLiteCity.dat.gz
Next, unzip that file to create a file named GeoLiteCity.dat
Finally, move or copy that file to your DSpace installation, so that it is located at [dspace]
/config/GeoLiteCity.dat.
3. OR, you can combine the two alternatives above, by first downloading the GeoLiteCity.dat.gz file to a
location accessible to you, and then configure a .dspace.properties file in your home folder. For example,
create a .dspace.properties file in the home folder of the user who is running ant to deploy dspace, and
add the following line to it:
.dspace.properties
geolite=file:///path/to/your/downloaded/GeoLiteCity.dat.gz
This leaves the original downloading behavior intact, but overrides the URL for the GeoLite Database file from
the maxmind.com site to your own location. This typically speeds up the "download" step to about 1 second.
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SOLR Statistics Maintenance
1 DSpace Log Converter and DSPACE Log Importer
2 Filtering and Pruning Spiders
3 Export SOLR records to intermediate format for import into Elastic Search
4 Export SOLR statistics, for backup and moving to another server
5 Import SOLR statistics, for restoring lost data or moving to another server
6 Reindex SOLR statistics, for upgrades or whenever the Solr schema for statistics is changed
7 Routine Solr Index Maintenance
8 Solr Sharding By Year
8.1 Technical implementation details
DSpace Log Converter and DSPACE Log Importer
With the release of DSpace 1.6, new statistics software component was added. The use of Solr for statistics in
DSpace makes it possible to have a database of statistics. With this in mind, there is the issue of the older log
files and how a site can use them. The following command process is able to convert the existing log files and
then import them for Solr use. The user will need to perform this conversion only once.
The Log Converter program converts log files from dspace.log into an intermediate format that can be inserted
into Solr.
Command
[dspace]/bin/dspace stats-log-converter
used:
Java class:
org.dspace.statistics.util.ClassicDSpaceLogConverter
Arguments
Description
short and
long forms):
-i or --in
Input file
-o or --
Output file
out
-m or --
Adds a wildcard at the end of input and output, so it would mean if -i dspace.log -m was
multiple
specified, dspace.log* would be converted. (i.e. all of the following: dspace.log, dspace.log.1,
dspace.log.2, dspace.log.3, etc.)
-n or --
If the log files have been created with DSpace 1.6 or newer
newformat
-v or --
Display verbose output (helpful for debugging)
verbose
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-h or --
Help
help
The command loads the intermediate log files that have been created by the aforementioned script into Solr.
Please note that after importing event data, you need to update bitstream view events in the solr index to
include the bundleName with [dspace]/bin/dspace stats-util -b
Command
[dspace]/bin/dspace stats-log-importer
used:
Java
org.dspace.statistics.util.StatisticsImporter
class:
Arguments
Description
(short and
long
forms):
-i or --in input file
-m or --
Adds a wildcard at the end of the input, so it would mean dspace.log* would be imported
multiple
-s or --
To skip the reverse DNS lookups that work out where a user is from. (The DNS lookup finds the
skipdns
information about the host from its IP address, such as geographical location, etc. This can be
slow, and wouldn't work on a server not connected to the internet.)
-v or --
Display verbose ouput (helpful for debugging)
verbose
-l or --
For developers: allows you to import a log file from another system, so because the handles
local
won't exist, it looks up random items in your local system to add hits to instead.
-h or --
Help
help
Although the DSpace Log Convertor applies basic spider filtering (googlebot, yahoo slurp, msnbot), it is far from
complete. Please refer to Filtering and Pruning Spiders for spider removal operations, after converting your old
logs.
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Filtering and Pruning Spiders
Command used:
[dspace]/bin/dspace stats-util
Java class:
org.dspace.statistics.util.StatisticsClient
Arguments (short
Description
and long forms):
-b or --
Reindex the bitstreams to ensure we have the bundle name
reindexbitstreams
-r or --remove-
While indexing the bundle names remove the statistics about deleted bitstreams
deletedbitstreams
-u or --update-
Update Spider IP Files from internet into [dspace]/config/spiders. Downloads
spider-files
Spider files identified in dspace.cfg under property solr.spiderips.urls. See
Configuration settings for Statistics
-f or --delete-
Delete Spiders in Solr By isBot Flag. Will prune out all records that have isBot:true
spiders-byflag
-i or --delete-
Delete Spiders in Solr By IP Address, DNS name, or Agent name. Will prune out all
spiders-by-ip
records that match spider identification patterns.
-m or --mark-
Update isBot Flag in Solr. Marks any records currently stored in statistics that have IP
spiders
addresses matched in spiders files
-h or --help
Calls up this brief help table at command line.
Notes:
The usage of these options is open for the user to choose. If you want to keep spider entries in your repository,
you can just mark them using "-m" and they will be excluded from statistics queries when "solr.statistics.
query.filter.isBot = true" in the dspace.cfg. If you want to keep the spiders out of the solr
repository, just use the "-i" option and they will be removed immediately.
Spider IPs are specified in files containing one pattern per line. A line may be a comment (starting with "#" in
column 1), empty, or a single IP address or DNS name. If a name is given, it will be resolved to an address.
Unresolvable names are discarded and will be noted in the log.
There are guards in place to control what can be defined as an IP range for a bot. In [dspace]/config
/spiders, spider IP address ranges have to be at least 3 subnet sections in length 123.123.123 and IP
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Ranges can only be on the smallest subnet [123.123.123.0 - 123.123.123.255]. If not, loading that row will
cause exceptions in the dspace logs and exclude that IP entry.
Spiders may also be excluded by DNS name or Agent header value. Place one or more files of patterns in the
directories [dspace]/config/spiders/domains and/or [dspace]/config/spiders/agents. Each
line in a pattern file should be either empty, a comment starting with "#" in column 1, or a regular expression
which matches some names to be recognized as spiders.
Export SOLR records to intermediate format for import into Elastic Search
Command used:
[dspace]/bin/dspace stats-util
Java class:
org.dspace.statistics.util.StatisticsClient
Arguments (short and long forms):
Description
-e or --export
Export SOLR view statistics data to usage statistics intermediate format
This exports the records to dspace / temp / usagestats_0.csv. This will chunk the files at 10,000 records to new
files. This can be imported with stats-log-importer to SOLR or stats-log-importer-elasticsearch to Elastic Search.
Export SOLR statistics, for backup and moving to another server
Command
[dspace]/bin/dspace solr-export-statistics
used:
Java class:
org.dspace.util.SolrImportExport
Arguments
Description
(short and
long forms):
-l or --
optionally export only integer many days worth of statistics
last
integer
-d or --
optional, directory to use for storing the exported files. By default, [dspace]/solr-export is
directory
used. If that is not appropriate (due to storage concerns), we recommend you use this option
to specify a more appropriate location.
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Import SOLR statistics, for restoring lost data or moving to another server
Command
[dspace]/bin/dspace solr-import-statistics
used:
Java class:
org.dspace.util.SolrImportExport
Arguments
Description
(short and
long forms):
-c or --
optional, clears the contents of the existing stats core before importing
clear
-d or --
optional, directory which contains the files for importing. By default, [dspace]/solr-export
directory
is used. If that is not appropriate (due to storage concerns), we recommend you use this
option to specify a more appropriate location.
Reindex SOLR statistics, for upgrades or whenever the Solr schema for statistics is
changed
Command
[dspace]/bin/dspace solr-reindex-statistics
used:
Java class:
org.dspace.util.SolrImportExport
Arguments
Description
(short and
long
forms):
-k or --
optional, tells the script to keep the intermediate export files for possible later use (by default all
keep
exported files are removed at the end of the reindex process).
-d or --
optional, directory to use for storing the exported files (temporarily, unless you also specify --
directory keep, see above). By default, [dspace]/solr-export is used. If that is not appropriate
(due to storage concerns), we recommend you use this option to specify a more appropriate
location. Not sure about your space requirements? You can estimate the space required by
looking at the current size of [dspace]/solr/statistics
NOTE: solr-reindex-statistics is safe to run on a live site. The script stores incoming usage data in a
temporary SOLR core, and then merges that new data into the reindexed data when the reindex process
completes.
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Routine Solr Index Maintenance
Command used:
[dspace]/bin/dspace stats-util
Java class:
org.dspace.statistics.util.StatisticsClient
Arguments (short
Description
and long forms):
-o or --optimize
Run maintenance on the SOLR index. Recommended to run daily, to prevent your
servlet container from running out of memory
Notes:
The usage of this this option is strongly recommended, you should run this script daily (from crontab or your
system's scheduler), to prevent your servlet container from running out of memory.
Solr Sharding By Year
Command used:
[dspace]/bin/dspace stats-util
Java class:
org.dspace.statistics.util.StatisticsClient
Arguments (short and
Description
long forms):
-s or --shard-solr-
Splits the data in the main core up into a separate solr core for each year, this will
index
upgrade the performance of the solr.
Notes:
Yearly Solr sharding is a routine that can drastically improve the performance of your DSpace SOLR statistics.
It was introduced in DSpace 3.0 and is not backwards compatible. The routine decreases the load created by
the logging of new usage events by reducing the size of the SOLR Core in which new usage data are being
logged. By running the script, you effectively split your current SOLR core, containing all of your usage events,
into different SOLR cores that each contain the data for one year. In case your DSpace has been logging usage
events for less than one year, you will see no notable performance improvements until you run the script after
the start of a new year. Both writing new usage events as well as read operations should be more performant
over several smaller SOLR Shards instead of one monolithic one.
It is highly recommended that you execute this script once at the start of every year. To ensure this is not
forgotten, you can include it in your crontab or other system scheduling software. Here's an example cron entry
(just replace [dspace] with the full path of your DSpace installation):
# At 12:00AM on January 1, "shard" the DSpace Statistics Solr index.
own Solr index - this improves performance.
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0 0 1 1 * [dspace]/bin/dspace stats-util -s
Technical implementation details
After sharding, the SOLR data cores are located in the [dspace.dir]/solr directory. There is no need to define the
location of each individual core in solr.xml because they are automatically retrieved at runtime. This retrieval
happens in the static method located in theorg.dspace.statistics.SolrLogger class. These cores are stored in the
statisticYearCores list each time a query is made to the solr these cores are added as shards by the
addAdditionalSolrYearCores method. The cores share a common configuration copied from your original
statistics core. Therefore, no issues should be resulting from subsequent ant updates.
The actual sharding of the of the original solr core into individual cores by year is done in the shardSolrIndex
method in the org.dspace.statistics.SolrLogger class. The sharding is done by first running a facet on the time to
get the facets split by year. Once we have our years from our logs we query the main solr data server for all
information on each year & download these as csv's. When we have all data for one year we upload it to the
newly created core of that year by using the update csvhandler. One all data of one year has been uploaded
that data is removed from the main solr (by doing it this way if our solr crashes we do not need to start from
scratch).
4.7 User Interfaces
4.7.1 Discovery
1 What is DSpace Discovery
1.1 What is a Sidebar Facet
1.2 What is a Search Filter
1.3 What is a tag cloud facet
2 Discovery Changelist
2.1 DSpace 5.0
2.2 DSpace 4.0
2.3 DSpace 3.0
2.4 DSpace 1.8
2.5 DSpace 1.7
3 Enabling Discovery
3.1 Removing Legacy Browse Tables (bi_*) from your Database
4 Configuration files
5 General Discovery settings (config/modules/discovery.cfg)
6 Modifying the Discovery User Interface (config/spring/api/discovery.xml)
6.1 Structure Summary
6.2 Default settings
6.3 Non indexed metadata fields
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6.4 Search filters & sidebar facets Customization
6.4.1 Hierarchical (taxonomies based) sidebar facets
6.5 Sort option customization for search results
6.6 DiscoveryConfiguration
6.6.1 Configuring lists of sidebarFacets and searchFilters
6.6.2 Configuring and customizing search sort fields
6.6.3 Adding default filter queries (OPTIONAL)
6.6.4 Access Rights Awareness
6.6.4.1 Access Rights Awareness - technical details
6.6.5 Customizing the Recent Submissions display
6.6.6 Customizing hit highlighting & search snippets
6.6.6.1 Hit highlighting technical details
6.6.7 "More like this" configuration
6.6.7.1 "More like this" technical details
6.6.8 "Did you mean" spellcheck aid for search configuration
6.6.8.1 "Did you mean" spellcheck aid for search technical details
6.6.9 Customizing the "Tag Cloud" facet
7 Discovery Solr Index Maintenance
7.1 Routine Discovery Solr Index Maintenance
8 Advanced Solr Configuration
9 Internationalization
What is DSpace Discovery
The Discovery Module enables faceted searching & browsing for your repository.
Although these techniques are new in DSpace, they might feel familiar from other platforms like Aquabrowser or
Amazon, where facets help you to select the right product according to facets like price and brand. DSpace
Discovery offers very powerful browse and search configurations that were only possible with code
customization in the past.
Watch the DSpace Discovery introduction video
Since DSpace 4.0 Discovery is the default Search and Browse infrastructure for both XMLUI and
JSPUI.
What is a Sidebar Facet
From the user perspective, faceted search (also called faceted navigation, guided navigation, or parametric
search) breaks up search results into multiple categories, typically showing counts for each, and allows the user
to "drill down" or further restrict their search results based on those facets.
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When you have successfully enabled Discovery in your DSpace, you will notice that the different enabled facets
are visualized in a "Discover" section in your sidebar, by default, right below the Browse options.
In this example, there are 3 Sidebar Facets, Author, Subject and Date Issued. It's important to know that
multiple metadata fields can be included in one facet. For example, the Author facet above includes values from
both dc.contributor.author as well as dc.creator.
Another important property of Sidebar Facets is that their contents are automatically updated to the context of
the page. On collection homepages or community homepages it will include information about the items
included in that particular collection or community.
What is a Search Filter
In a standard search operation, a user specifies his complete query prior to launching the operation. If the
results are not satisfactory, the user starts over again with a (slightly) altered query.
In a faceted search, a user can modify the list of displayed search results by specifying additional "filters" that
will be applied on the list of search results. In DSpace, a filter is a contain condition applied to specific facets. In
the example below, a user started with the search term "health", which yielded 500 results. After applying the
filter "public" on the facet "Subject", only 227 results remain. Each time a user selects a sidebar facet it will be
added as a filter. Active filters can be altered or removed in the 'filters' section of the search interface.
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Another example: Using the standard search, a user would search for something like [wetland + "dc.
author=Mitsch, William J" + dc.subject="water quality" ]. With filtered search, they can start by searching
for [wetland ], and then filter the results by the other attributes, author and subject.
What is a tag cloud facet
Tag cloud facet is another way to display facets of your repository in a "tag cloud" form in which the importance
of each tag is show with font size or color. This format is useful for quickly perceiving the most prominent terms.
This is a classic "tag cloud" facet in a DSpace repository.
Discovery Changelist
DSpace 5.0
The new JSPUI-only tag cloud facet feature is disabled by default. In order to enable it, you will need to set up
the corresponding processor that the PluginManager will load to actually perform the tag cloud query on the
relevant pages. This is configured in the dspace.cfg configuration file using the following properties:
plugin.sequence.org .dspace.plugin.CommunityHomeProcessor
plugin.sequence.org .dspace.plugin.CollectionHomeProcessor
plugin.sequence.org .dspace.plugin.SiteHomeProcessor
The tag cloud has been declared there for you but it is commented out.
DSpace 4.0
Starting from DSpace 4.0, Discovery is the default search and browse solution for DSpace.
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General improvements:
Browse interfaces now also use Discovery index (rather than the legacy Lucene index)
"Did you means" spell check aid for search
DSpace 3.0
Starting from DSpace 3.0, Discovery is also supported in JSPUI.
General improvements:
Hierarchical facets sidebar facets
Improved & more intuitive user interface
Access Rights Awareness (enabled by default). Access restricted or embargoed content is hidden from
anonymous search/browse.
Authority control & variants awareness (homonyms are shown separately in a facet if they have different
authority ID). All variant forms as recognized by the authority framework are indexed. See Authority
Framework
XMLUI-only:
Hit highlighting and search snippets support
"More like this" (related items)
Bugfixes and other changes
Auto-complete functionality has been removed in XMLUI from search queries due to performance issues.
JSPUI still supports auto-complete functionality without performance issues.
DSpace 1.8
Configuration moved from dspace.cfg into config/modules/discovery.cfg and config/spring
/api/discovery.xml
Individual communities and collections can have their own Discovery configuration.
Tokenization for Auto-complete values (see SearchFilter)
Alphanumeric sorting for Sidebarfacets
Possibility to avoid indexation of specific metadata fields.
Grouping of multiple metadata fields under the same SidebarFacet
DSpace 1.7
Sidebar browse facets that can be configured to use contents from any metadata field
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Dynamically generated timespans for dates
Customizable "recent submissions" view on the repository homepage, collection and community pages
Hit highlighting & search snippets
Enabling Discovery
Because Discovery was adopted as the default infrastructure for search and browse in DSpace 4, no manual
steps are required to enable Discovery. If you want to enable Discovery on older versions of DSpace, please
refer to the DSpace documentation for that particular version.
Removing Legacy Browse Tables (bi_*) from your Database
If you have upgraded from an older version of DSpace, your database may still include outdated "bi_*" tables
(where "bi" = "browse index"). When Discovery is enabled, these tables are no longer necessary, as Discovery
takes over this browse index function.
To clean up all these old "bi_*" tables, simply run:
[dspace]/bin/dspace index-db-browse -f -d
Configuration files
The configuration for discovery is located in 2 separate files.
General settings: The discovery.cfg file located in the [dspace-install-dir]/config
/modules directory.
User Interface Configuration: The discovery.xml file is located in [dspace-install-dir]/config
/spring/api/ directory.
General Discovery settings ( config/modules/discovery.cfg )
The discovery.cfg file is located in the [dspace-install-dir]/config/modules directory and
contains following properties:
Property:
search.server
Example
search.server=[http://localhost:8080/solr/search]
Value:
Informational
Discovery relies on a Solr index for storage and retrieval of its information. This parameter
Note:
determines the location of the Solr index.
Property:
index.authority.ignore[.field]
index.authority.ignore=true
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Example
index.authority.ignore.dc.contributor.author=false
Value:
Informational
By default, Discovery will use the authority information in the metadata to disambiguate
Note:
homonyms. Setting this property to false will make the indexing process the same as the
metadata doesn't include authority information. The configuration can be different on a field
(<schema>.<element>.<qualifier>) basis, the property without field set the default value.
Property:
index.authority.ignore-prefered[.field]
Example
index.authority.ignore-prefered=true
Value:
index.authority.ignore-prefered.dc.contributor.author=false
Informational
By default, Discovery will use the authority information in the metadata to query the authority
Note:
for the prefered label. Setting this property to false will make the indexing process the same
as the metadata doesn't include authority information (i.e. the prefered form is the one
recorded in the metadata value). The configuration can be different on a field (<schema>.
<element>.<qualifier>) basis, the property without field set the default value. If the authority
is a remote service, disabling this feature can greatly improve performance.
Property:
index.authority.ignore-variants[.field]
Example
index.authority.ignore-variants=true
Value:
index.authority.ignore-variants.dc.contributor.author=false
Informational
By default, Discovery will use the authority information in the metadata to query the authority
Note:
for variants. Setting this property to false will make the indexing process the same, as the
metadata doesn't include authority information. The configuration can be different on a perfield (<schema>.<element>.<qualifier>) basis, the property without field set the default value.
If authority is a remote service, disabling this feature can greatly improve performance.
Modifying the Discovery User Interface ( config/spring/api/discovery.xml )
The discovery.xml file is located in the [dspace-install-dir]/config/spring/api directory.
Structure Summary
This file is in XML format, you should be familiar with XML before editing this file. The configurations are
organized together in beans, depending on the purpose these properties are used for.
This purpose can be derived from the class of the beans. Here's a short summary of classes you will encounter
throughout the file and what the corresponding properties in the bean are used for.
Download the configuration file and review it together with the following parameters
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Class:
DiscoveryConfigurationService
Purpose:
Defines the mapping between separate Discovery configurations and individual collections
/communities
Default:
All communities, collections and the homepage (key=default) are mapped to defaultConfiguration,
also controls the metadata fields that should not be indexed in the search core (item provenance
for example).
Class:
DiscoveryConfiguration
Purpose:
Groups configurations for sidebar facets, search filters, search sort options and recent
submissions
Default:
There is one configuration by default called defaultConfiguration
Class:
DiscoverySearchFilter
Purpose:
Defines that specific metadata fields should be enabled as a search filter
Default:
dc.title, dc.contributor.author, dc.creator, dc.subject.* and dc.date.issued are defined as search
filters
Class:
DiscoverySearchFilterFacet
Purpose:
Defines which metadata fields should be offered as a contextual sidebar browse options, each of
these facets has also got to be a search filter
Default:
dc.contributor.author, dc.creator, dc.subject.* and dc.date.issued
Class:
HierarchicalSidebarFacetConfiguration
Purpose:
Defines which metadata fields contain hierarchical data and should be offered as a contextual
sidebar option
Class:
DiscoverySortConfiguration
Purpose:
Further specifies the sort options to which a DiscoveryConfiguration refers
Default:
dc.title and dc.date.issued are defined as alternatives for sorting, other than Relevance (hardcoded)
Class:
DiscoveryHitHighlightingConfiguration
Purpose:
Defines which metadata fields can contain hit highlighting & search snippets
Default:
dc.title, dc.contributor.author, dc.subject, dc.description.abstract & full text from text files.
Class:
TagCloudFacetConfiguration
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Purpose:
Defines the tag cloud appearance configuration bean and the search filter facets to appear in the
tag cloud form. You can have different "TagCloudFacetConfiguration" per community or
collection or the home page
Default settings
In addition to the summarized descriptions of the default values, following details help you to better understand
these defaults. If you haven't already done so, download the configuration file and review it together with the
following parameters.
The file contains one default configuration that defines following sidebar facets, search filters, sort fields and
recent submissions display:
Sidebar facets
searchFilterAuthor: groups the metadata fields dc.contributor.author & dc.creator with a facet
limit of 10, sorted by occurrence count
searchFilterSubject: groups all subject metadata fields (dc.subject.*) with a facet limit of 10,
sorted by occurrence count
searchFilterIssued: contains the dc.date.issued metadata field, which is identified with the type
"date" and sorted by specific date values
Search filters
searchFilterTitle: contains the dc.title metadata field
searchFilterAuthor: contains the dc.contributor.author & dc.creator metadata fields
searchFilterSubject: contains the dc.subject.* metadata fields
searchFilterIssued: contains the dc.date.issued metadata field with the type "date"
Sort fields
sortTitle: contains the dc.title metadata field
sortDateIssued: contains the dc.date.issued metadata field, this sort has the type date
configured.
defaultFilterQueries
The default configuration contains no defaultFilterQueries
The default filter queries are disabled by default but there is an example in the default
configuration in comments which allows discovery to only return items (as opposed to also
communities/collections).
Recent Submissions
The recent submissions are sorted by dc.date. accessioned which is a date and a maximum
number of 5 recent submissions are displayed.
Hit highlighting
The fields dc.title, dc.contributor.author & dc.subject can contain hit highlighting.
The dc.description.abstract & full text field are used to render search snippets.
Non indexed metadata fields
Community/Collections: dc.rights (copyright text)
Items: dc.description.provenance
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Many of the properties contain lists that use references to point to the configuration elements. This way a
certain configuration type can be used in multiple discovery configurations so there is no need to duplicate
them.
Non indexed metadata fields
The discovery.xml file has configuration to not index certain metadata fields for communities/collections/items.
The configuration is handled in the "toIgnoreMetadataFields" property located in the "org.dspace.discovery.
configuration.DiscoveryConfigurationService" bean. Below is an example configuration that excludes dc.
description.provenance for items & dc.rights for communities/collections:
<property name="toIgnoreMetadataFields">
<map>
<entry>
<key><util:constant static-field="org.dspace.core.Constants.COMMUNITY"/></key>
<list>
<!--Introduction text-->
<!--<value>dc.description</value>-->
<!--Short description-->
<!--<value>dc.description.abstract</value>-->
<!--News-->
<!--<value>dc.description.tableofcontents</value>-->
<!--Copyright text-->
<value>dc.rights</value>
<!--Community name-->
<!--<value>dc.title</value>-->
</list>
</entry>
<entry>
<key><util:constant static-field="org.dspace.core.Constants.COLLECTION"/></key>
<list>
<!--Introduction text-->
<!--<value>dc.description</value>-->
<!--Short description-->
<!--<value>dc.description.abstract</value>-->
<!--News-->
<!--<value>dc.description.tableofcontents</value>-->
<!--Copyright text-->
<value>dc.rights</value>
<!--Collection name-->
<!--<value>dc.title</value>-->
</list>
</entry>
<entry>
<key><util:constant static-field="org.dspace.core.Constants.ITEM"/></key>
<list>
<value>dc.description.provenance</value>
</list>
</entry>
</map>
</property>
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By adding additional values to the appropriate lists additional metadata can be excluded from the search core, a
reindex is required after altering this file to ensure that the values are removed from the index.
Search filters & sidebar facets Customization
This section explains the properties for search filters & sidebar facets. Each sidebar facet must occur in the
reference list of the search filters. Below is an example configuration of a search filter that is not used as a
sidebar facet.
<bean id="searchFilterTitle" class="org.dspace.discovery.configuration.DiscoverySearchFilter">
<property name="indexFieldName" value="title"/>
<property name="metadataFields">
<list>
<value>dc.title</value>
</list>
</property>
</bean>
The id & class attributes are mandatory for this type of bean. The properties that it contains are discussed
below.
indexFieldName (Required): A unique search filter name, the metadata will be indexed in Solr under this
field name.
metadataFields (Required): A list of the metadata fields that need to be included in the facet.
Sidebar facets extend the search filter and add some extra properties to it, below is an example of a search
filter that is also used as a sidebar facet.
<bean id="searchFilterAuthor" class="org.dspace.discovery.configuration.SidebarFacetConfiguration">
<property name="indexFieldName" value="author"/>
<property name="metadataFields">
<list>
<value>dc.contributor.author</value>
<value>dc.creator</value>
</list>
</property>
<property name="facetLimit" value="10"/>
<property name="sortOrder" value="COUNT"/>
<property name="type" value="text"/>
</bean>
Note that the class has changed from DiscoverySearchFilter to SidebarFacetConfiguration this is needed to
support the extra properties.
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facetLimit (optional): The maximum number of values to be shown. This property is optional, if none is
specified the default value "10" will be used. If the filter has the type date, this property will not be used
since dates are automatically grouped together.
sortOrder (optional):The sort order for the sidebar facets, it can either be COUNT or VALUE. The
default value is COUNT.
COUNT Facets will be sorted by the amount of times they appear in the repository
VALUE Facets will be sorted alphabetically
type(optional): the type of the sidebar facet it can either be "date" or "text", "text" is the default value.
text: The facets will be treated as is
date: Only the year will be stored in the Solr index. These years are automatically displayed in
ranges that get smaller when you select one.
Hierarchical (taxonomies based) sidebar facets
Discovery supports specialized drill down in hierarchically structured metadata fields. For this drill down to work,
the metadata in the field for which you enable this must be composed out of terms, divided by a splitter. For
example, you could have a dc.subject.taxonomy field in which you keep metadata like "CARTOGRAPHY::
PHOTOGRAMMETRY", in which Cartography and Photogrammetry are both terms, divided by the splitter "::".
The sidebar will only display the top level facets, when clicking on view more all the facet options will be
displayed.
<bean id="searchFilterSubject" class="org.dspace.discovery.configuration.
HierarchicalSidebarFacetConfiguration">
<property name="indexFieldName" value="subject"/>
<property name="metadataFields">
<list>
<value>dc.subject</value>
</list>
</property>
<property name="sortOrder" value="COUNT"/>
<property name="splitter" value="::"/>
<property name="skipFirstNodeLevel" value="false"/>
</bean>
Note that the class has changed from SidebarFacetConfiguration to HierarchicalSidebarFacetConfiguration
this is needed to support the extra properties.
splitter (required): The splitter used to split up the separate nodes
skipFirstNodeLevel (optional): Whether or not to show the root node level. For some hierarchical data
there is a single root node. In most cases it doesn't need to be shown since it isn't relevant. This
property is true by default.
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Sort option customization for search results
This section explains the properties of an individual SortConfiguration, like sortTitle and sortDateIssued from the
default configuration. In order to create custom sort options, you can either modify specific properties of those
that already exist or create a totally new one from scratch.
Here's what the sortTitle SortConfiguration looks like:
<bean id="sortTitle" class="org.dspace.discovery.configuration.DiscoverySortFieldConfiguration">
<property name="metadataField" value="dc.title"/>
<property name="type" value="text"/>
</bean>
The id & class attributes are mandatory for this type of bean. The properties that it contains are discussed
below.
metadataField (Required): The metadata field indicating the sort values
type (optional): the type of the sort option can either be date or text, if none is defined text will be used.
DiscoveryConfiguration
The DiscoveryConfiguration Groups configurations for sidebar facets, search filters, search sort options and
recent submissions. If you want to show the same sidebar facets, use the same search filters, search options
and recent submissions everywhere in your repository, you will only need one DiscoveryConfiguration and you
might as well just edit the defaultConfiguration.
The DiscoveryConfiguration makes it very easy to use custom sidebar facets, search filters, ... on specific
communities or collection homepage. This is particularly useful if your collections are heterogeneous. For
example, in a collection with conference papers, you might want to offer a sidebar facet for conference date,
which might be more relevant than the actual issued date of the proceedings. In a collection with papers, you
might want to offer a facet for funding bodies or publisher, while these fields are irrelevant for items like learning
objects.
A DiscoveryConfiguration consists out of five parts
The list of applicable sidebarFacets
The list of applicable searchFilters
The list of applicable searchSortFields
Any default filter queries (optional)
The configuration for the Recent submissions display
The configuration of the tag cloud facet
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Configuring lists of sidebarFacets and searchFilters
After modifying sidebarFacets and searchFilters, don't forget to reindex existing items by running
[dspace]/bin/dspace index-discovery -b, otherwise the changes will not appear.
Below is an example of how one of these lists can be configured. It's important that each of the bean references
corresponds to the exact name of the earlier defined facets, filters or sort options.
Each sidebar facet must also occur in the list of the search filters.
<property name="sidebarFacets">
<list>
<ref bean="sidebarFacetAuthor" />
<ref bean="sidebarFacetSubject" />
<ref bean="sidebarFacetDateIssued" />
</list>
</property>
Configuring and customizing search sort fields
The search sort field configuration block contains the available sort fields and the possibility to configure a
default sort field and sort order.
Below is an example of the sort configuration.
<property name="searchSortConfiguration">
<bean class="org.dspace.discovery.configuration.DiscoverySortConfiguration">
<!--<property name="defaultSort" ref="sortDateIssued"/>-->
<!--DefaultSortOrder can either be desc or asc (desc is default)-->
<property name="defaultSortOrder" value="desc"/>
<property name="sortFields">
<list>
<ref bean="sortTitle" />
<ref bean="sortDateIssued" />
</list>
</property>
</bean>
</property>
The property name & the bean class are mandatory. The property field names are discusses below.
defaultSort (optional): The default field on which the search results will be sorted, this must be a
reference to an existing search sort field bean. If none is given relevance will be the default. Sorting
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according to the internal relevance algorithm is always available, even though it's not explicitly mentioned
in the sortFields section.
defaultSortOrder (optional): The default sort order can either be asc or desc.
sortFields (mandatory): The list of available sort options, each element in this list must link to an existing
sort field configuration bean.
Adding default filter queries (OPTIONAL)
Default filter queries are applied on all search operations & sidebarfacet clicks. One useful application of default
filter queries is ensuring that all returned results are items. As a result, subcommunities and collections that are
returned as results of the search operation, are filtered out.
Similar to the lists above, the default filter queries are defined as a list. They are optional.
<property name="defaultFilterQueries">
<list>
<value>query1</value>
<value>query2</value>
</list>
</property>
This property contains a simple list which in turn contains the queries. Some examples of possible queries:
search.resourcetype:2
dc.subject:test
dc.contributor.author: "Van de Velde, Kevin"
...
Access Rights Awareness
By default, when searching and browsing using Discovery, you will only see items that you have access to. So,
your search/browse results may differ if you are logged into DSpace. This Access Rights Awareness feature
ensures that anonymous users (and search engines) are not able to access information (both files and
metadata) about embargoed or private items. It also provides you with more direct control over who can see
individual items within your DSpace.
How does Access Rights Awareness work?
Access Rights Awareness checks the "READ" access on the Item.
If the "Anonymous" group has "READ" access on the Item, then anonymous/public users will be able to view
that Item's metadata and locate that Item via DSpace's search/browse system. In addition, search engines will
also be able to index that Item's metadata. However, even with Anonymous READ set at the Item-level, you
may still choose to access-restrict the downloading/viewing of files within the Item. To do so, you would restrict
"READ" access on individual Bitstream(s) attached to the Item.
If the "Anonymous" group does NOT have "READ" access on the Item, then anonymous users will never see
that Item appear within their search/browse results (essentially the Item is "invisible" to them). In addition, that
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Item will be invisible to search engines, so it will never be indexed by them. However, any users who have been
given READ access will be able to find/locate the item after logging into DSpace. For example, if a "Staff" group
was provided "READ" access on the Item, then members of that "Staff" group would be able to locate the item
via search/browse after logging into DSpace.
How can I disable Access Rights Awareness?
If you prefer to allow all access-restricted or embargoed Items to be findable within your DSpace, you can
choose to turn off Access Rights Awareness. However, please be aware that this means that restricting "READ"
access on an Item will not really do anything – the Item metadata will be available to the public no matter what
group(s) were given READ access on that Item.
This feature can be switched off by going to the [dspace.dir]/config/spring/api/discovery.xml file
& commenting out the bean & the alias shown below.
<bean class="org.dspace.discovery.SolrServiceResourceRestrictionPlugin" id="solrServiceResourceInde
xPlugin"/>
<alias name="solrServiceResourceIndexPlugin" alias="org.dspace.discovery.
SolrServiceResourceRestrictionPlugin"/>
The Browse Engine only supports the "Access Rights Awareness" if the Solr/Discovery backend is
enabled (see Defining the Storage of the Browse Data). However, it is enabled by default for DSpace
3.x and above.
Access Rights Awareness - technical details
The DSpaceObject class has an updateLastModified() method which will be triggered each time an
authorization policy changes. This method is only implemented in the item class where the last_modified
timestamp will be updated and a modify event will be fired. By doing this we ensure that the discovery
consumer is called and the item is reindexed. Since this feature can be switched off a separate plugin has been
created: the SolrServiceResourceRestrictionPlugin. Whenever we reindex a DSpace object all the read rights
will be stored in the read field. We make a distinction between groups and users by adding a ' g' prefix for
groups and the 'e' prefix for epersons.
When searching in discovery all the groups the user belongs to will be added as a filter query as well as the
users identifier. If the user is an admin all items will be returned since an admin has read rights on everything.
Customizing the Recent Submissions display
This paragraph only applies to XMLUI. JSPUI relies on the Browse Engine to show "recent
submissions". This requires that the Solr/Discovery backend is enabled (see Defining the Storage of
the Browse Data).
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The recent submissions configuration element contains all the configuration settings to display the list of
recently submitted items on the home page or community/collection page. Because the recent submission
configuration is in the discovery configuration block, it is possible to show 10 recently submitted items on the
home page but 5 on the community/collection pages.
Below is an example configuration of the recent submissions.
<property name="recentSubmissionConfiguration">
<bean class="org.dspace.discovery.configuration.DiscoveryRecentSubmissionsConfiguration">
<property name="metadataSortField" value="dc.date.accessioned"/>
<property name="type" value="date"/>
<property name="max" value="5"/>
</bean>
</property>
The property name & the bean class are mandatory. The property field names are discusses below.
metadataSortField (mandatory): The metadata field to sort on to retrieve the recent submissions
max (mandatory): The maximum number of results to be displayed as recent submissions
type (optional): the type of the search filter. It can either be date or text, if none is defined text will be
used.
Customizing hit highlighting & search snippets
This paragraph only applies to XMLUI. JSPUI does not currently support "highlighting & search
snippets".
The hit highlighting configuration element contains all settings necessary to display search snippets & enable hit
highlighting.
Changes made to the configuration will not automatically be displayed in the user interface. By default,
only the following fields are displayed: dc.title, dc.contributor.author, dc.creator, dc.contributor, dc.date.
issued, dc.publisher, dc.description.abstract and fulltext.
If additional fields are required, look for the "itemSummaryList" template.
Below is an example configuration of hit highlighting.
<property name="hitHighlightingConfiguration">
<bean class="org.dspace.discovery.configuration.DiscoveryHitHighlightingConfiguration">
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<property name="metadataFields">
<list>
<bean class="org.dspace.discovery.configuration.
DiscoveryHitHighlightFieldConfiguration">
<property name="field" value="dc.title"/>
<property name="snippets" value="5"/>
</bean>
<bean class="org.dspace.discovery.configuration.
DiscoveryHitHighlightFieldConfiguration">
<property name="field" value="dc.contributor.author"/>
<property name="snippets" value="5"/>
</bean>
<bean class="org.dspace.discovery.configuration.
DiscoveryHitHighlightFieldConfiguration">
<property name="field" value="dc.subject"/>
<property name="snippets" value="5"/>
</bean>
<bean class="org.dspace.discovery.configuration.
DiscoveryHitHighlightFieldConfiguration">
<property name="field" value="dc.description.abstract"/>
<property name="maxSize" value="250"/>
<property name="snippets" value="2"/>
</bean>
<bean class="org.dspace.discovery.configuration.
DiscoveryHitHighlightFieldConfiguration">
<property name="field" value="fulltext"/>
<property name="maxSize" value="250"/>
<property name="snippets" value="2"/>
</bean>
</list>
</property>
</bean>
</property>
The property name & the bean class are mandatory. The property field names are:
field (mandatory): The metadata field to be highlighted (can also be * if all the metadata fields should be
highlighted).
maxSize (optional): Limit the number of characters displayed to only the relevant part (use metadata
field as search snippet).
snippets (optional): The maximum number of snippets that can be found in one metadata field.
Hit highlighting technical details
The org.dspace.discovery.DiscoveryQuery object has a setter & getter for the hit highlighting configuration set
in Discovery configuration. If this configuration is given the resolveToSolrQuery method located in the org.
dspace.discovery.SolrServiceImpl class will use the standard Solr highlighting feature (http://wiki.apache.org/solr
/HighlightingParameters). The org.dspace.discovery.DiscoverResult class has a method to set the highlighted
fields for each object & field.
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The rendering of search results is no longer handled by the METS format but uses a special type of list named
"TYPE_DSO_LIST". Each metadata field (& fulltext if configured) is added in the DRI and IF the field contains
hit higlighting the Java code will split up the string & add DRI highlights to the list. The XSL for the themes also
contains special rendering XSL for the DRI; for Mirage, the changes are located in the discovery.xsl file. For
themes using the old themes based on structural.xsl, look for the template matching " dri:list[@type='dsolist']".
"More like this" configuration
This paragraph only apply to XMLUI. The JSPUI does not currently support the "More like this"
feature.
The "more like this"-configuration element contains all the settings for displaying related items on an item
display page.
Below is an example of the "more like this" configuration.
<property name="moreLikeThisConfiguration">
<bean class="org.dspace.discovery.configuration.DiscoveryMoreLikeThisConfiguration">
<property name="similarityMetadataFields">
<list>
<value>dc.title</value>
<value>dc.contributor.author</value>
<value>dc.creator</value>
<value>dc.subject</value>
</list>
</property>
<!--The minimum number of matching terms across the metadata fields above before an item
is found as related -->
<property name="minTermFrequency" value="5"/>
<!--The maximum number of related items displayed-->
<property name="max" value="3"/>
<!--The minimum word length below which words will be ignored-->
<property name="minWordLength" value="5"/>
</bean>
</property>
The property name & the bean class are mandatory. The property field names are discussed below.
similarityMetadataFields: the metadata fields checked for similarity
minTermFrequency: The minimum number of matching terms accross the metadata fields above before
an item is found as related
max: The maximum number of related items displayed
minWordLength: The minimum word length below which words will be ignored
"More like this" technical details
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The org.dspace.discovery.SearchService object has received a getRelatedItems() method. This method
requires an item & the more-like-this configuration bean from above. This method is implemented in the org.
dspace.discovery.SolrServiceImpl which uses the item as a query & uses the default Solr parameters for morelike-this to pass the bean configuration to solr (https://cwiki.apache.org/confluence/display/solr/MoreLikeThis).
The result will be a list of items or if none found an empty list. The rendering of this list is handled in the org.
dspace.app.xmlui.aspect.discovery.RelatedItems class.
"Did you mean" spellcheck aid for search configuration
DSpace 4 introduces the use of SOLR's SpellCheckComponent as an aid for search. When a user's search
does not return any hits, the user is presented with a suggestion for an alternative search query.
The feature currently only one line of configuration to discovery.xml. Changing the value from true to false will
disable the feature.
<property name="spellCheckEnabled" value="true" />
"Did you mean" spellcheck aid for search technical details
Similar to the More like this configuration, SOLR's spell check component is used with default configuration
values. Any of these values can be overridden in the solrconfig.xml file located in dspace/solr/search/conf/.
Following links provide more information about the SOLR SpellCheckComponent:
http://wiki.apache.org/solr/SpellCheckComponent
https://cwiki.apache.org/confluence/display/solr/Spell+Checking
Customizing the "Tag Cloud" facet
This paragraph only applies to JSPUI
<!-- Set TagCloud configuration per discovery configuration -->
<property name="tagCloudFacetConfiguration" ref="defaultTagCloudFacetConfiguration"/>
Declare the bean (of class: TagCloudFacetConfiguration) that holds the configuration for the tag cloud facet.
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<!--TagCloud configuration bean for homepage discovery configuration-->
<bean id="homepageTagCloudFacetConfiguration" class="org.dspace.discovery.configuration.
TagCloudFacetConfiguration">
<!-- Actual configuration of the tagcloud (colors, sorting, etc.) -->
<property name="tagCloudConfiguration" ref="tagCloudConfiguration"/>
<!-- List of tagclouds to appear, one for every search filter, one after the other -->
<property name="tagCloudFacets">
<list>
<ref bean="searchFilterSubject" />
</list>
</property>
</bean>
This bean has two properties:
tagCloudConfiguration: is the bean which describes the actual appearance parameters
tagCloudFacets: the search filter facets which will be used for the tag cloud. If you leave the list empty,
no tag cloud will appear. If you declare more than one, such number of tag clouds will appear for each
search filter, one after the other.
The appearance configuration can have the following properties, as shown in the following bean:
<bean id="tagCloudConfiguration" class="org.dspace.discovery.configuration.TagCloudConfiguration">
<!-- Should display the score of each tag next to it? Default: false -->
<property name="displayScore" value="true"/>
<!-- Should display the tag as center aligned in the page or left aligned? Possible
values: true | false. Default: true -->
<property name="shouldCenter" value="true"/>
<!-- How many tags will be shown. Value -1 means all of them. Default: -1 -->
<property name="totalTags" value="-1"/>
<!-- The letter case of the tags.
Possible values: Case.LOWER | Case.UPPER | Case.CAPITALIZATION | Case.
PRESERVE_CASE | Case.CASE_SENSITIVE
Default: Case.PRESERVE_CASE -->
<property name="cloudCase" value="Case.PRESERVE_CASE"/>
<!-- If the 3 CSS classes of the tag cloud should be independent of score
(random=yes) or based on the score. Possible values: true | false . Default: true-->
<property name="randomColors" value="true"/>
<!-- The font size (in em) for the tag with the lowest score. Possible values: any
decimal. Default: 1.1 -->
<property name="fontFrom" value="1.1"/>
<!-- The font size (in em) for the tag with the lowest score. Possible values: any
decimal. Default: 3.2 -->
<property name="fontTo" value="3.2"/>
<!-- The score that tags with lower than that will not appear in the rag cloud.
Possible values: any integer from 1 to infinity. Default: 0 -->
<property name="cuttingLevel" value="0"/>
<!-- The distance (in px) between the tags. Default: 5 -->
<property name="marginRight" value="5"/>
<!-- The ordering of the tags (based either on the name or the score of the tag)
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Possible values: Tag.NameComparatorAsc | Tag.NameComparatorDesc | Tag.
ScoreComparatorAsc | Tag.ScoreComparatorDesc
Default: Tag.NameComparatorAsc -->
<property name="ordering" value="Tag.NameComparatorAsc"/>
</bean>
When tagCloud is rendered there are some CSS classes that you can change in order to change the
appearance of the tag cloud.
Class
Note
tagcloud
General class for the whole tagcloud
tagcloud_1
Specific tag class for tag of type 1 (based on score)
tagcloud_2
Specific tag class for tag of type 2 (based on score)
tagcloud_3
Specific tag class for tag of type 3 (based on score)
Discovery Solr Index Maintenance
Command used:
[dspace]/bin/dspace index-discovery [-cbhf[r <item
handle>]]
Java class:
org.dspace.discovery.IndexClient
Arguments (short and long
Description
forms):
called without any options, will update/clean an existing index
-b
(re)build index, wiping out current one if it exists
-c
clean existing index removing any documents that no longer exist in the db
-f
if updating existing index, force each handle to be reindexed even if up to
date
-h
print this help message
-o
optimize search core
-r <item handle>
remove an Item, Collection or Community from index based on its handle
-s
Rebuild the spellchecker, can be combined with -b and -f.
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Routine Discovery Solr Index Maintenance
It is recommended to run maintenance on the Discovery Solr index occasionally (from crontab or your system's
scheduler), to prevent your servlet container from running out of memory:
[dspace]/bin/dspace index-discovery -o
(Since Solr 4, the underlying optimize operation has been discouraged as mostly unnecessary and renamed.
See https://issues.apache.org/jira/browse/SOLR-3141).
Advanced Solr Configuration
Discovery is built as an application layer on top of the Solr open source enterprise search server. Therefore,
Solr configuration can be applied to the Solr cores that are shipped with DSpace.
The DSpace Solr instance currently runs several cores (which means indexes in Solr parlance). The "statistics"
core is for collection of DSpace usage events for statistical purposes (if you have been collecting statistics for
multiple years, you may have chosen to use sharding and you will see one core per each year collected). The
"search" core is used by Discovery for for search and faceting, for displaying the collection/community hierarchy
and item counts. The "authority" core is used by SolrAuthority to store information about authors, including their
data imported from the ORCID registry.
solr
solr.xml
search
conf
admin-extra.html
elevate.xml
protwords.txt
schema.xml
scripts.conf
solrconfig.xml
spellings.txt
stopwords.txt
synonyms.txt
xslt
DRI.xsl
example.xsl
example_atom.xsl
example_rss.xsl
luke.xsl
...
statistics
conf
admin-extra.html
elevate.xml
protwords.txt
schema.xml
scripts.conf
solrconfig.xml
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spellings.txt
stopwords.txt
synonyms.txt
xslt
example.xsl
example_atom.xsl
example_rss.xsl
luke.xsl
Internationalization
Discovery has its own messages.xml file, located at dspace-xmlui/src/main/resources/aspects/Discovery/i18n
/messages.xml. To add your own labels for new fields and facets in a Maven overlay, copy this file to dspace
/modules/xmlui/src/main/resources/aspects/Discovery/i18n/messages.xml and modify this file. Alternatively, you
may add them to the main messages.xml file. Same goes for translations - it's encouraged to submit a single
messages_XX.xml file including messages from all the separate messages.xml files in DSpace.
Advanced search related keys (change "author" to desired field)
Filter name
xmlui.ArtifactBrowser.SimpleSearch.filter.author
Facet heading
xmlui.ArtifactBrowser.AdvancedSearch.type_author
"Filter by" page heading
xmlui.Discovery.AbstractSearch.type_author
4.7.2 Localization L10n
1 Introduction
2 Common areas of localization
2.1 Enabling additional locales
2.2 Localization of email messages
2.3 Metadata localization
3 XMLUI specific localization
3.1 Message catalog
3.2 Where to find the message catalog
3.3 Where to edit
3.4 Difference with JSPUI
4 JSPUI specific localization
4.1 Message catalog
4.2 Where to find the message catalog
4.3 Where to edit
4.4 Localization of input-forms.xml and license.default
5 Community translations for input-forms.xml and email messages
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Introduction
DSpace ships with a number of interface translations. This page provides information on areas that can be
localized by means of configuration or customization. By default, DSpace will look at the user's browser
language. If it has a language file in the user's language, it will render the interface in that language. If not, it will
default to English or another default that you have configured.
Common areas of localization
Enabling additional locales
Out of the box, DSpace only has English enabled as a supported locale. Additional locales and the default
locale are managed through the following parameters in dspace.cfg:
dspace.cfg configuration parameters
webui.supported.locales
default.locale
You can change default.locale to a different one than English after adding it to webui.supported.locales.
Localization of email messages
All email templates used by DSpace can be found in
Path to the DSpace email templates
[dspace]/config/emails
The contents of the emails can be edited and translated.
Metadata localization
DSpace associates each metadata field value with a language code (though it may be left empty, e.g. for
numeric values).
XMLUI specific localization
Message catalog
XMLUI supports multiple languages through the use of internationalization catalogues as defined by the Cocoon
Internationalization Transformer. Each catalog contains the translation of all user-displayed strings into a
particular language or variant. Each catalog is a single xml file whose name is based upon the language it is
designated for, thus:
messages_language_country_variant.xml
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messages_language_country.xml
messages_language.xml
messages.xml
The interface will automatically determine which file to select based upon the user's browser and system
configuration. For example, if the user's browser is set to Australian English then first the system will check if
messages_en_au.xml is available. If this translation is not available it will fall back to messages_en.xml, and
finally if that is not available, messages.xml.
Where to find the message catalog
The latest English message catalog is part of the main DSpace distribution and can be found at:
Location of the XMLUI message catalog in the DSpace source tree
[dspace-source]/dspace-xmlui/src/main/webapp/i18n/messages.xml
The different translations for this message catalog are being managed separately from the DSpace core
project, in order to release updates for these files more frequently than the DSpace software itself. Visit the
dspace-xmlui-lang project on Github.
Where to edit
In some cases you may want to add additional keys to the message catalog or changing the particular wording
of DSpace concepts. For example, you may want to change "Communities" into "Departments". These kind of
changes may get automatically overwritten again when you upgrade to the newest version of DSpace. It is
therefore advised to keep such changes isolated in the following location:
Recommended location for i18n customizations
[dspace-source]/dspace/modules/xmlui/src/main/webapp/i18n/
After rebuilding DSpace, any messages files placed in this directory will be automatically included in the XMLUI
web application. Files of the same name will override any default files. By default, this full directory path may not
exist or may be empty. If it does not exist, you can simply create it. You can place any number of translation
catalogues in this directory. To add additional translations, just add another copy of the messages.xml file
translated into the specific language and country variant you need.
After building and deploying, DSpace will finally read the files from the following location:
Location where your i18n files are being deployed
[dspace]/webapps/xmlui/i18n/messages.xml
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Again, note that you will need to rebuild DSpace for these changes to take effect in your installed XMLUI web
application!
Do not customize your messages in the webapps directory
While it seems like a fast option to change your messages straight in the deployed dspace directory,
these changes are very volatile. If you rebuild and redeploy DSpace, these changes will get lost.
For more information about the [dspace-source]/dspace/modules/ directory, and how it may be used to
"overlay" (or customize) the default XMLUI interface, classes and files, please see: Advanced Customisation
Difference with JSPUI
In JSPUI, a wider range of files, including input-forms.xml and default.license can be localized by adding
_COUNTRY at the end of the filename. This is currently not supported in XMLUI.
JSPUI specific localization
Message catalog
The Java Standard Tag Library v1.0 is used to specify messages in the JSPs like this:
<H1><fmt:message key="jsp.search.results.title"/></H1>
This message can be changed using the Messages.properties file. This must be done at build-time: Messages.
properties is placed in the dspace Web application folder/archive.
jsp.search.results.title = Search Results
Phrases may have parameters to be passed in, to make the job of translating easier, reduce the number of
'keys' and to allow translators to make the translated text flow more appropriately for the target language. Here
is an example of a phrase in which two parameters are passed in:
jsp.search.results.text = Results {0}-{1} of {2}
Multiple Messages.properties can be created for different languages. See ResourceBundle. e.g. you can add
German and Canadian French translations:
Messages_de.properties
Messages_fr_CA.properties
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The end user's browser settings determine which language is used by default. The user can change the
language by clicking a link in the UI. These links are visible if more than one language is configured in DSpace.
The English language file Messages.properties (or the default server locale) will be used as a fallback if there's
no language bundle for the end user's preferred language. Note that the English file is not called Messages_en.
properties. This is because it is always available as a fallback, regardless of server configuration.
Where to find the message catalog
The latest English message catalog is part of the main DSpace distribution and can be found at:
Location of the JSPUI message catalog in the DSpace source tree
[dspace-source]/dspace-api/src/main/resources/Messages.properties
The different translations for this message catalog are being managed separately from the DSpace core
project, in order to release updates for these files more frequently than the DSpace software itself. Visit the
dspace-api-lang project on Github.
Where to edit
In some cases you may want to add additional keys to the message catalog or changing the particular wording
of DSpace concepts. For example, you may want to change "Communities" into "Departments". These kind of
changes may get automatically overwritten again when you upgrade to the newest version of DSpace. It is
therefore advised to keep such changes isolated in the following location:
Recommended location for i18n customizations
[dspace-source]/dspace/modules/jspui/src/main/resources/
After rebuilding DSpace, any messages files placed in this directory will be automatically included in the JSPUI
web application. Files of the same name will override any default files. By default, this full directory path may not
exist or may be empty. If it does not exist, you can simply create it. You can place any number of translation
catalogues in this directory. To add additional translations, just add another copy of the M essages.properties file
translated into the specific language and country variant you need.
After building and deploying, DSpace will finally read the files from the dspace-api-5_x.jar file in your [tomcat]
\webapps\jspui\WEB-INF\lib directory.
Again, note that you will need to rebuild DSpace for these changes to take effect in your installed JSPUI web
application!
For more information about the [dspace-source]/dspace/modules/ directory, and how it may be used to
"overlay" (or customize) the default JSPUI interface, classes and files, please see: Advanced Customisation
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Localization of input-forms.xml and license.default
The display labels for input-forms.xml and the text in the default submission license (license.default) are
currently not managed in the messages catalogs. To localize these files, you can create versions of these files
in the same folders, appending _LANGUAGE or _LANGUAGE_COUNTRY at the end of the filename, before
the extension. For example, input-forms_de.xml can be used to translate the submission form labels in German.
Community translations for input-forms.xml and email messages
Even though they are currently not managed on Github yet, some community translations are available for other
files, such as emails and the input-forms.xml.
Click here to access an overview of community translations (DSpace wiki)
4.7.3 JSPUI Configuration and Customization
The DSpace digital repository supports two user interfaces: one based on JavaServer Pages (JSP)
technologies and one based upon the Apache Cocoon framework (XMLUI). This chapter describes those
parameters which are specific to the JPSUI interface.
1 Configuration
2 Customizing the JSP pages
Configuration
The user will need to refer to the extensive WebUI/JSPUI configurations that are contained in JSP Web
Interface Settings.
Customizing the JSP pages
The JSPUI interface is implemented using Java Servlets which handle the business logic, and JavaServer
Pages (JSPs) which produce the HTML pages sent to an end-user. Since the JSPs are much closer to HTML
than Java code, altering the look and feel of DSpace is relatively easy.
To make it even easier, DSpace allows you to 'override' the JSPs included in the source distribution with
modified versions, that are stored in a separate place, so when it comes to updating your site with a new
DSpace release, your modified versions will not be overwritten. It should be possible to dramatically change the
look of DSpace to suit your organization by just changing the CSS style file and the site 'skin' or 'layout' JSPs in
jsp/layout; if possible, it is recommended you limit local customizations to these files to make future upgrades
easier.
You can also easily edit the text that appears on each JSP page by editing the Messages.properties file.
However, note that unless you change the entry in all of the different language message files, users of other
languages will still see the default text for their language. See Internationalization in Application Layer.
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Note that the data (attributes) passed from an underlying Servlet to the JSP may change between versions, so
you may have to modify your customized JSP to deal with the new data.
Thus, if possible, it is recommended you limit your changes to the 'layout' JSPs and the stylesheet.
The JSPs are available in one of two places:
[dspace-source]/dspace-jspui/dspace-jspui-webapp/src/main/webapp/ - Only exists if you downloaded
the full Source Release of DSpace
[dspace-source]/dspace/target/dspace-[version].dir/webapps/dspace-jspui-webapp/ - The location where
they are copied after first building DSpace.
If you wish to modify a particular JSP, place your edited version in the [dspace-source]/dspace/modules/jspui
/src/main/webapp/ directory (this is the replacement for the pre-1.5 /jsp/local directory), with the same path as
the original. If they exist, these will be used in preference to the default JSPs. For example:
DSpace default
Locally-modified version
[jsp.dir]/community-list.jsp
[jsp.custom-dir]/dspace/modules/jspui/src/main/webapp/community-list.jsp
[jsp.dir]/mydspace/main.jsp
[jsp.custom-dir]/dspace/modules/jspui/src/main/webapp/mydspace/main.jsp
Heavy use is made of a style sheet, styles.css. If you make edits, copy the local version to [jsp.custom-dir]
/dspace/modules/jspui/src/main/webapp/styles.css, and it will be used automatically in preference to the default,
as described above.
Fonts and colors can be easily changed using the stylesheet. The stylesheet is a JSP so that the user's browser
version can be detected and the stylesheet tweaked accordingly.
The 'layout' of each page, that is, the top and bottom banners and the navigation bar, are determined by the
JSPs /layout/header-*.jsp and /layout/footer-*.jsp. You can provide modified versions of these (in [jsp.custom-dir]
/dspace/modules/jspui/src/main/webapp/layout), or define more styles and apply them to pages by using the
"style" attribute of the dspace:layout tag.
1. Rebuild the DSpace installation package by running the following command from your [dspace-source]
/dspace/ directory:
mvn package
2. Update all DSpace webapps to [dspace]/webapps by running the following command from your [dspace-
source]/dspace/target/dspace-installer directory:
ant -Dconfig=[dspace]/config/dspace.cfg update
3.
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3. Deploy the the new webapps:
cp -R /[dspace]/webapps/* /[tomcat]/webapps
4. Restart Tomcat
When you restart the web server you should see your customized JSPs.
4.7.4 XMLUI Configuration and Customization
The DSpace digital repository supports two user interfaces: one based on JavaServer Pages (JSP)
technologies and one based upon the Apache Cocoon framework (XMLUI). This chapter describes those
parameters which are specific to the Manakin (XMLUI) interface based upon the Cocoon framework.
1 Overview of XMLUI / Manakin
1.1 Understanding the Flow of an XMLUI Request
2 Manakin Configuration Property Keys
3 Configuring Themes and Aspects
3.1 Aspects
3.2 Themes
4 Multilingual Support
5 Creating a New Theme
6 Customizing the News Document
7 Adding Static Content
8 Harvesting Items from XMLUI via OAI-ORE or OAI-PMH
8.1 Automatic Harvesting (Scheduler)
9 Additional XMLUI Learning Resources
Overview of XMLUI / Manakin
For more information & diagrams
For a more detailed overview of XMLUI/Manakin, see the following resources:
Introducing Manakin (XMLUI) - Provides an overview of what XMLUI is and how it works.
Learning to Use Manakin (XMLUI) - Overview of how to use Manakin and how it works. Based
on DSpace 1.5, but also valid for current versions
Making DSpace XMLUI Your Own - Concentrates on using Maven to build Overlays in the
XMLUI (Manakin). Also has very basic examples for JSPUI. Based on DSpace 1.6.x but also
valid for current versions.
Manakin theme tutorial - with good debugging tips
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The XMLUI (aka Manakin) is built on Apache Cocoon framework. The XMLUI uses Cocoon to provide a
modular, extendable, tiered interface framework
The XMLUI essentially consists of three main tiers, in increasing order of complexity:
1. Style Tier - allows one to use CSS and simple XHTML to stylize an existing XMLUI Theme
2. Theme Tier - allows one to use XSLT, XHTML and CSS to create new, more complex XMLUI Theme(s)
3. Aspect Tier - allows one to use the Cocoon framework and Java (or XSLT) to create new features
(aspects), and generate new content into DRI.
These tiers are very important and powerful because of their modularity. For example, based on your local
expertise with these technologies, your institution may decide to only modify the XMLUI at the "Style Tier" (by
just modifying CSS & images in an existing theme). As you learn more about themes & aspects, you may
decide to slowly venture into the more complex "Theme Tier" and finally into the "Aspect Tier". Other institutions
may determine that all they really need to ever do is make "Style Tier" changes.
Digging in a little deeper, there are three main XMLUI components that are unique to the XMLUI and used
throughout the system. These main components are:
DRI Schema- Digital Repository Interface (DRI) XML schema, which is the "abstract representation of a
single repository page". The DRI document is XML that contains all of the information (metadata)
available for display on a given page within the XMLUI. This information includes:
Metadata elements (described in METS, MODS, DSpace Internal Metadata (DIM), Qualified
Dublin Core, etc.)
Structural elements (described in TEI light)
For more specific information about DRI Schema along with examples, see DRI Schema
Reference.
#Aspects - One or more aspects are enabled at a given time. Generally speaking an aspect implements
a set of related features within the XMLUI. More specifically, the enabled aspects are what buildthe DRI
document. So, Aspects are the only things that can change the structure of the DRI document (or add
/remove content to/from DRI)
Aspects apply to all pages across your entire DSpace site. Each aspect must take a valid DRI
document as its input, and also output a valid DRI document.
Aspects usually are written in Java (and controlled by a Cocoon "sitemap.xmap"). However,
Aspects can also be written in XSLT (provided that the input and output are both valid DRI
documents)
#Themes- One or more themes are enabled at a given time. Themes are in charge of stylizing content
into a particular look & feel. More specifically, a theme is what transforms a DRI document into XHTML
(and adds any CSS, javascript, images, etc).
A single Theme may apply to your entire DSpace site, just a specific Community or Collection
(and all members of that Community/Collection), or just a specific page.
A Theme may consist of one or more of the following: an XSLT stylesheet, CSS stylesheets,
images, other static resources.
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More information on creating a theme is available at: #Creating a New Theme
Additional Theme Resources include:
Manakin theme tutorial
Manakin Themes and Recipes
Create a new theme (Manakin)
Understanding the Flow of an XMLUI Request
One of the harder things to initially grasp in the XMLUI is how a single user's request (e.g. clicking on a link or
button) flows through the entire system of enabled Aspects and Themes. Understanding this flow is also very
important as you work to build your own Aspects (or complex Themes), as it may allow you to more easily
determine what is going on in the system.
Before getting started, it's worth mentioning that this request flow is controlled via a series of Cocoon Sitemap
files (named sitemap.xmap, themes.xmap and aspects.xmap). These Sitemap files are Cocoon's way of
defining the flow. More information about Cocoon Sitemaps is available at: http://cocoon.apache.org/2.1
/userdocs/concepts/sitemap.html
The following explanation provides a high level overview of how a request is processed, how a DRI document is
generated (via Aspects), and then how it is transformed into XHTML (via Themes). As this is a high level
overview, some details are likely left out, but the overarching flow is what is most important.
1. A user visits an XMLUI page (by clicking a link or button, etc)
2. That request begins in the root Cocoon sitemap.xmap (located at [xmlui]/sitemap.xmap). This is
the main entry point for all requests
a. Within that sitemap, various URL path matching takes place. If the request is to download a
document, that document is returned immediately.
b. However, in many cases, the request is for a page within the XMLUI. In this scenario, the root
sitemap.xmap will load the [xmlui]/themes/themes.xmapfile, which controls all the Themes.
i. The themes.xmap file will then load all "matching" themes which are configured in your
[dspace]/config/xmlui.xconf file (see #Themes below).
ii. If more than one theme matches the current URL path, then the first match wins
iii. Once a matching theme is located, that theme's sitemap.xmapfile (located in its theme
directory) is loaded and processed.
1. The theme's sitemap.xmapis in charge of actually loading the theme's XSLT, CSS,
etc. However, before it does that, you'll notice it makes a call to generate the DRI
document for the current page as follows:
<map:generate type="file" src="cocoon://DRI/{1}"/>
2. This DRI call generates a brand new, internal Cocoon request. This request is then
processed back in the root sitemap.xmap (remember how we said that this
sitemap is the main entry point for all requests).
3.
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3. Back in the root sitemap, the "DRI/**" call is matched. This causes the [xmlui]/aspects/aspects.
xmapfile to be loaded. As the name suggests, this file obviously controls all the Aspects.
a. The aspects.xmap file will then load all enabled Aspects which are configured in your [dspace]
/config/xmlui.xconf file (see #Aspects below).
b. Each aspect is loaded in the order that it appears. However, multiple aspects may be loaded for
the same URL path. Remember, aspects can build upon each other (we call this an "aspect
chain") as they work together to generate the final DRI document.
c. When an Aspect is loaded, its sitemap.xmapis loaded & processed
NOTE: An aspect's sitemap.xmap is actually compiled into the dspace-xmlui-api.jar
file. However, if you have a copy of DSpace source handy, it can be found in: [dspacesrc]/dspace-xmlui/dspace-xmlui-api/src/main/resources/aspects/
[name-of-aspect]/
d. Each aspect is processed one-by-one (again in the order they are listed in xmlui.xconf). Each
aspect may add, remove or change content within the DRI document. After the final aspect is
finished processing, the DRI document is complete.
HINT: In the XMLUI you can always view the final DRI document by adding "?XML" or
"&XML" on to the end of the current URL in your web browser, see more instructions for
debugging in Manakin theme tutorial.
4. Once the final DRI document is complete (all aspects are done processing), the flow will return back to
your Theme's sitemap.xmap (remember, this is the same location that triggered the loading of the
Aspects in the first place).
5. At this point, your Theme's sitemap.xmap will continue its processing. Generally speaking, most
themes will then perform one or more XSLT transformations (to transform the final DRI document into
XHTML). They also may load up one or more CSS files to help stylize the final XHTML.
6. Finally, once the Theme has completed its processing (remember, only one theme is ever processed for
a single request), the final generated XHTML document is displayed to the user.
Again, the above flow is a slightly simplified version of what is going on underneath the XMLUI. As you can see,
Cocoon Sitemaps are what control most of the XMLUI processing (and the loading of the Aspects and Theme).
Manakin Configuration Property Keys
In an effort to save the programmer/administrator some time, the configuration table below is taken from 5.3.43.
XMLUI Specific Configuration.
Property:
xmlui.supportedLocales
Example
xmlui.supportedLocales = en, de
Value:
Informational
A list of supported locales for Manakin. Manakin will look at a user's browser configuration for
Note:
the first language that appears in this list to make available to in the interface. This parameter
is a comma separated list of Locales. All types of Locales country, country_language,
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country_language_variant. Note that if the appropriate files are not present (i.e.
Messages_XX_XX.xml) then Manakin will fall back through to a more general language.
Property:
xmlui.force.ssl
Example
xmlui.force.ssl = true
Value:
Informational
Force all authenticated connections to use SSL, only non-authenticated connections are
Note:
allowed over plain http. If set to true, then you need to ensure that the ' dspace.hostname'
parameter is set to the correctly.
Property:
xmlui.user.registration
Example
xmlui.user.registration = true
Value:
Informational
Determine if new users should be allowed to register. This parameter is useful in conjunction
Note:
with Shibboleth where you want to disallow registration because Shibboleth will automatically
register the user. Default value is true.
Property:
xmlui.user.editmetadata
Example
xmlui.user.editmetadata = true
Value:
Informational
Determines if users should be able to edit their own metadata. This parameter is useful in
Note:
conjunction with Shibboleth where you want to disable the user's ability to edit their metadata
because it came from Shibboleth. Default value is true.
Property:
webui.user.assumelogin
Example
webui.user.assumelogin = true
Value:
Informational
Determine if super administrators (those whom are in the Administrators group) can login as
Note:
another user from the "edit eperson" page. This is useful for debugging problems in a running
dspace instance, especially in the workflow process. The default value is false, i.e., no one
may assume the login of another user.
Property:
xmlui.user.loginredirect
Example
xmlui.user.loginredirect = /profile
Value:
Informational
Note:
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After a user has logged into the system, which url should they be directed? Leave this
parameter blank or undefined to direct users to the homepage, or /profile for the user's profile,
or another reasonable choice is /submissions to see if the user has any tasks awaiting their
attention. The default is the repository home page.
Property:
xmlui.theme.allowoverrides
Example
xmlui.theme.allowoverrides = false
Value:
Informational
Allow the user to override which theme is used to display a particular page. When submitting
Note:
a request add the HTTP parameter "themepath" which corresponds to a particular theme, that
specified theme will be used instead of the any other configured theme. Note that this is a
potential security hole allowing execution of unintended code on the server, this option is only
for development and debugging it should be turned off for any production repository. The
default value unless otherwise specified is "false".
Property:
xmlui.bundle.upload
Example
xmlui.bundle.upload = ORIGINAL, METADATA, THUMBNAIL, LICENSE, CC_LICENSE
Value:
Informational
Determine which bundles administrators and collection administrators may upload into an
Note:
existing item through the administrative interface. If the user does not have the appropriate
privileges (add and write) on the bundle then that bundle will not be shown to the user as an
option.
Property:
xmlui.community-list.render.full
Example
xmlui.community-list.render.full = true
Value:
Informational
On the community-list page should all the metadata about a community/collection be
Note:
available to the theme. This parameter defaults to true, but if you are experiencing
performance problems on the community-list page you should experiment with turning this
option off.
Property:
xmlui.community-list.cache
Example
xmlui.community-list.cache = 12 hours
Value:
Informational
Normally, Manakin will fully verify any cache pages before using a cache copy. This means
Note:
that when the community-list page is viewed the database is queried for each community
/collection to see if their metadata has been modified. This can be expensive for repositories
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with a large community tree. To help solve this problem you can set the cache to be assumed
valued for a specific set of time. The downside of this is that new or editing communities
/collections may not show up the website for a period of time.
Property:
xmlui.bistream.mods
Example
xmlui.bistream.mods = true
Value:
Informational
Optionally, you may configure Manakin to take advantage of metadata stored as a bitstream.
Note:
The MODS metadata file must be inside the "METADATA" bundle and named MODS.xml. If
this option is set to 'true' and the bitstream is present then it is made available to the theme
for display.
Property:
xmlui.bitstream.mets
Example
xmlui.bitstream.mets = true
Value:
Informational
Optionally, you may configure Manakin to take advantage of metadata stored as a bitstream.
Note:
The METS metadata file must be inside the "METADATA" bundle and named METS.xml. If
this option is set to "true" and the bitstream is present then it is made available to the theme
for display.
Property:
xmlui.google.analytics.key
Example
xmlui.google.analytics.key = UA-XXXXXX-X
Value:
Informational
If you would like to use google analytics to track general website statistics then use the
Note:
following parameter to provide your analytics key. First sign up for an account at
http://analytics.google.com, then create an entry for your repositories website. Google
Analytics will give you a snipit of javascript code to place on your site, inside that snip it is
your Google Analytics key usually found in the line: _uacct = "UA-XXXXXXX-X" Take this key
(just the UA-XXXXXX-X part) and place it here in this parameter.
Property:
xmlui.controlpanel.activity.max
Example
xmlui.controlpanel.activity.max = 250
Value:
Informational
Assign how many page views will be recorded and displayed in the control panel's activity
Note:
viewer. The activity tab allows an administrator to debug problems in a running DSpace by
understanding who and how their DSpace is currently being used. The default value is 250.
Property:
xmlui.controlpanel.activity.ipheader
xmlui.controlpanel.activity.ipheader = X-Forward-For
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Example
Value:
Informational
Determine where the control panel's activity viewer receives an events IP address from. If
Note:
your DSpace is in a load balanced environment or otherwise behind a context-switch then you
will need to set the parameter to the HTTP parameter that records the original IP address.
Configuring Themes and Aspects
The Manakin user interface is composed of two distinct components: aspects and themes. Manakin aspects are
like extensions or plugins for Manakin; they are interactive components that modify existing features or provide
new features for the digital repository. Manakin themes stylize the look-and-feel of the repository, community, or
collection.
The repository administrator is able to define which aspects and themes are installed for the particular
repository by editing the [dspace]/config/xmlui.xconf configuration file. The xmlui.xconf file consists of two major
sections: Aspects and Themes.
Aspects
The <aspects> section defines the "Aspect Chain", or the linear set of aspects that are installed in the
repository. For each aspect that is installed in the repository, the aspect makes available new features to the
interface. For example, if the "submission" aspect were to be commented out or removed from the xmlui.xconf,
then users would not be able to submit new items into the repository (even the links and language prompting
users to submit items are removed). Each <aspect> element has two attributes, name and path. The name is
used to identify the Aspect, while the path determines the directory where the aspect's code is located. Here is
the default aspect configuration:
<aspects>
<aspect
<aspect
<aspect
<aspect
<aspect
<aspect
<aspect
<aspect
</aspects>
name="Displaying Artifacts" path="resource://aspects/ViewArtifacts/" />
name="Browsing Artifacts" path="resource://aspects/BrowseArtifacts/" />
name="Searching Artifacts" path="resource://aspects/SearchArtifacts/" />
name="Administration" path="resource://aspects/Administrative/" />
name="E-Person" path="resource://aspects/EPerson/" />
name="Submission and Workflow" path="resource://aspects/Submission/" />
name="Statistics" path="resource://aspects/Statistics/" />
name="Original Workflow" path="resource://aspects/Workflow/" />
A standard distribution of Manakin/DSpace includes eight "core" aspects:
ViewArtifacts The ViewArtifacts Aspect is reposonsible for displaying individual item metadata.
BrowseArtifacts The BrowseArtifacts Aspect is reponsible for displaying different browse options
SearchArtifacts The SearchArtifacts Aspect displays the different search boxes. Shouldn't be
activated together with DSpace Discovery.
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Administrative The Administrative Aspect is responsible for administrating DSpace, such as creating,
modifying and removing all communities, collections, e-persons, groups, registries and authorizations.
E-Person The E-Person Aspect is responsible for logging in, logging out, registering new users, dealing
with forgotten passwords, editing profiles and changing passwords.
Submission The Submission Aspect is responsible for submitting new items to DSpace, determining the
workflow process and ingesting the new items into the DSpace repository.
Statistics The Statistics Aspect is responsible for displaying statistics information.
Workflow The Original Workflow Aspect is responsible for displaying workflow tasks. Shouldn't be
activated with the new workflow called XMLWorkflow
Following Aspects are optional
XMLWorkfflow This Aspect was added in DSpace 1.8 and is responsible for the new configurable
workflow system. Shouldn't be activated together with the Workflow aspect.
Discovery The Discovery Aspect replaces the standard search with faceted searching. It also takes care
of the faceted browse options. Shouldn't be activated togather with SearchArtifacts.
SwordClient The SwordClient aspect displays options that allow you to "push" DSpace content to
another SWORD-server enabled system.
XMLTest An aspect to assist developers in creating themes, as it displays different debugging options.
Following Aspects are deprecated and shouldn't be used anymore at all
ArtifactBrowser This aspect has been split up into ViewArtifacts, BrowseArtifacts and SearchArtifacts in
DSpace 1.7.0
Themes
The <themes> section defines a set of "rules" that determine where themes are installed in the repository. Each
rule is processed in the order that it appears, and the first rule that matches determines the theme that is
applied (so order is important). Each rule consists of a <theme> element with several possible attributes:
name (always required)The name attribute is used to document the theme's name.
path (always required)The path attribute determines where the theme is located relative to the themes/
directory and must either contain a trailing slash or point directly to the theme's sitemap.xmap file.
regex (either regex and/or handle is required)The regex attribute determines which URLs the theme
should apply to.
handle (either regex and/or handle is required)The handle attribute determines which community,
collection, or item the theme should apply to.
If you use the "handle" attribute, the effect is cascading, meaning if a rule is established for a community
then all collections and items within that community will also have this theme apply to them as well. Here
is an example configuration:
<themes>
<theme name="Theme 1" handle="123456789/23" path="theme1/"/>
<theme name="Theme 2" regex="community-list"
path="theme2/"/>
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<theme name="Reference Theme" regex=".*" path="Reference/"/>
</themes>
In the example above three themes are configured: "Theme 1", "Theme 2", and the "Reference Theme".
The first rule specifies that "Theme 1" will apply to all communities, collections, or items that are
contained under the parent community "123456789/23". The next rule specifies any URL containing the
string "community-list" will get "Theme 2". The final rule, using the regular expression ".", will match
*anything, so all pages which have not matched one of the preceding rules will be matched to the
Reference Theme.
Multilingual Support
The XMLUI user interface supports multiple languages through the use of internationalization catalogues as
defined by the Cocoon Internationalization Transformer. Each catalog contains the translation of all userdisplayed strings into a particular language or variant. Each catalog is a single xml file whose name is based
upon the language it is designated for, thus:
messages_language_country_variant.xml
messages_language_country.xml
messages_language.xml
messages.xml
The interface will automatically determine which file to select based upon the user's browser and system
configuration. For example, if the user's browser is set to Australian English then first the system will check if
messages_en_au.xml is available. If this translation is not available it will fall back to messages_en.xml, and
finally if that is not available, messages.xml.
DSpace XMLUI supplies an English only translation of the interface, which can be found in the XMLUI web
application ([dspace]/webapps/xmlui/i18n/messages.xml), after you first build DSpace.
If you wish to add other translations to the system, or make customizations to the existing messages.xml file,
you can place them in the following directory:
[dspace-source]/dspace/modules/xmlui/src/main/webapp/i18n/
After rebuilding DSpace, any messages files placed in this directory will be automatically included in the XMLUI
web application (and files of the same name will override any default files). By default this full directory path
may not exist (if not, just create it) or may be empty. You can place any number of translation catalogues in this
directory. To add additional translations, just add alternative versions of the messages.xml file in specific
language and country variants as needed for your installation.
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To set a language other than English as the default language for the repository's interface, you can simply
rename the translation catalogue for the new default language to "messages.xml".
Again, note that you will need to rebuild DSpace for these changes to take effect in your installed XMLUI web
application!
For more information about the [dspace-source]/dspace/modules/ directory, and how it may be used to
"overlay" (or customize) the default XMLUI interface, classes and files, please see: Advanced Customisation
Creating a New Theme
Manakin themes stylize the look-and-feel of the repository, community, or collection and are distributed as selfcontained packages. A Manakin/DSpace installation may have multiple themes installed and available to be
used in different parts of the repository. The central component of a theme is the sitemap.xmap, which defines
what resources are available to the theme such as XSL stylesheets, CSS stylesheets, images, or multimedia
files.
1) Create theme skeleton
Most theme developers do not create a new theme from scratch; instead they start from the standard theme
template, which defines a skeleton structure for a theme. The template is located at: [dspace-source]/dspace-
xmlui/dspace-xmlui-webbapp/src/main/webbapp/themes/template. To start your new theme simply copy the
theme template into your locally defined modules directory, [dspace-source]/dspace/modules/xmlui/src/main
/webbapp/themes/[your theme's directory]/.
2) Modify theme variables
The next step is to modify the theme's parameters so that the theme knows where it is located. Open the [your
theme's directory]/sitemap.xmap and look for <global-variables>
<global-variables>
<theme-path>[your theme's
directory]</theme-path>
<theme-name>[your theme's name]</theme-name>
</global-variables>
Update both the theme's path to the directory name you created in step one. The theme's name is used only for
documentation.
3) Add your CSS stylesheets
The base theme template will produce a repository interface without any style - just plain XHTML with no color
or formatting. To make your theme useful you will need to supply a CSS Stylesheet that creates your desired
look-and-feel. Add your new CSS stylesheets:
[your theme's directory]/lib/style.css (The base style sheet used for all browsers)
[your theme's directory]/lib/style-ie.css (Specific stylesheet used for internet explorer)
4) Install theme and rebuild DSpace
Next rebuild and deploy DSpace (replace <version> with the your current release):
1.
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1. Rebuild the DSpace installation package by running the following command from your [dspace-source]
/dspace/directory:
mvn package
2. Update all DSpace webapps to [dspace]/webapps by running the following command from your [dspace-
source]/dspace/target/dspace-[version]-build.dirdirectory:
ant -Dconfig=[dspace]/config/dspace.cfg update
3. Deploy the the new webapps:
cp -R /[dspace]/webapps/* /[tomcat]/webapps
4. Restart Tomcat
This will ensure the theme has been installed as described in the previous section "Configuring Themes
and Aspects".
Customizing the News Document
The XMLUI "news" document is only shown on the root page of your repository. It was intended to provide the
title and introductory message, but you may use it for anything.
The news document is located at [dspace]/dspace/config/news-xmlui.xml. There is only one version; it is
localized by inserting "i18n" callouts into the text areas. It must be a complete and valid XML DRI document
(see Chapter 15).
Its (the News document) exact rendering in the XHTML UI depends, of course, on the theme. The default
content is designed to operate with the reference themes, so when you modify it, be sure to preserve the tag
structure and e.g. the exact attributes of the first DIV tag. Also note that the text is DRI, not HTML, so you must
use only DRI tags, such as the XREF tag to construct a link.
Example 1: a single language:
<document>
<body>
<div id="file.news.div.news" n="news" rend="primary">
<head> TITLE OF YOUR REPOSITORY HERE </head>
<p>
INTRO MESSAGE HERE
Welcome to my wonderful repository etc etc ...
A service of <xref target="http://myuni.edu/">My University</xref>
</p>
</div>
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</body>
<options/>
<meta>
<userMeta/>
<pageMeta/>
<repositoryMeta/>
</meta>
</document>
Example 2: all text replaced by references to localizable message keys:
<document>
<body>
<div id="file.news.div.news" n="news" rend="primary">
<head><i18n:text>myuni.repo.title</i18n:text></head>
<p>
<i18n:text>myuni.repo.intro</i18n:text>
<i18n:text>myuni.repo.a.service.of</i18n:text>
<xref target="http://myuni.edu/"><i18n:text>myuni.name</i18n:text></xref>
</p>
</div>
</body>
<options/>
<meta>
<userMeta/>
<pageMeta/>
<repositoryMeta/>
</meta>
</document>
Adding Static Content
The XMLUI user interface supports the addition of globally static content (as well as static content within
individual themes).
Globally static content can be placed in the [dspace-source]/dspace/modules/xmlui/src/main/webapp/static/
directory. By default this directory only contains the default robots.txt file, which provides helpful site information
to web spiders/crawlers. However, you may also add static HTML (*.html) content to this directory, as needed
for your installation.
Any static HTML content you add to this directory may also reference static content (e.g. CSS, Javascript,
Images, etc.) from the same [dspace-source]/dspace/modules/xmlui/src/main/webapp/static/ directory. You may
reference other static content from your static HTML files similar to the following:
<link href="./static/mystyle.css" rel="stylesheet" type="text/css"/>
<img src="./static/images/static-image.gif" alt="Static image in /static/images/ directory"/>
<img src="./static/static-image.jpg" alt="Static image in /static/ directory"/>
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Harvesting Items from XMLUI via OAI-ORE or OAI-PMH
This feature allows you to harvest Items (both metadata and bitstreams) from one DSpace to another DSpace
or from one OAI-PMH/OAI-ORE server to a DSpace instance.
This section will give the necessary steps to set up the OAI-ORE/OAI-PMH Harvester from the XMLUI
(Manakin). This feature is currently not available in the JSPUI.
Setting up a Harvesting Collection:
1. Login to XMLUI and create a new collection.
2. Go to the tab named "Content Source" that appears next to "Edit Metadata" and "Assign Roles " in the
collection edit screens.
3. The two "Content Source" options are "standard DSpace collection" (selected by default) and "collection
harvests its content from an external source". Select "harvests from an external source" option and click
Save.
4. A new set of menus appear to configure the harvesting settings:
"OAI Provider" is in the URL of the OAI-PMH provider that the content from this collection should
be harvested from. The OAI-PMH provider deployed with DSpace typically has the format:
http://dspace.url/oai/request For example, you could use the Demo DSpace OAI-PMH
provider: "http://demo.dspace.org/oai/request"
"OAI Set Id" is the OAI-PMH setSpec of the collection you wish to harvest from. For DSpace, this
Set ID has the format: hdl_<handle-prefix>_<handle-suffix>. For example
"hdl_10673_2" would refer to the Collection whose handle is "10673/2" (on the DSpace Demo
Server, this is the Collection of Sample Items). If the target instance is using OAI 2.0 (DSpace 3.0
or the OAI 2.0 addon for DSpace 1.8.2), replace "hdl_" with "col_" if the set is a collection or with
"com_" if it's a community.
"Metadata format" determines the format that the descriptive metadata will be harvested. The OAIPMH server of the source DSpace instance may only support certain metadata formats. Select
"DSpace Intermediate Metadata" if available (as this provides the richest metadata transfer) and
"Simple Dublin Core" otherwise
To determine which metadata formats an OAI-PMH server supports, you can send a
ListMetadataFormats request to that OAI-PMH server. Typically this has the format:
http://dspace.url/oai/request?verb=ListMetadataFormats For example, you
can see which metadata formats are supported by the DSpace Demo Server by visiting:
http://demo.dspace.org/oai/request?verb=ListMetadataFormats
Click the "Test Settings" button to verify the settings supplied in the previous steps. This will
usually let you know if anything is missing or does not validate correctly. If you receive an error,
you will need to fix the settings before continuing
5. The list of radio buttons labeled "Content being harvested" allows you to select the level of harvest.
These harvesting options include:
Harvest Metadata Only - will only harvest item metadata from the source DSpace (or any OAIPMH source)
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Harvest metadata and references to bitstreams (requires ORE support) - will harvest item
metadata and create links to files/bitstreams (stored remotely) from the source DSpace (requires
OAI-ORE)
Harvest metadata and bitstreams (requires ORE support) - performs a full local replication.
Harvests both item metadata and files/bitstreams (requires OAI-ORE).
6. Select the appropriate option based on your needs, and click Save
At this point the settings are saved and the menu changes to provide three options:
Change Settings : takes you back to the edit screen (see above instructions)
Import Now: performs a single harvest from the remote collection into the local one. Success, notes, and
errors encountered in the process will be reflected in the "Last Harvest Result" entry. More detailed
information is available in the DSpace log.
"Import Now" May Timeout for Large Harvests
Note that the whole harvest cycle is executed within a single HTTP request and will time out for
large collections. For this reason, it is advisable to use the automatic harvest scheduler set up
either in XMLUI or from the command line. If the scheduler is running, "Import Now" will handle
the harvest task as a separate thread.
Reset and Reimport Collection : will perform the same function as "Import Now", but will clear the
collection of all existing items before doing so.
Automatic Harvesting (Scheduler)
Setting up automatic harvesting in the Control Panel Screen.
Login as an Administrative user in XMLUI
Visit the "Harvesting" tab under "Administrative > Control Panel"
The panel offers the following information:
Available actions:
Start Harvester : starts the scheduler. From this point on, all properly configured collections
(listed on the next line) will be harvested at regular intervals. This interval can be changed
in the dspace.cfg using the harvester.harvestFrequency parameter.
Pause : the "nice" stop; waits for the active harvests to finish, saves the state/progress and
pauses execution. Can be either resumed or stopped.
Stop : the "full stop"; waits for the current item to finish harvesting, and aborts further
execution.
Reset Harvest Status : since stopping in the middle of a harvest is likely to result in
collections getting "stuck" in the queue, the button is available to clear all states.
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Additional XMLUI Learning Resources
Useful links with further information into XMLUI Development
Making DSpace XMLUI Your Own - Concentrates on using Maven to build Overlays in the XMLUI
(Manakin). Also has very basic examples for JSPUI. Based on DSpace 1.6.x.
Learning to Use Manakin (XMLUI) - Overview of how to use Manakin and how it works. Based on
DSpace 1.5, but also valid for 1.6.
Introducing Manakin (XMLUI)
Mirage 2 Configuration and Customization
/*<![CDATA[*/ div.rbtoc1475182395246 {padding: 0px;} div.rbtoc1475182395246 ul {liststyle: none;margin-left: 0px;} div.rbtoc1475182395246 li {margin-left: 0px;padding-left:
0px;} /*]]>*/
1 Introduction
2 Responsive design
3 The build process and enabling Mirage 2
3.1 NOT building with Mirage2
3.2 Common Build Issues
4 Configuration options
5 Customizing Mirage 2
5.1 The Mirage 2 color scheme
5.2 Simple styling customization
5.3 Advanced styling customizations
6 Automatically retrieving the latest versions of Mirage 2 dependencies
7 Additional Developer documentation
Introduction
Mirage has been the default XMLUI theme since DSpace 1.7 and has been used as base point for most custom
themes. DSpace 5 includes Mirage 2, also developed by @mire, an upgrade to Mirage built on modern web
technologies. The predominant improvement for the end user is the responsive design. Repository admins and
developers will also benefit because of the tools available to make both simple and advanced customizations.
Responsive design
A responsive website is a website that rearranges its content to fit in different screen sizes. The main focus is to
provide a better overall user experience whether you're browsing on a mobile phone, a tablet or desktop
computer. As opposed to using a separate mobile theme, there's only one version of the website that will work
everywhere. A simply way to find out what the differences are between a narrow screen and a larger screen in
Mirage 2, go to any webpage and resize the browser window. You will notice the sidebar is only shown when
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the window is large enough, otherwise a menu button is displayed to get to the sidebar options. The theme
provides a distinct look for each of the 3 different categories of screen sizes: mobile, tablet and desktop.
The build process and enabling Mirage 2
The modern web technologies that power Mirage 2 include a precompiler ( Compass), a package manager (
Bower) and a task runner (Grunt). These tools can only be installed when some prerequisites are present on
the system. DSpace's Maven build process is capable of making a temporary installation of these dependencies
just so the theme can be built. However the overall build time will be significantly shortened if these
dependencies are manually installed on the system (see below for more info).
All of the Mirage 2 builds require git. Make sure to install git before starting any of the Mirage 2 builds.
By default, DSpace does not build the Mirage 2 theme (as it lengthens the normal build process).
However, you can easily tell DSpace to build Mirage 2 by running the following from your [dspacesource] directory:
mvn package -Dmirage2.on=true
If you wish to speed up the Mirage 2 build process, you can do so by pre-installing all of the
Mirage 2 dependencies on your system (by default they will be downloaded each time you rebuild
Mirage 2). This will significantly shorten the build process for Mirage 2. More information on
installing these prerequisites can be found in the Developer Documentation for Mirage 2. Once
these prerequisites have been installed on your local server, you can then build Mirage 2 more
rapidly by running:
# WARNING: This command will only work if you've manually installed *all* the
prerequisites for Mirage 2
mvn package -Dmirage2.on=true -Dmirage2.deps.included=false
Using an exclamation mark character ("!") in Maven directory name will cause a Mirage 2 build
to fail. See: DS-2749-Mirage2 can't be built in a Windows environmentClosed
After building Mirage 2, you can install this theme into your DSpace by simply re-running Ant from
[dspace-source]/dspace/target/dspace-installer/ :
ant update
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To enable Mirage 2, add the following to the <themes> section of your xmlui.xconf, replacing the
currently active theme:
<theme name="Mirage 2" regex=".*" path="Mirage2/" />
Finally, restart your Tomcat or servlet container, and you should see the Mirage 2 theme.
NOT building with Mirage2
As you get used to building with the mirage2.on=true property, if you ever need to again build without the
Mirage2 theme enabled (for example, if you wish to test functionality not associated with the Mirage2 theme),
you might be tempted to "turn off" Mirage2 building by treating the mirage2.on property as a flag, and setting it
to false. However, if you look at the Maven pom.xml files, you'll see that the value of the property is never
checked, just the existence of it is important. If you wish to build without Mirage2, the easiest thing to do is to
simply omit the mirage2.on property from your mvn command. If you'd really like to ensure the mirage2 profile is
not used, you can explicitly disable the dspace-mirage2 profile with:
mvn package -P-dspace-xmlui-mirage2
Common Build Issues
Running the Mirage 2 build (mvn package -Dmirage.on=true) as the "root" user (or via sudo) will
result in the following error from "Bower". This will result in a broken Mirage 2 build. The fix is to ensure
you are building DSpace as a non-root user account. For more information on this Bower error, see:
http://serverfault.com/questions/548537/cant-get-bower-working-bower-esudo-cannot-be-run-with-sudo
bower ESUDO
Cannot be run with sudo
Additional error details:
Since bower is a user command, there is no need to execute it with superuser permissions.
The Mirage 2 build requires git. Ensure that git is installed before you launch the Mirage 2 build.
The Mirage 2 build process will attempt to retrieve some dependencies from GitHub via the "git" protocol.
This requires outgoing access to github.com, port 9418. If the machine on which you're running the build
has access restrictions in place for that port but outgoing access via HTTPS (port 443) is allowed, you
can substitute the https protocol by running (with the same user account that will run the maven step):
git config --global url."https://github.com/".insteadOf git://github.com/
For more information on this issue, see DS-2428-Mirage 2 build problem - timeout errorClosed
If you want to use the "quick build" option (where you run maven in [dspace-src]/dspace/), you
must install the build dependencies locally, see DS-2368-Mirage2 fails on DSpace 5Volunteer Needed
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Maven 3.3.1 is not supported for DSpace 5.0, 5.1, 5.2 and 5.3, see DS-2533-Mirage 2 doesn't work with
Maven 3.3.xClosed. The problem was fixed for DSpace 5.4 and newer.
If you are building on Windows, you may need extra quotes
mvn package '-Dmirage2.on=true'
Configuration options
Mirage 2 adds two configuration options to dspace.cfg that affect the rendering of bitstream labels on item
pages:
As an administrator, you can choose between displaying the file name (title) or the description (label). Because
bitstream description is an optional value, you can also define a fallback value. The default configuration will
use the label as the first choice, and fall back to the title field.
### Settings for the Item page in Mirage2 theme ###
# Whether the title or the label of a file should be used to display it on the item page
mirage2.item-view.bitstream.href.label.1 = label
# Whether the title or the label of a file should be used as a fallback to display it on the item
page
mirage2.item-view.bitstream.href.label.2 = title
There are other configuration properties that affect the theme. These aren't new but we mention them here for
the sake of completeness.
When METSRIGHT is included in plugin.named.org.dspace.containt.crosswalk.
DisseminationCrosswalk the item page will display those rights.
The property xmlui.theme.mirage.item-list.emphasis defines the style of the item lists. When
the value is 'file' another style is used.
The property webui.browse.render-scientific-formulas includes a javascript library to render
scientific formulas.
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The properties thumbnail.maxheight and thumbnail.maxwidth define the outer bounds for the
dimensions of the item thumbnails in the item lists.
Customizing Mirage 2
Do not attempt the following
Do not attempt to manage local customizations to Mirage 2 in:
[dspace-source]/dspace/modules/xmlui/src/main/webapp/themes
This is where you would put standard XMLUI Themes or customizations. However,
because of the Mirage 2 build process, this won't work.
[dspace-source]/dspace-xmlui-mirage2
This is the place where the community, committers and contributors manage the
STANDARD version of Mirage 2. You could change files there if your intention is to
create a contribution that would benefit everyone. But in this case, we are not talking
about a local customization.
Recommended approach
Manage your local Mirage 2 customizations or derived themes in:
[dspace-source]/dspace/modules/xmlui-mirage2
Managing your local customizations in this folder comes with the advantage that you ONLY need to
keep files you have changed, compared to the standard Mirage 2 folder. To get you started, the
contributors have added a _style.scss file where you can make local scss customizations:
dspace/modules/xmlui-mirage2/src/main/webapp/themes/Mirage2/styles
The Mirage 2 color scheme
The style sheet of Mirage 2 is written in sass and relies on the bootstrap framework. A big advantages of this is
the ease of changing the color scheme. By default Mirage 2 has the colors that are familiar from the classic
Mirage theme, but another color scheme with only the standard bootstrap colors is also ready and available. In
fact this color scheme can be activated by building DSpace using one extra maven profile,
mirage2_bootstrap_color_scheme.
The classic mirage theme is a customization of the bootstrap theme. Thanks to the sass variables, a complete
color scheme can be conceived by modifying one or two variables. These variables are set in the theme's
/styles/classic_mirage_color_scheme/_bootstrap_variables.scss. Copy this file into
[dspace-source]/dspace/modules/xmlui-mirage2/src/main/webapp/themes/Mirage2 and see
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what happens when you change $brand-primary. More detailed information on how to customize this file
can be found in the Mirage 2 readme.
How to reuse an existing bootstrap theme is also explained in that section.
Simple styling customization
Simple customizations imply that they only require custom css, e.g. changing the font or the logo. The theme's
_style.scss file is the right place for this. All the lines of css in this file will be included in the theme's style
sheet. Even though it's a file with the scss extention, the usual lines of css will work just as well.
Advanced styling customizations
For guidelines on how to include javascript, please read the the Additional Developer documentation.
Automatically retrieving the latest versions of Mirage 2 dependencies
Mirage 2 dependencies are automatically pulled in during the Bower step of the build process. For official
DSpace releases, the committers lock the dependencies on a specific version in order to make the behaviour of
the theme predictable.
For development purposes however, it is recommended that set the dependencies to "latest" so you can benefit
from the most recent updates and bugfixes in Mirage 2's dependencies.
You can make these changes in the bower.json file: bower.json
As mentioned in the previous section, make sure you manage this file and any changes you make to it in
[dspace-source]/dspace/modules (e.g. [dspace-source]/dspace/modules/xmlui-mirage2/src
/main/webapp/themes/Mirage2). It is not recommended to update the officially distributed bower.json file
directly in [dspace-source]/dspace-xmlui-mirage2
Additional Developer documentation
Specific guidelines and technical details about Mirage 2 are part of the Readme.MD file in the Mirage 2
sourcetree.
Mirage Configuration and Customization
1 Introduction
2 Configuration Parameters
3 Technical Features
3.1 Look & Feel
3.2 Structural enhancements for easier customization.
3.3 Enhanced Performance
4 Troubleshooting
4.1 Errors using HTTPS
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Introduction
Mirage is a new XMLUI theme, added in DSpace 1.7 by @mire. The code was mainly developed by Art Lowel.
The main benefits of Mirage are:
Clean new look and feel.
Increased browser compatibility. The whole theme renders perfectly in today's modern browsers (Internet
Explorer 7 and higher, Firefox, Safari, Chrome, ...)
Easier to customize.
Enhanced Performance
Configuration Parameters
Property:
xmlui.theme.mirage.item-list.emphasis
Example
xmlui.theme.mirage.item-list.emphasis = metadata
Value:
Informational
Determines which style should be used to display item lists. Allowed values:
Note:
metadata: includes item abstracts in the listing and is suited for scientific articles.
file: immediately shows you whether files are attached to the items, by displaying a
large thumbnail icon for each of the items.
metadata is the default value.
Property:
xmlui.theme.enableConcatenation
Example
xmlui.theme.enableConcatenation = false
Value:
Informational
Allows to enable concatenation for .js and .css files. Enhances performance when enabled by
Note:
lowering the number of files that needs to be sent to the client per page request (as multiple
files will be concatenated together and sent as one file). Value can be true or false. False by
default.
Property:
xmlui.theme.enableMinification
Example
xmlui.theme.enableMinification = false
Value:
Informational
Allows to enable minification for .js and .css files. Enhances performance when enabled by
Note:
removing unnecessary whitespaces and other characters, thus reducing the size of files to be
sent. Value can be true or false. False by default.
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Technical Features
Look & Feel
The Simple Item Display underwent a full redesign to provide visitors with a clearer overview of available
metadata and associated files.
Item list views can now be displayed in two distinct different styles. Switching between these styles is
possible with the new dspace.cfg parameter 'xmlui.theme.mirage.item-list.emphasis'
The 'metadata' list style includes item abstracts in the listing and is suited for scientific articles.
The 'file' list style immediately shows you whether files are attached to the items, by displaying a
large thumbnail icon for each of the items.
Structural enhancements for easier customization.
Based on the new restructured dri2xhtml base templates. Templates in the theme, overriding the
new base templates, are located in the same folder hierarchy to ensure full transparency.
Automated browser feature detection for improved browser compatibility.
In other themes, user agent detection is used to identify which browser version your user is using.
Based on the result of this detection, the theme would use a different cascaded style sheet (CSS)
to render a compatible page for the visitor. This approach has 2 major issues:
User agent detection isn't very reliable
Maintaining these different CSS files is a maintenance nightmare for developers, especially
when using features from newer browsers.
Mirage applies two novel techniques to resolve these issues
For compatibility with older Internet Explorer browsers, conditional comments give the body
tag a class corresponding to the version of IE
modernizr is used to detect which css features are available in the user's browser. This way
you can target all browsers that support a certain feature using css classes, and rules
affecting the same element can be put together in the same place for all browsers.
CSS files are now split up according to function instead of browser. style.css will now fit most needs
for customization. Following additional CSS files are included, but will rarely need to be changed:
reset.css ensures that browser-specific initializations are being reset.
base.css contains a few base styles
helper.css contains helper classes to deal with specific functionality.
handheld.css and print.css enable you to define styles for handheld devices and printing of
pages.
jQuery and jQueryUI are included by default. To avoid conflicts the authority control javascript has
been rewritten to use jQuery instead of Prototype and Script.aculo.us.
Enhanced Performance
Concatenation and Minification techniques for css and js files.
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The IncludePageMeta has been extended to generate URL's to the concatenated version of all
css files using the same media tag.
The ConcatenationReader has been created to return concatenated and minified versions of the
css and js files.
Once js and css files have been minified and concatenated, they are being properly cached. As a
result, the minification and concatenation operations only need to happen once, and do not
include performance overhead.
Caution: when minification is enabled, all code-comments will be removed. This could be a
problem for comments containing copyright notices, so for files with those comments you should
disable minification by adding '?nominify' after the url e.g.
<map:parameter name="javascript" value="lib/js/jquery-ui-1.8.5.custom.min.js?nominify"/>
Disabled by default, these features need to be enabled in the configuration using the properties
'xmlui.theme.enableConcatenation' and 'xmlui.theme.enableMinification'
These features can be enabled for other themes as well, but will require an alteration of the
theme's sitemap.
Javascript references are included at the bottom of the page instead of the top. This optimizes page load
times in general.
Troubleshooting
Errors using HTTPS
DSpace 1.7.0 ships with a hardcoded http:// link for JQuery, causing problems for users running 1.7.0 Mirage on
HTTPS. While awaiting the implementation of this fix in an upcoming release, you can solve in the following file:
lib/core/page-structure.xsl, addJavascript template. In this file, you will need to replace
<script type="text/javascript" src="http://ajax.googleapis.com/ajax/libs/jquery/1.4.2/jquery.min.
js">&#160;</script>
with
<script type="text/javascript">
<xsl:text disable-output-escaping="yes">var JsHost = (("https:" == document.location.
protocol) ? "https://" : "http://");
document.write(unescape("%3Cscript src='" + JsHost + "ajax.googleapis.com/ajax/libs
/jquery/1.4.2/jquery.min.js' type='text/javascript'%3E%3C/script%3E"));</xsl:text>
</script>
Thanks Peter Dietz for providing this fix. Note: This issue is resolved in 1.7.1
XMLUI Base Theme Templates (dri2xhtml)
Two options for base templates to use
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There are two main base templates you can use when creating an XMLUI Theme:
dri2xhtml - used in the generation of default Reference, Classic and Kubrick themes
dri2xhtml-alt - used in the generation of default Mirage theme
You only should use one of these two templates, based on which seems easier to you.
1 dri2xhtml
1.1 Template Structure
2 dri2xhtml-alt
2.1 Configuration and Installation
2.2 Features
2.3 Template Structure
dri2xhtml
The dri2xhtml base template is the original template for creating XMLUI themes. It attempts to provide generic
XSLT templates which are then applied across the entire DSpace site, thus making it easier to make site-wide
changes.
The dri2xhtml base template is used in the following Themes:
Reference - the default XMLUI theme
Classic - an XMLUI theme which looks similar to JSPUI
Kubrick
Template Structure
The dri2xhtml base template consists of five main XSLTs:
dri2xhtml/structural.xsl - this XSLT is in charge of creating the main layout/page structure of
every page within DSpace
dri2xhtml/General-Handler.xsl - this XSLT is in charge of displaying File download links
throughout DSpace (it matches the METS <fileSec> element).
dri2xhtml/DIM-Handler.xsl - this XSLT is in charge of displaying all DIM (DSpace Intermediate
Metadata) metadata throughout DSpace (it matches any DIM metadata in the METS). By default, this is
the template used to display all metadata.
dri2xhtml/MODS-Handler.xsl - this XSLT is in charge of displaying all MODS metadata throughout
DSpace (it matches any MODS metadata in the METS). By default, this template is not used, as MODS
metadata is not generated by XMLUI by default.
dri2xhtml/QDC-Handler.xsl - this XSLT is in charge of displaying all Qualified Dublin Core (QDC)
metadata throughout DSpace (it matches any QDC metadata in the METS). By default, this template is
not used, as QDC metadata is not generated by XMLUI by default.
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dri2xhtml-alt
The dri2xhtml-alt base template is an alternative template for creating XMLUI themes. It contains the same
XSLT templates from dri2xhtml, but they are divided into multiple files and folders. Each file attempts to group
XSLT templates together based on their function, in order to make it easier to find the templates related to the
feature you're trying to modify.
The dri2xhtml-alt base template is used in the following Themes:
Mirage
Configuration and Installation
The alternative basic templates is called "dri2xhtml-alt".
Any of the existing themes can be updated to reference this new set of templates by replacing in your theme.
xsl:
<xsl:stylesheet xmlns:i18n="http://apache.org/cocoon/i18n/2.1"
xmlns:dri="http://di.tamu.edu/DRI/1.0/"
xmlns:mets="http://www.loc.gov/METS/"
xmlns:xlink="http://www.w3.org/TR/xlink/"
xmlns:xsl="http://www.w3.org/1999/XSL/Transform" version="1.0"
xmlns:dim="http://www.dspace.org/xmlns/dspace/dim"
xmlns:xhtml="http://www.w3.org/1999/xhtml"
xmlns:mods="http://www.loc.gov/mods/v3"
xmlns:dc="http://purl.org/dc/elements/1.1/"
xmlns="http://www.w3.org/1999/xhtml"
exclude-result-prefixes="i18n dri mets xlink xsl dim xhtml mods dc">
<!-comment out original dri2xhtml
<xsl:import href="../dri2xhtml.xsl"/>
and enable dri2xhtml-alt
-->
<xsl:import href="../dri2xhtml-alt/dri2xhtml.xsl"/>
<xsl:output indent="yes"/>
Because the contents of dri2xhtml-alt is identical to the current dri2xhtml.xsl and its derivatives, updating any of
the existing themes to reference the new dri2xhtml-alt should not impose any changes in the rendering of the
pages.
Features
No changes to existing templates found in legacy dri2xhtml
Drops inclusion of Handlers other than DIM and Default
Templates divided out into files so they can be more easily located, divided by Aspect, Page and
Functionality
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Template Structure
/dspace-xmlui/dspace-xmlui-webapp/src/main/webapp/themes/dri2xhtml-alt/
aspect
administrative
harvesting.xsl
artifactbrowser
COinS.xsl
ORE.xsl
artifactbrowser.xsl
collection-list.xsl
collection-view.xsl
common.xsl
community-list.xsl
community-view.xsl
item-list.xsl
item-view.xsl
general
choice-authority-control.xsl
core
attribute-handlers.xsl
elements.xsl
forms.xsl
global-variables.xsl
navigation.xsl
page-structure.xsl
utils.xsl
dri2xhtml.xsl
DRI Schema Reference
Digital Repository Interface (DRI) is a schema that governs the structure of a Manakin DSpace page when
encoded as an XML Document. It determines what elements can be present in the Document and the
relationship of those elements to each other. This reference document explains the purpose of DRI, provides a
broad architectural overview, and explains common design patterns. The appendix includes a complete
reference for elements used in the DRI Schema, a graphical representation of the element hierarchy, and a
quick reference table of elements and attributes.
Table of Contents:
1 Introduction
1.1 The Purpose of DRI
1.2 The Development of DRI
2 DRI in Manakin
2.1 Themes
2.2 Aspect Chains
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3 Common Design Patterns
3.1 Localization and Internationalization
3.2 Standard attribute triplet
3.3 Structure-oriented markup
4 Schema Overview
5 Merging of DRI Documents
6 Version Changes
6.1 Changes from 1.0 to 1.1
7 Element Reference
7.1 BODY
7.2 cell
7.3 div
7.4 DOCUMENT
7.5 field
7.6 figure
7.7 head
7.8 help
7.9 hi
7.10 instance
7.11 item
7.12 label
7.13 list
7.14 META
7.15 metadata
7.16 OPTIONS
7.17 p
7.18 pageMeta
7.19 params
7.20 reference
7.21 referenceSet
7.22 repository
7.23 repositoryMeta
7.24 row
7.25 table
7.26 trail
7.27 userMeta
7.28 value
7.29 xref
Introduction
This manual describes the Digital Repository Interface (DRI) as it applies to the DSpace digital repository and
XMLUI Manakin based interface. DSpace XML UI is a comprehensive user interface system. It is centralized
and generic, allowing it to be applied to all DSpace pages, effectively replacing the JSP-based interface system.
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Its ability to apply specific styles to arbitrarily large sets of DSpace pages significantly eases the task of
adapting the DSpace look and feel to that of the adopting institution. This also allows for several levels of
branding, lending institutional credibility to the repository and collections.
Manakin, the second version of DSpace XML UI, consists of several components, written using Java, XML, and
XSL, and is implemented in Cocoon. Central to the interface is the XML Document, which is a semantic
representation of a DSpace page. In Manakin, the XML Document adheres to a schema called the Digital
Repository Interface (DRI) Schema, which was developed in conjunction with Manakin and is the subject of this
guide. For the remainder of this guide, the terms XML Document, DRI Document, and Document will be used
interchangeably.
This reference document explains the purpose of DRI, provides a broad architectural overview, and explains
common design patterns. The appendix includes a complete reference for elements used in the DRI Schema, a
graphical representation of the element hierarchy, and a quick reference table of elements and attributes.
The Purpose of DRI
DRI is a schema that governs the structure of the XML Document. It determines the elements that can be
present in the Document and the relationship of those elements to each other. Since all Manakin components
produce XML Documents that adhere to the DRI schema, The XML Document serves as the abstraction layer.
Two such components, Themes and Aspects, are essential to the workings of Manakin and are described
briefly in this manual.
The Development of DRI
The DRI schema was developed for use in Manakin. The choice to develop our own schema rather than adapt
an existing one came after a careful analysis of the schema's purpose as well as the lessons learned from
earlier attempts at customizing the DSpace interface. Since every DSpace page in Manakin exists as an XML
Document at some point in the process, the schema describing that Document had to be able to structurally
represent all content, metadata and relationships between different parts of a DSpace page. It had to be precise
enough to avoid losing any structural information, and yet generic enough to allow Themes a certain degree of
freedom in expressing that information in a readable format.
Popular schemas such as XHTML suffer from the problem of not relating elements together explicitly. For
example, if a heading precedes a paragraph, the heading is related to the paragraph not because it is encoded
as such but because it happens to precede it. When these structures are attempted to be translated into
formats where these types of relationships are explicit, the translation becomes tedious, and potentially
problematic. More structured schemas, like TEI or DocBook, are domain specific (much like DRI itself) and
therefore not suitable for our purposes.
We also decided that the schema should natively support a metadata standard for encoding artifacts. Rather
than encoding artifact metadata in structural elements, like tables or lists, the schema would include artifacts as
objects encoded in a particular standard. The inclusion of metadata in native format would enable the Theme to
choose the best method to render the artifact for display without being tied to a particular structure.
Ultimately, we chose to develop our own schema. We have constructed the DRI schema by incorporating other
standards when appropriate, such as Cocoon's i18n schema for internationalization, DCMI's Dublin Core, and
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the Library of Congress's METS schema. The design of structural elements was derived primarily from TEI, with
some of the design patterns borrowed from other existing standards such as DocBook and XHTML. While the
structural elements were designed to be easily translated into XHTML, they preserve the semantic relationships
for use in more expressive languages.
DRI in Manakin
The general process for handling a request in DSpace XML UI consists of two parts. The first part builds the
XML Document, and the second part stylizes that Document for output. In Manakin, the two parts are not
discrete and instead wrapped within two processes: Content Generation, which builds an XML representation of
the page, and Style Application, which stylizes the resulting Document. Content Generation is performed by
Aspect chaining, while Style Application is performed by a Theme.
Themes
A Theme is a collection of XSL stylesheets and supporting files like images, CSS styles, translations, and help
documents. The XSL stylesheets are applied to the DRI Document to covert it into a readable format and give it
structure and basic visual formatting in that format. The supporting files are used to provide the page with a
specific look and feel, insert images and other media, translate the content, and perform other tasks. The
currently used output format is XHTML and the supporting files are generally limited to CSS, images, and
JavaScript. More output formats, like PDF or SVG, may be added in the future.
A DSpace installation running Manakin may have several Themes associated with it. When applied to a page, a
Theme determines most of the page's look and feel. Different themes can be applied to different sets of DSpace
pages allowing for both variety of styles between sets of pages and consistency within those sets. The xmlui.
xconf configuration file determines which Themes are applied to which DSpace pages (see the XMLUI
Configuration and Customization section for more information on installing and configuring themes). Themes
may be configured to apply to all pages of specific type, like browse-by-title, to all pages of a one particular
community or collection or sets of communities and collections, and to any mix of the two. They can also be
configured to apply to a singe arbitrary page or handle.
Aspect Chains
Manakin Aspects are arrangements of Cocoon components (transformers, actions, matchers, etc) that
implement a new set of coupled features for the system. These Aspects are chained together to form all the
features of Manakin. Five Aspects exist in the default installation of Manakin, each handling a particular set of
features of DSpace, and more can be added to implement extra features. All Aspects take a DRI Document as
input and generate one as output. This allows Aspects to be linked together to form an Aspect chain. Each
Aspect in the chain takes a DRI Document as input, adds its own functionality, and passes the modified
Document to the next Aspect in the chain.
Common Design Patterns
There are several design patterns used consistently within the DRI schema. This section identifies the need for
and describes the implementation of these patterns. Three patterns are discussed: language and
internationalization issues, standard attribute triplet (id, n, and rend), and the use of structure-oriented markup.
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Localization and Internationalization
Internationalization is a very important component of the DRI system. It allows content to be offered in other
languages based on user's locale and conditioned upon availability of translations, as well as present dates and
currency in a localized manner. There are two types of translated content: content stored and displayed by
DSpace itself, and content introduced by the DRI styling process in the XSL transformations. Both types are
handled by Cocoon's i18n transformer without regard to their origin.
When the Content Generation process produces a DRI Document, some of the textual content may be marked
up with i18n elements to signify that translations are available for that content. During the Style Application
process, the Theme can also introduce new textual content, marking it up with i18n tags. As a result, after the
Theme's XSL templates are applied to the DRI Document, the final output consists of a DSpace page marked
up in the chosen display format (like XHTML) with i18n elements from both DSpace and XSL content. This final
document is sent through Cocoon's i18n transformer that translates the marked up text.
Standard attribute triplet
Many elements in the DRI system (all top-level containers, character classes, and many others) contain one or
several of the three standard attributes: id, n, and rend. The id and n attributes can be required or optional
based on the element's purpose, while the rend attribute is always optional. The first two are used for
identification purposes, while the third is used as a display hint issued to the styling step.
Identification is important because it allows elements to be separated from their peers for sorting, special case
rendering, and other tasks. The first attribute, id, is the global identifier and it is unique to the entire document.
Any element that contains an id attribute can thus be uniquely referenced by it. The id attribute of an element
can be either assigned explicitly, or generated from the Java Class Path of the originating object if no name is
given. While all elements that can be uniquely identified can carry the id attribute, only those that are
independent on their context are required to do so. For example, tables are required to have an id since they
retain meaning regardless of their location in the document, while table rows and cells can omit the attribute
since their meaning depends on the parent element.
The name attribute n is simply the name assigned to the element, and it is used to distinguish an element from
its immediate peers. In the example of a particular list, all items in that list will have different names to
distinguish them from each other. Other lists in the document, however, can also contain items whose names
will be different from each other, but identical to those in the first list. The n attribute of an element is therefore
unique only in the scope of that element's parent and is used mostly for sorting purposes and special rendering
of a certain class of elements, like, for example, all first items in lists, or all items named "browse". The n
attribute follows the same rules as id when determining whether or not it is required for a given element.
The last attribute in the standard triplet is rend. Unlike id and n, the rend attribute can consist of several space
delimited values and is optional for all elements that can contain it. Its purpose is to provide a rendering hint
from the middle layer component to the styling theme. How that hint is interpreted and whether it is used at all
when provided, is completely up the theme. There are several cases, however, where the content of the rend
attribute is outlined in detail and its use is encouraged. Those cases are the emphasis element hi, the division
element div, and the list element. Please refer to the Element Reference for more detail on these elements.
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Structure-oriented markup
The final design pattern is the use of structure-oriented markup for content carried by the XML Document. Once
generated by Cocoon, the Document contains two major types of information: metadata about the repository
and its contents, and the actual content of the page to be displayed. A complete overview of metadata and
content markup and their relationship to each other is given in the next section. An important thing to note here,
however, is that the markup of the content is oriented towards explicitly stating structural relationships between
the elements rather than focusing on the presentational aspects. This makes the markup used by the Document
more similar to TEI or Docbook rather than HTML. For this reason, XSL templates are used by the themes to
convert structural DRI markup to XHTML. Even then, an attempt is made to create XHTML as structural as
possible, leaving presentation entirely to CSS. This allows the XML Document to be generic enough to
represent any DSpace page without dictating how it should be rendered.
Schema Overview
The DRI XML Document consists of the root element document and three top-level elements that contain two
major types of elements. The three top-level containers are meta, body, and options. The two types of elements
they contain are metadata and content, carrying metadata about the page and the contents of the page,
respectively. Figure 1 depicts the relationship between these six components.
Figure 1: The two content types across three major divisions of a DRI page.
The document element is the root for all DRI pages and contains all other elements. It bears only one attribute,
version, that contains the version number of the DRI system and the schema used to validate the produced
document. At the time of writing the working version number is "1.1".
The meta element is a the top-level element under document and contains all metadata information about the
page, the user that requested it, and the repository it is used with. It contains no structural elements, instead
being the only container of metadata elements in a DRI Document. The metadata stored by the meta element is
broken up into three major groups: userMeta, pageMeta, and objectMeta, each storing metadata information
about their respective component. Please refer to the reference entries for more information about these
elements.
The options element is another top-level element that contains all navigation and action options available to the
user. The options are stored as items in list elements, broken up by the type of action they perform. The five
types of actions are: browsing, search, language selection, actions that are always available, and actions that
are context dependent. The two action types also contain sub-lists that contain actions available to users of
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varying degrees of access to the system. The options element contains no metadata elements and can only
make use of a small set of structural elements, namely the list element and its children.
The last major top-level element is the body element. It contains all structural elements in a DRI Document,
including the lists used by the options element. Structural elements are used to build a generic representation of
a DSpace page. Any DSpace page can be represented with a combination of the structural elements, which will
in turn be transformed by the XSL templates into another format. This is the core mechanism that allows
DSpace XML UI to apply uniform templates and styling rules to all DSpace pages and is the fundamental
difference from the JSP approach currently used by DSpace.
The body element directly contains only one type of element: div. The div element serves as a major division of
content and any number of them can be contained by the body. Additionally, divisions are recursive, allowing
divs to contain other divs. It is within these elements that all other structural elements are contained. Those
elements include tables, paragraph elements p, and lists, as well as their various children elements. At the
lower levels of this hierarchy lie the character container elements. These elements, namely paragraphs p, table
cells, lists items, and the emphasis element hi, contain the textual content of a DSpace page, optionally
modified with links, figures, and emphasis. If the division within which the character class is contained is tagged
as interactive (via the interactive attribute), those elements can also contain interactive form fields. Divisions
tagged as interactive must also provide method and action attributes for its fields to use.
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Figure 2: All the elements in the DRI schema (version 1.1).
Merging of DRI Documents
Having described the structure of the DRI Document, as well as its function in Manakin's Aspect chains, we now
turn our attention to the one last detail of their use: merging two Documents into one. There are several
situations where the need to merge two documents arises. In Manakin, for example, every Aspect is
responsible for adding different functionality to a DSpace page. Since every instance of a page has to be a
complete DRI Document, each Aspect is faced with the task of merging the Document it generated with the
ones generated (and merged into one Document) by previously executed Aspects. For this reason rules exist
that describe which elements can be merged together and what happens to their data and child elements in the
process.
When merging two DRI Documents, one is considered to be the main document, and the other a feeder
document that is added in. The three top level containers (meta, body and options) of both documents are then
individually analyzed and merged. In the case of the options and meta elements, the children tags are taken
individually as well and treated differently from their siblings.
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The body elements are the easiest to merge: their respective div children are preserved along with their
ordering and are grouped together under one element. Thus, the new body tag will contain all the divs of the
main document followed by all the divs of the feeder. However, if two divs have the same n and rend attributes
(and in case of an interactive div the same action and method attributes as well), those divs will be merged into
one. The resulting div will bear the id, n, and rend attributes of the main document's div and contain all the divs
of the main document followed by all the divs of the feeder. This process continues recursively until all the divs
have been merged. It should be noted that two divisions with separate pagination rules cannot be merged
together.
Merging the options elements is somewhat different. First, list elements under options of both documents are
compared with each other. Those unique to either document are simply added under the new options element,
just like divs under body. In case of duplicates, that is list elements that belong to both documents and have the
same n attribute, the two lists will be merged into one. The new list element will consist of the main document's
head element, followed label-item pairs from the main document, and then finally the label-item pairs of the
feeder, provided they are different from those of the main.
Finally, the meta elements are merged much like the elements under body. The three children of meta -
userMeta, pageMeta, and objectMeta - are individually merged, adding the contents of the feeder after the
contents of the main.
Version Changes
The DRI schema will continue to evolve overtime as the needs of interface design require. The version attribute
on the document will indicate which version of the schema the document conforms to. At the time Manakin was
incorporated into the standard distribution of DSpac the current version was "1.1", however earlier versions of
the Manakin interface may use "1.0".
Changes from 1.0 to 1.1
There were major structural changes between these two version numbers. Several elements were removed
from the schema:includeSet, include, objectMeta, and object. Originally all metadata for objects were included
in-line with the DRI document, this proved to have several problems and has been removed in version 1.1 of the
DRI schema. Instead of including metadata in-line, external references to the metadata is included. Thus, a
reference element has been added along with referenceSet. These new elements operate like their
counterparts in the previous version except refrencing metadata contained on the objectMeta element they
reference metadata in external files. The repository and repositoryMeta elements were alse modified in a similar
manner removing in-line metadata and refrencing external metadata documents.
Element Reference
Element
Attributes
Required?
BODY
cell
cols
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Element
Attributes
Required?
id
n
rend
role
rows
div
action
required for interactive behavior
behaviorSensitivFields
currentPage
firstItemIndex
id
required
interactive
itemsTotal
lastItemIndex
method
required for interactive
n
required
nextPage
pagesTotal
pageURLMask
pagination
previousPage
rend
DOCUMENT
version
required
field
disabled
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Element
Attributes
Required?
id
required
n
required
rend
required
type
required
figure
rend
source
target
head
id
n
rend
help
hi
rend
required
instance
item
id
n
rend
label
id
n
rend
list
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Element
Attributes
Required?
id
required
n
required
rend
type
META
metadata
element
required
language
qualifier
OPTIONS
p
id
n
rend
pageMeta
params
cols
maxlength
multiple
operations
rows
size
reference
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required
repositoryID
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Element
Attributes
Required?
type
referenceSet
id
required
n
required
orderBy
rend
type
required
repositoryID
required
url
required
repository
repositoryMeta
row
id
n
rend
role
required
cols
required
id
required
n
required
table
rend
rows
required
trail
rend
target
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Element
Attributes
Required?
userMeta
authenticated
required
value
optionSelected
optionValue
xref
type
required
target
required
BODY
Top-Level Container
The body element is the main container for all content displayed to the user. It contains any number of div
elements that group content into interactive and display blocks.
Parent
document
Children
div (any)
Attributes
None
<document version=1.0>
<meta> ... </meta>
<body>
<div n="division-example1"
id="XMLExample.div.division-example1">
...
</div>
<div n="division-example2" id="XMLExample.div.division-example2"
interactive="yes" action="www.DRItest.com"
method="post">
...
</div>
...
</body>
<options> ... </options>
</document>
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cell
Rich Text Container
Structural Element
The cell element contained in a row of a table carries content for that table. It is a character container, just like p
, item, and hi, and its primary purpose is to display textual data, possibly enhanced with hyperlinks, emphasized
blocks of text, images and form fields. Every cell can be annotated with a role (the most common being
"header" and "data") and can stretch across any number of rows and columns. Since cells cannot exist outside
their container, row, their id attribute is optional.
Parent
row
Children
hi (any)
xref (any)
figure (any)
field (any)
Attributes
cols: (optional) The number of columns the cell spans.
id: (optional) A unique identifier of the element.
n: (optional) A local identifier used to differentiate the element from its siblings.
rend: (optional) A rendering hint used to override the default display of the element.
role: (optional) An optional attribute to override the containing row's role settings.
rows: (optional) The number of rows the cell spans.
<table n="table-example" id="XMLExample.table.table-example" rows="2"
cols="3">
<row role="head">
<cell cols="2">Data Label One and Two</cell> <cell>Data Label
Three</cell>
...
</row>
<row>
<cell> Value One </cell> <cell> Value Two </cell> <cell> Value
Three </cell>
...
</row>
...
</table>
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div
Structural Element
The div element represents a major section of content and can contain a wide variety of structural elements to
present that content to the user. It can contain paragraphs, tables, and lists, as well as references to artifact
information stored in artifactMeta, repositoryMeta, collections, and communities. The div element is also
recursive, allowing it to be further divided into other divs. Divs can be of two types: interactive and static. The
two types are set by the use of the interactive attribute and differ in their ability to contain interactive content.
Children elements of divs tagged as interactive can contain form fields, with the action and method attributes of
the div serving to resolve those fields.
Parent
body
div
Children
head (zero or one)
pagination (zero or one)
table (any)
p (any)
referenceSet (any)
list (any)
div (any)
Attributes
action: (required for interactive) The form action attribute determines where the form information should
be sent for processing.
behavior: (optional for interactive) The acceptable behavior options that may be used on this form. The
only possible value defined at this time is "ajax" which means that the form may be submitted multiple
times for each individual field in this form. Note that if the form is submitted multiple times it is best for the
behaviorSensitiveFields to be updated as well.
behaviorSensitiveFields: (optional for interactive) A space separated list of field names that are
sensitive to behavior. These fields must be updated each time a form is submitted with out a complete
refresh of the page (i.e. ajax).
currentPage: (optional) For paginated divs, the currentPage attribute indicates the index of the page
currently displayed for this div.
firstItemIndex: (optional) For paginated divs, the firstItemIndex attribute indicates the index of the first
item included in this div.
id: (required) A unique identifier of the element.
interactive: (optional) Accepted values are "yes", "no". This attribute determines whether the div is
interactive or static. Interactive divs must provide action and method and can contain field elements.
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itemsTotal: (optional) For paginated divs, the itemsTotal attribute indicates how many items exit across
all paginated divs.
lastItemIndex: (optional) For paginated divs, the lastItemIndex attribute indicates the index of the last
item included in this div.
method: (required for interactive) Accepted values are "get", "post", and "multipart". Determines the
method used to pass gathered field values to the handler specified by the action attribute. The multipart
method should be used for uploading files.
n: (required) A local identifier used to differentiate the element from its siblings.
nextPage: (optional) For paginated divs the nextPage attribute points to the URL of the next page of the
div, if it exists.
pagesTotal: (optional) For paginated divs, the pagesTotal attribute indicates how many pages the
paginated divs spans.
pageURLMask: (optional) For paginated divs, the pageURLMask attribute contains the mask of a url to a
particular page within the paginated set. The destination page's number should replace the {pageNum}
string in the URL mask to generate a full URL to that page.
pagination: (optional) Accepted values are "simple", "masked". This attribute determines whether the div
is spread over several pages. Simple paginated divs must provide previousPage, nextPage, itemsTotal,
firstItemIndex, lastItemIndex attributes. Masked paginated divs must provide currentPage, pagesTotal,
pageURLMask, itemsTotal, firstItemIndex, lastItemIndex attributes.
previousPage: (optional) For paginated divs the previousPage attribute points to the URL of the
previous page of the div, if it exists.
rend: (optional) A rendering hint used to override the default display of the element. In the case of the div
tag, it is also encouraged to label it as either "primary" or "secondary". Divs marked as primary contain
content, while secondary divs contain auxiliary information or supporting fields.
<body>
<div n="division-example"
id="XMLExample.div.division-example">
<head> Example Division </head>
<p> This example shows the use of divisions. </p>
<table ...>
...
</table>
<referenceSet ...>
...
</referenceSet>
<list ...>
...
</list>
<div n="sub-division-example"
id="XMLExample.div.sub-division-example">
<p> Divisions may be nested </p>
...
</div>
...
</div>
...
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</body>
DOCUMENT
Document Root
The document element is the root container of an XML UI document. All other elements are contained within it
either directly or indirectly. The only attribute it carries is the version of the Schema to which it conforms.
Parent
none
Children
meta (one)
body (one)
options (one)
Attributes
version: (required) Version number of the schema this document adheres to. At the time of writing the
only valid version numbers are "1.0" or "1.1". Future iterations of this schema may increment the version
number.
<document
version="1.1">
<meta>
...
</meta>
<body>
...
</body>
<options>
...
</options>
</document>
field
Text Container
Structural Element
The field element is a container for all information necessary to create a form field. The required type attribute
determines the type of the field, while the children tags carry the information on how to build it. Fields can only
occur in divisions tagged as "interactive".
Parent
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cell
p
hi
item
Children
params (one)
help (zero or one)
error (any)
option (any - only with the select type)
value (any - only available on fields of type: select, checkbox, or radio)
field (one or more - only with the composite type)
valueSet (any)
Attributes
disabled: (optional) Accepted values are "yes", "no". Determines whether the field allows user input.
Rendering of disabled fields may vary with implementation and display media.
id: (required) A unique identifier for a field element.
n: (required) A non-unique local identifier used to differentiate the element from its siblings within an
interactive division. This is the name of the field use when data is submitted back to the server.
rend: (optional) A rendering hint used to override the default display of the element.
required: (optional) Accepted values are "yes", "no". Determines whether the field is a required
component of the form and thus cannot be left blank.
type: (required) A required attribute to specify the type of value. Accepted types are:
button: A button input control that when activated by the user will submit the form, including all
the fields, back to the server for processing.
checkbox: A boolean input control which may be toggled by the user. A checkbox may have
several fields which share the same name and each of those fields may be toggled independently.
This is distinct from a radio button where only one field may be toggled.
file: An input control that allows the user to select files to be submitted with the form. Note that a
form which uses a file field must use the multipart method.
hidden: An input control that is not rendered on the screen and hidden from the user.
password: A single-line text input control where the input text is rendered in such a way as to
hide the characters from the user.
radio: A boolean input control which may be toggled by the user. Multiple radio button fields may
share the same name. When this occurs only one field may be selected to be true. This is distinct
from a checkbox where multiple fields may be toggled.
select: A menu input control which allows the user to select from a list of available options.
text: A single-line text input control.
textarea: A multi-line text input control.
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composite: A composite input control combines several input controls into a single field. The only
fields that may be combined together are: checkbox, password, select, text, and textarea. When
fields are combined together they can posses multiple combined values.
<p>
<hi> ... </hi>
<xref> ... </xref>
<figure> ... </figure>
...
<field id="XMLExample.field.name" n="name" type="text"
required="yes">
<params size="16" maxlength="32"/>
<help>Some help text with <i18n>localized
content</i18n>.</help>
<value type="raw">Default value goes
here</value>
</field>
</p>
figure
Text Container
Structural Element
The figure element is used to embed a reference to an image or a graphic element. It can be mixed freely with
text, and any text within the tag itself will be used as an alternative descriptor or a caption.
Parent
cell
p
hi
item
Children
none
Attributes
rend: (optional) A rendering hint used to override the default display of the element.
source: (optional) The source for the image, using either a URL or a pre-defined XML entity.
target: (optional) A target for an image used as a link, using either a URL or an id of an existing element
as a destination.
<p>
<hi> ... </hi>
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...
<xref> ... </xref>
...
<field> ... </field>
...
<figure source="www.example.com/fig1"> This is a static image.
</figure> <figure source="www.example.com/fig1"
target="www.example.net">
This image is also a link.
</figure>
...
</p>
head
Text Container
Structural Element
The head element is primarily used as a label associated with its parent element. The rendering is determined
by its parent tag, but can be overridden by the rend attribute. Since there can only be one head element
associated with a particular tag, the n attribute is not needed, and the id attribute is optional.
Parent
div
table
list
referenceSet
Children
none
Attributes
id: (optional) A unique identifier of the element
n: (optional) A local identifier used to differentiate the element from its siblings
rend: (optional) A rendering hint used to override the default display of the element.
<div ...>
<head> This is a simple header associated with its div element.
</head>
<div ...>
<head rend="green"> This header will be green.
</head>
<p>
<head> A header with <i18n>localized content</i18n>.
</head>
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...
</p>
</div>
<table ...>
<head> ...
</head>
...
</table>
<list ...>
<head> ...
</head>
...
</list>
...
</body>
help
Text Container
Structural Element
The optional help element is used to supply help instructions in plain text and is normally contained by the field
element. The method used to render the help text in the target markup is up to the theme.
Parent
field
Children
none
Attributes
None
<p>
<hi> ... </hi>
...
<xref> ... </xref>
...
<figure> ... </figure>
...
<field id="XMLExample.field.name" n="name" type="text"
required="yes">
<params size="16" maxlength="32" />
<help>Some help text with <i18n>localized
content</i18n>.</help>
</field>
...
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</p>
hi
Rich Text Container
Structural Element
The hi element is used for emphasis of text and occurs inside character containers like p and list item. It can be
mixed freely with text, and any text within the tag itself will be emphasized in a manner specified by the required
rend attribute. Additionally, hi element is the only text container component that is a rich text container itself,
meaning it can contain other tags in addition to plain text. This allows it to contain other text containers,
including other hi tags.
Parent
cell
p
item
hi
Children
hi (any)
xref (any)
figure (any)
field (any)
Attributes
rend: (required) A required attribute used to specify the exact type of emphasis to apply to the contained
text. Common values include but are not limited to "bold", "italic", "underline", and "emph". This will
resolve to a span of the class name provided in the rend attribute.
<p>
This text is normal, while
<hi rend="bold">this text is bold and
this text is <hi rend="italic">bold and
italic.</hi></hi> <hi rend="glyphicon glyphicon-sunglasses">&#160;</hi> in any theme (such as
Mirage2)
which utilizes Twitter Bootstrap, will result in a "sunglasses" icon.
</p>
instance
Structural Element
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The instance element contains the value associated with a form field's multiple instances. Fields encoded as an
instance should also include the values of each instance as a hidden field. The hidden field should be appended
with the index number for the instance. Thus if the field is "firstName" each instance would be named
"firstName_1", "firstName_2", "firstName_3", etc...
Parent
field
Children
value
Attributes
None listed yet.
Example needed.
item
Rich Text Container
Structural Element
The item element is a rich text container used to display textual data in a list. As a rich text container it can
contain hyperlinks, emphasized blocks of text, images and form fields in addition to plain text.
The item element can be associated with a label that directly precedes it. The Schema requires that if one item
in a list has an associated label, then all other items must have one as well. This mitigates the problem of loose
connections between elements that is commonly encountered in XHTML, since every item in particular list has
the same structure.
Parent
list
Children
hi (any)
xref (any)
figure (any)
field (any)
list (any)
Attributes
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id: (optional) A unique identifier of the element
n: (optional) A non-unique local identifier used to differentiate the element from its siblings
rend: (optional) A rendering hint used to override the default display of the element.
<list n="list-example"
id="XMLExample.list.list-example">
<head> Example List </head>
<item> This is the first item
</item> <item> This is the second item with <hi ...>highlighted text</hi>,
<xref ...> a link</xref> and an <figure
...>image</figure>.</item>
...
<list n="list-example2"
id="XMLExample.list.list-example2">
<head> Example List </head>
<label>ITEM ONE:</label>
<item> This is the first item
</item>
<label>ITEM TWO:</label>
<item> This is the second item with <hi ...>highlighted
text</hi>, <xref ...> a link</xref> and an <figure
...>image</figure>.</item>
<label>ITEM THREE:</label>
<item> This is the third item with a <field ...> ... </field>
</item>
...
</list>
<item> This is the third item in the list
</item>
...
</list>
label
Text Container
Structural Element
The label element is associated with an item and annotates that item with a number, a textual description of
some sort, or a simple bullet.
Parent
item
Children
none
Attributes
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id: (optional) A unique identifier of the element
n: (optional) A local identifier used to differentiate the element from its siblings
rend: (optional) An optional rend attribute provides a hint on how the label should be rendered,
independent of its type.
<list n="list-example"
id="XMLExample.list.list-example">
<head>Example List</head>
<label>1</label>
<item> This is the first item </item>
<label>2</label>
<item> This is the second item with <hi ...>highlighted text</hi>,
<xref ...> a link</xref> and an <figure
...>image</figure>.</item>
...
<list n="list-example2"
id="XMLExample.list.list-example2">
<head>Example Sublist</head>
<label>ITEM
ONE:</label>
<item> This is the first item </item>
<label>ITEM
TWO:</label>
<item> This is the second item with <hi ...>highlighted
text</hi>, <xref ...> a link</xref> and an <figure
...>image</figure>.</item>
<label>ITEM
THREE:</label>
<item> This is the third item with a <field ...> ... </field>
</item>
...
</list>
<item> This is the third item in the list </item>
...
</list>
list
Structural Element
The list element is used to display sets of sequential data. It contains an optional head element, as well as any
number of item and list elements. Items contain textual information, while sublists contain other item or list
elements. An item can also be associated with a label element that annotates an item with a number, a textual
description of some sort, or a simple bullet. The list type (ordered, bulleted, gloss, etc.) is then determined either
by the content of labels on items or by an explicit value of the type attribute. Note that if labels are used in
conjunction with any items in a list, all of the items in that list must have a label. It is also recommended to avoid
mixing label styles unless an explicit type is specified.
Parent
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div
list
Children
head (zero or one)
label (any)
item (any)
list (any)
Attributes
id: (required) A unique identifier of the element
n: (required) A local identifier used to differentiate the element from its siblings
rend: (optional) An optional rend attribute provides a hint on how the list should be rendered,
independent of its type. Common values are but not limited to:
alphabet: The list should be rendered as an alphabetical index
columns: The list should be rendered in equal length columns as determined by the theme.
columns2: The list should be rendered in two equal columns.
columns3: The list should be rendered in three equal columns.
horizontal: The list should be rendered horizontally.
numeric: The list should be rendered as a numeric index.
vertical: The list should be rendered vertically.
type: (optional) An optional attribute to explicitly specify the type of list. In the absence of this attribute,
the type of a list will be inferred from the presence and content of labels on its items. Accepted values
are:
form: Used for form lists that consist of a series of fields.
bulleted: Used for lists with bullet-marked items.
gloss: Used for lists consisting of a set of technical terms, each marked with a label element and
accompanied by the definition marked as an item element.
ordered: Used for lists with numbered or lettered items.
progress: Used for lists consisting of a set of steps currently being performed to accomplish a
task. For this type to apply, each item in the list should represent a step and be accompanied by a
label that contains the displayable name for the step. The item contains an xref that references the
step. Also the rend attribute on the item element should be: "available" (meaning the user may
jump to the step using the provided xref), "unavailable" (the user has not meet the requirements to
jump to the step), or "current" (the user is currently on the step)
simple: Used for lists with items not marked with numbers or bullets.
<div ...>
...
<list n="list-example"
id="XMLExample.list.list-example">
<head>Example List</head>
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<item> ... </item>
<item> ... </item>
...
<list n="list-example2"
id="XMLExample.list.list-example2">
<head>Example Sublist</head>
<label> ... </label>
<item> ... </item>
<label> ... </label>
<item> ... </item>
<label> ... </label>
<item> ... </item>
...
</list>
<label> ... </label>
<item> ... </item>
...
</list>
</div>
META
Top-Level Container
The meta element is a top level element and exists directly inside the document element. It serves as a
container element for all metadata associated with a document broken up into categories according to the type
of metadata they carry.
Parent
document
Children
userMeta (one)
pageMeta (one)
repositoryMeta (one)
Attributes
None
<document version=1.0>
<meta>
<userMeta> ... </userMeta>
<pageMeta> ... </pageMeta>
<repositoryMeta> ... </repositoryMeta>
</meta>
<body> ... </body>
<options> ... </options>
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</document>
metadata
Text Container
Structural Element
The metadata element carries generic metadata information in the form on an attribute-value pair. The type of
information it contains is determined by two attributes: element, which specifies the general type of metadata
stored, and an optional qualifier attribute that narrows the type down. The standard representation for this
pairing is element.qualifier. The actual metadata is contained in the text of the tag itself. Additionally, a language
attribute can be used to specify the language used for the metadata entry.
Parent
userMeta
pageMeta
Children
none
Attributes
element: (required) The name of a metadata field.
language: (optional) An optional attribute to specify the language used in the metadata tag.
qualifier: (optional) An optional postfix to the field name used to further differentiate the names.
<meta>
<userMeta>
<metadata element="identifier" qualifier="firstName"> Bob
</metadata> <metadata element="identifier" qualifier="lastName"> Jones
</metadata> <metadata ...> ...
</metadata>
...
</userMeta>
<pageMeta>
<metadata element="rights"
qualifier="accessRights">user</metadata> <metadata ...> ...
</metadata>
...
</pageMeta>
</meta>
OPTIONS
Top-Level Container
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The options element is the main container for all actions and navigation options available to the user. It consists
of any number of list elements whose items contain navigation information and actions. While any list of
navigational options may be contained in this element, it is suggested that at least the following 5 lists be
included.
Parent
document
Children
list (any)
Attributes
None
<document version=1.0>
<meta> ... </meta>
<body> ... </body>
<options>
<list n="navigation-example1"
id="XMLExample.list.navigation-example1">
<head>Example Navigation List 1</head>
<item><xref target="/link/to/option">Option
One</xref></item>
<item><xref target="/link/to/option">Option
two</xref></item>
...
</list>
<list n="navigation-example2"
id="XMLExample.list.navigation-example2">
<head>Example Navigation List 2</head>
<item><xref target="/link/to/option">Option
One</xref></item>
<item><xref target="/link/to/option">Option
two</xref></item>
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...
</list>
...
</options>
</document>
p
Rich Text Container
Structural Element
The p element is a rich text container used by divs to display textual data in a paragraph format. As a rich text
container it can contain hyperlinks, emphasized blocks of text, images and form fields in addition to plain text.
Parent
div
Children
hi (any)
xref (any)
figure (any)
field (any)
Attributes
id: (optional) A unique identifier of the element.
n: (optional) A local identifier used to differentiate the element from its siblings.
rend: (optional) A rendering hint used to override the default display of the element.
<div n="division-example"
id="XMLExample.div.division-example">
<p> This is a regular paragraph.
</p> <p> This text is normal, while <hi rend="bold">this text is bold
and this text is <hi rend="italic">bold and italic.</hi></hi>
</p> <p> This paragraph contains a <xref
target="/link/target">link</xref>, a static <figure
source="/image.jpg">image</figure>, and a <figure target=
"/link/target" source="/image.jpg">image link.</figure>
</p>
</div>
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pageMeta
Metadata Element
The pageMeta element contains metadata associated with the document itself. It contains generic metadata
elements to carry the content, and any number of trail elements to provide information on the user's current
location in the system. Required and suggested values for metadata elements contained in pageMeta include
but are not limited to:
browser (suggested): The user's browsing agent as reported to server in the HTTP request.
browser.type (suggested): The general browser family as derived form the browser metadata field.
Possible values may include "MSIE" (for Microsoft Internet Explorer), "Opera" (for the Opera browser),
"Apple" (for Apple web kit based browsers), "Gecko" (for Netscape, Mozilla, and Firefox based
browsers), or "Lynx" (for text based browsers).
browser.version (suggested): The browser version as reported by HTTP Request.
contextPath (required): The base URL of the Digital Repository system.
redirect.time (suggested): The time that must elapse before the page is redirected to an address
specified by the redirect.url metadata element.
redirect.url (suggested): The URL destination of a redirect page
title (required): The title of the document/page that the user currently browsing.
See the metadata and trail tag entries for more information on their structure.
Parent
meta
Children
metadata (any)
trail (any)
Attributes
None
<meta>
<userMeta> ... </userMeta>
<pageMeta>
<metadata element="title">Example DRI
page</metadata>
<metadata
element="contextPath">/xmlui/</metadata>
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<metadata ...> ... </metadata>
...
<trail source="123456789/6"> A bread crumb item
</trail>
<trail ...> ... </trail>
...
</pageMeta>
</meta>
params
Structural Component
The params element identifies extra parameters used to build a form field. There are several attributes that may
be available for this element depending on the field type.
Parent
field
Children
none
Attributes
cols: (optional) The default number of columns that the text area should span. This applies only to
textarea field types.
maxlength: (optional) The maximum length that the theme should accept for form input. This applies to
text and password field types.
multiple: (optional) yes/no value. Determine if the field can accept multiple values for the field. This
applies only to select lists.
operations: (optional) The possible operations that may be preformed on this field. The possible values
are "add" and/or "delete". If both operations are possible then they should be provided as a space
separated list. The "add" operations indicates that there may be multiple values for this field and the user
may add to the set one at a time. The front-end should render a button that enables the user to add more
fields to the set. The button must be named the field name appended with the string "_add", thus if the
field's name is "firstName" the button must be called "firstName_add".The "delete" operation indicates
that there may be multiple values for this field each of which may be removed from the set. The front-end
should render a checkbox by each field value, except for the first, The checkbox must be named the field
name appended with the string "_selected", thus if the field's name is "firstName" the checkbox must be
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called "firstName_selected" and the value of each successive checkbox should be the field name. The
front-end must also render a delete button. The delete button name must be the field's name appended
with the string "_delete".
rows: (optional) The default number of rows that the text area should span. This applies only to textarea
field types.
size: (optional) The default size for a field. This applies to text, password, and select field types.
<p>
<field id="XMLExample.field.name" n="name" type="text"
required="yes">
<params size="16"
maxlength="32"/>
<help>Some help text with <i18n>localized
content</i18n>.</help>
<default>Default value goes here</default>
</field>
</p>
reference
Metadata Reference Element
reference is a reference element used to access information stored in an external metadata file. The url attribute
is used to locate the external metadata file. The type attribute provides a short limited description of the
referenced object's type.
reference elements can be both contained by includeSet elements and contain includeSets themselves, making
the structure recursive.
Parent
referenceSet
Children
referenceSet (zero or more)
Attributes
url: (required) A url to the external metadata file.
repositoryIdentifier: (required) A reference to the repositoryIdentifier of the repository.
type: (optional) Description of the reference object's type.
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<includeSet n="browse-list"
id="XMLTest.includeSet.browse-list">
<reference url="/metadata/handle/123/4/mets.xml"
repositoryID="123" type="DSpace
Item"/> <reference url="/metadata/handle/123/5/mets.xml"
repositoryID="123" />
...
</includeSet>
referenceSet
Metadata Reference Element
The referenceSet element is a container of artifact or repository references.
Parent
div
reference
Children
head (zero or one)
reference (any)
Attributes
id: (required) A unique identifier of the element
n: (required) Local identifier used to differentiate the element from its siblings
orderBy: (optional) A reference to the metadata field that determines the ordering of artifacts or
repository objects within the set. When the Dublin Core metadata scheme is used this attribute should be
the element.qualifier value that the set is sorted by. As an example, for a browse by title list, the value
should be sortedBy=title, while for browse by date list it should be sortedBy=date.created
rend: (optional) A rendering hint used to override the default display of the element.
type: (required) Determines the level of detail for the given metadata. Accepted values are:
summaryList: Indicates that the metadata from referenced artifacts or repository objects should
be used to build a list representation that is suitable for quick scanning.
summaryView: Indicates that the metadata from referenced artifacts or repository objects should
be used to build a partial view of the referenced object or objects.
detailList: Indicates that the metadata from referenced artifacts or repository objects should be
used to build a list representation that provides a complete, or near complete, view of the
referenced objects. Whether such a view is possible or different from summaryView depends
largely on the repository at hand and the implementing theme.
detailView: Indicates that the metadata from referenced artifacts or repository objects should be
used to display complete information about the referenced object. Rendering of several references
included under this type is up to the theme.
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<div ...>
<head> Example Division </head>
<p> ... </p>
<table> ... </table>
<list>
...
</list>
<referenceSet n="browse-list"
id="XMLTest.referenceSet.browse-list" type="summaryView"
informationModel="DSpace">
<head>A header for the includeset</head>
<reference
url="/metadata/handle/123/34/mets.xml"/>
<reference
url=""metadata/handle/123/34/mets.xml/>
</referenceSet>
...
</p>
repository
Metadata Element
The repository element is used to describe the repository. Its principal component is a set of structural metadata
that carrier information on how the repository's objects under objectMeta are related to each other. The principal
method of encoding these relationships at the time of this writing is a METS document, although other formats,
like RDF, may be employed in the future.
Parent
repositoryMeta
Children
none
Attributes
repositoryID: requiredA unique identifier assigned to a repository. It is referenced by the object element
to signify the repository that assigned its identifier.
url: requiredA url to the external METS metadata file for the repository.
<repositoryMeta>
<repository repositoryID="123456789"
url="/metadata/handle/1234/4/mets.xml" />
</repositoryMeta>
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repositoryMeta
Metadata Element
The repositoryMeta element contains metadata references about the repositories used in the used or
referenced in the document. It can contain any number of repository elements.
See the repository tag entry for more information on the structure of repository elements.
Parent
Meta
Children
repository (any)
Attributes
None
<meta>
<userMeta> ... </usermeta>
<pageMeta> ... </pageMeta>
<repositoryMeta>
<repository repositoryIID="..." url="..."
/>
</repositoryMeta>
</meta>
row
Structural Element
The row element is contained inside a table and serves as a container of cell elements. A required role attribute
determines how the row and its cells are rendered.
Parent
table
Children
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cell (any)
Attributes
id: (optional) A unique identifier of the element
n: (optional) A local identifier used to differentiate the element from its siblings
rend: (optional) A rendering hint used to override the default display of the element.
role: (required) Indicates what kind of information the row carries. Possible values include "header" and
"data".
<table n="table-example" id="XMLExample.table.table-example" rows="2"
cols="3">
<row
role="head">
<cell cols="2">Data Label One and
Two</cell>
<cell>Data Label Three</cell>
...
</row> <row>
<cell> Value One </cell>
<cell> Value Two </cell>
<cell> Value Three </cell>
...
</row>
...
</table>
table
Structural Element
The table element is a container for information presented in tabular format. It consists of a set of row elements
and an optional header.
Parent
div
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Children
head (zero or one)
row (any)
Attributes
cols: (required) The number of columns in the table.
id: (required) A unique identifier of the element
n: (required) A local identifier used to differentiate the element from its siblings
rend: (optional) A rendering hint used to override the default display of the element.
rows: (required) The number of rows in the table.
<div n="division-example"
id="XMLExample.div.division-example">
<table n="table1" id="XMLExample.table.table1" rows="2"
cols="3">
<row role="head">
<cell cols="2">Data Label One and
Two</cell>
<cell>Data Label Three</cell>
...
</row>
<row>
<cell> Value One </cell>
<cell> Value Two </cell>
<cell> Value Three </cell>
...
</row>
...
</table>
...
</div>
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trail
Text Container
Metadata Element
The trail element carries information about the user's current location in the system relative of the repository's
root page. Each instance of the element serves as one link in the path from the root to the current page.
Parent
pageMeta
Children
none
Attributes
rend: (optional) A rendering hint used to override the default display of the element.
target: (optional) An optional attribute to specify a target URL for a trail element serving as a hyperlink.
The text inside the element will be used as the text of the link.
<pageMeta>
<metadata element="title">Example DRI
page</metadata>
<metadata
element="contextPath">/xmlui/</metadata>
<metadata ...> ... </metadata>
...
<trail target="/myDSpace"> A bread crumb item pointing to a
page. </trail> <trail ...> ... </trail>
...
</pageMeta>
userMeta
Metadata Element
The userMeta element contains metadata associated with the user that requested the document. It contains
generic metadata elements, which in turn carry the information. Required and suggested values for metadata
elements contained in userMeta include but not limited to:
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identifier (suggested): A unique identifier associated with the user.
identifier.email (suggested): The requesting user's email address.
identifier.firstName (suggested): The requesting user's first name.
identifier.lastName (suggested): The requesting user's last name.
identifier.logoutURL (suggested): The URL that a user will be taken to when logging out.
identifier.url (suggested): A url reference to the user's page within the repository.
language.RFC3066 (suggested): The requesting user's preferred language selection code as describe by
RFC3066
rights.accessRights (required): Determines the scope of actions that a user can perform in the system.
Accepted values are:
none: The user is either not authenticated or does not have a valid account on the system
user: The user is authenticated and has a valid account on the system
admin: The user is authenticated and belongs to the system's administrative group
See the metadata tag entry for more information on the structure of metadata elements.
Parent
meta
Children
metadata (any)
Attributes
authenticated: (required) Accepted values are "yes", "no". Determines whether the user has been
authenticated by the system.
<meta>
<userMeta>
<metadata element="identifier" qualifier="email">[email protected]</metadata>
<metadata element="identifier" qualifier="firstName">Bob</metadata>
<metadata element="identifier" qualifier="lastName">Jones</metadata>
<metadata element="rights" qualifier="accessRights">user</metadata>
<metadata ...> ... </metadata>
...
<trail source="123456789/6">A bread crumb item</trail>
<trail ...> ... </trail>
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...
</userMeta>
<pageMeta> ... </pageMeta>
</meta>
value
Rich Text Container
Structural Element
The value element contains the value associated with a form field and can serve a different purpose for various
field types. The value element is comprised of two subelements: the raw element which stores the unprocessed
value directly from the user of other source, and the interpreted element which stores the value in a format
appropriate for display to the user, possibly including rich text markup.
Parent
field
Children
hi (any)
xref (any)
figure (any)
Attributes
optionSelected: (optional) An optional attribute for select, checkbox, and radio fields to determine if the
value is to be selected or not.
optionValue: (optional) An optional attribute for select, checkbox, and radio fields to determine the value
that should be returned when this value is selected.
type: (required) A required attribute to specify the type of value. Accepted types are:
raw: The raw type stores the unprocessed value directly from the user of other source.
interpreted: The interpreted type stores the value in a format appropriate for display to the user,
possibly including rich text markup.
default: The default type stores a value supplied by the system, used when no other values are
provided.
<p>
<hi> ... </hi>
<xref> ... </xref>
<figure> ... </figure>
<field id="XMLExample.field.name" n="name" type="text"
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required="yes">
<params size="16" maxlength="32"/>
<help>Some help text with <i18n>localized
content</i18n>.</help>
<value type="default">Author,
John</value>
</field>
</p>
xref
Text Container
Structural Element
The xref element is a reference to an external document. It can be mixed freely with text, and any text within the
tag itself will be used as part of the link's visual body.
Parent
cell
p
item
hi
Children
none
Attributes
target: (required) A target for the reference, using either a URL or an id of an existing element as a
destination for the xref.
<p>
<xref target="/url/link/target">This text is shown as a link.</xref>
</p>
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5 System Administration
This top level node intends to hold all system administration aspects of DSpace including but not limited to:
Installation
Upgrading
Troubleshooting system errors
Managing Dependencies
In this context System administration is defined as all technical tasks required to get DSpace in a state in which
it operates properly so its behaviour is predictable and can be used according to all the guidelines under "Using
DSpace".
5.1 Introduction to DSpace System Administration
DSpace operates on several levels: as a Java servlet (in a servlet container like Tomcat), cron jobs, and ondemand operations. This section explains many of the on-demand operations. Some of the command
operations may be also set up as cron jobs. Many of these operations are performed at the Command Line
Interface (CLI) also known as the Unix prompt ($). Future references will use the term CLI when a command
needs to be run at the command line.
Below is the "Command Help Table". This table explains what data is contained in the individual command/help
tables in the sections that follow.
Command used:
The directory and where the command is to be found.
Java class:
The actual java program doing the work.
Arguments:
The required/mandatory or optional arguments available to the user.
DSpace Command Launcher
With DSpace Release 1.6, the many commands and scripts have been replaced with a simple
[dspace]/bin/dspace <command> command. See the Application Layer chapter for the details of
the DSpace Command Launcher.
AIP Backup and Restore
DSpace AIP Format
Ant targets and options
Command Line Operations
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Executing streams of commands
Database Utilities
Legacy methods for re-indexing content
Mediafilters for Transforming DSpace Content
ImageMagick Media Filters
Performance Tuning DSpace
Scheduled Tasks via Cron
Search Engine Optimization
Google Scholar Metadata Mappings
Troubleshooting Information
Validating CheckSums of Bitstreams
5.2 AIP Backup and Restore
1 Background & Overview
1.1 How does this differ from traditional DSpace Backups? Which Backup route is better?
1.2 How does this help backup your DSpace to remote storage or cloud services (like DuraCloud)?
1.3 AIPs are Archival Information Packages
1.4 AIP Structure / Format
2 Running the Code
2.1 Exporting AIPs
2.1.1 Export Modes & Options
2.1.2 Exporting just a single AIP
2.1.3 Exporting AIP Hierarchy
2.1.3.1 Exporting Entire Site
2.2 Ingesting / Restoring AIPs
2.2.1 Ingestion Modes & Options
2.2.1.1 The difference between "Submit" and "Restore/Replace" modes
2.2.2 Submitting AIP(s) to create a new object
2.2.2.1 Submitting a Single AIP
2.2.2.2 Submitting an AIP Hierarchy
2.2.2.3 Submitting AIP(s) while skipping any Collection Approval Workflows
2.2.3 Restoring/Replacing using AIP(s)
2.2.3.1 Default Restore Mode
2.2.3.2 Restore, Keep Existing Mode
2.2.3.3 Force Replace Mode
2.2.3.4 Restoring Entire Site
2.3 Performance considerations
2.4 Disable User Interaction for Cron
3 Command Line Reference
3.1 Additional Packager Options
3.1.1 How to use additional options
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4 Configuration in 'dspace.cfg'
4.1 AIP Metadata Dissemination Configurations
4.2 AIP Ingestion Metadata Crosswalk Configurations
4.3 AIP Ingestion EPerson Configurations
4.4 AIP Configurations To Improve Ingestion Speed while Validating
5 Common Issues or Error Messages
5.2.1 Background & Overview
AIP Backup & Restore functionality only works with the Latest Version of Items
If you are using the new XMLUI-only Item Level Versioning functionality (disabled by default), you
must be aware that this "Item Level Versioning" feature is not yet compatible with AIP Backup &
Restore. Using them together may result in accidental data loss. Currently the AIPs that DSpace
generates only store the latest version of an Item. Therefore, past versions of Items will always be lost
when you perform a restore / replace using AIP tools.
Additional background information available in the Open Repositories 2010 Presentation entitled
Improving DSpace Backups, Restores & Migrations
As of DSpace 1.7, DSpace now can backup and restore all of its contents as a set of AIP Files. This includes all
Communities, Collections, Items, Groups and People in the system.
This feature came out of a requirement for DSpace to better integrate with DuraCloud, and other backup
storage systems. One of these requirements is to be able to essentially "backup" local DSpace contents into the
cloud (as a type of offsite backup), and "restore" those contents at a later time.
Essentially, this means DSpace can export the entire hierarchy (i.e. bitstreams, metadata and relationships
between Communities/Collections/Items) into a relatively standard format (a METS-based, AIP format). This
entire hierarchy can also be re-imported into DSpace in the same format (essentially a restore of that content in
the same or different DSpace installation).
Benefits for the DSpace community:
Allows one to more easily move entire Communities or Collections between DSpace instances.
Allows for a potentially more consistent backup of this hierarchy (e.g. to DuraCloud, or just to your own
local backup system), rather than relying on synchronizing a backup of your Database (stores metadata
/relationships) and assetstore (stores files/bitstreams).
Provides a way for people to more easily get their data out of DSpace (whatever the purpose may be).
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Provides a relatively standard format for people to migrate entire hierarchies (Communities/Collections)
from one DSpace to another (or from another system into DSpace).
How does this differ from traditional DSpace Backups? Which Backup
route is better?
Traditionally, it has always been recommended to backup and restore DSpace's database and files (also known
as the "assetstore") separately. This is described in more detail in the Storage Layer section of the DSpace
System Documentation. The traditional backup and restore route is still a recommended and supported option.
However, the new AIP Backup & Restore option seeks to try and resolve many of the complexities of a
traditional backup and restore. The below table details some of the differences between these two valid Backup
and Restore options.
Traditional Backup &
AIP Backup & Restore
Restore (Database and
Files)
Supported Backup
/Restore Types
Can Backup &
Yes (Requires two backups
Yes (Though, will not backup/restore items which are
Restore all DSpace
/restores – one for Database
not officially "in archive")
Content easily
and one for Files)
Can Backup &
No (It is possible, but
Restore a Single
requires a strong
Community
understanding of DSpace
/Collection/Item
database structure & folder
easily
organization in order to only
Yes
backup & restore metadata
/files belonging to that single
object)
Backups can be
No (Again, it is possible, but
used to move one
requires a strong
or more Community
understanding of DSpace
/Collection/Items to
database structure & folder
another DSpace
organization in order to only
system easily.
move metadata/files
Yes
belonging to that object)
No (Currently Item Level Versioning is not fully
compatible with AIP Backup & Restore. AIP Backup &
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Traditional Backup &
AIP Backup & Restore
Restore (Database and
Files)
Can Backup &
Yes (Requires two backups
Restore can only backup/restore the latest version of an
Restore Item
/restores – one for Database
Item)
Versions
and one for Files)
Supported Object
Types During
Backup & Restore
Supports backup
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No (This is a known issue. All previously harvested
/restore of all
Communities
/Collections/Items
(including
metadata, files,
logos, etc.)
Supports backup
/restore of all
People/Groups
/Permissions
Supports backup
/restore of all
Collection-specific
Item Templates
Supports backup
/restore of all
Items will be restored, but the OAI-PMH/OAI-ORE
Collection
harvesting settings will be lost during the restore
Harvesting settings
process.)
(only for
Collections which
pull in all Items via
OAI-PMH or OAIORE)
Supports backup
Yes
Yes
/restore of all
Withdrawn (but not
deleted) Items
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Traditional Backup &
AIP Backup & Restore
Restore (Database and
Files)
Supports backup
Yes
Yes (During restore, the AIP Ingester may throw a false
/restore of Item
"Could not find a parent DSpaceObject" error (see
Mappings between
Common Issues or Error Messages), if it tries to restore
Collections
an Item Mapping to a Collection that it hasn't yet
restored. But this error can be safely bypassed using
the 'skipIfParentMissing' flag (see Additional Packager
Options for more details).
Supports backup
Yes
No (AIPs are only generated for objects which are
/restore of all in-
completed and considered "in archive")
process,
uncompleted
Submissions (or
those currently in
an approval
workflow)
Supports backup
Yes
Yes (Custom Metadata Fields will be automatically
/restore of Items
recreated. Custom Metadata Schemas must be
using custom
manually created first, in order for DSpace to be able to
Metadata Schemas
recreate custom fields belonging to that schema. See
& Fields
Common Issues or Error Messages for more details.)
Supports backup
Yes (if you backup your
Not by default (unless you also backup parts of your
/restore of all local
entire DSpace directory as
DSpace directory – note, you wouldn't need to backup
DSpace
part of backing up your files)
the '[dspace]/assetstore' folder again, as those files are
Configurations and
already included in AIPs)
Customizations
Based on your local institutions needs, you will want to choose the backup & restore process which is most
appropriate to you. You may also find it beneficial to use both types of backups on different time schedules, in
order to keep to a minimum the likelihood of losing your DSpace installation settings or its contents. For
example, you may choose to perform a Traditional Backup once per week (to backup your local system
configurations and customizations) and an AIP Backup on a daily basis. Alternatively, you may choose to
perform daily Traditional Backups and only use the AIP Backup as a "permanent archives" option (perhaps
performed on a weekly or monthly basis).
Don't Forget to Backup your Configurations and Customizations
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If you choose to use the AIP Backup and Restore option, do not forget to also backup your local
DSpace configurations and customizations. Depending on how you manage your own local DSpace,
these configurations and customizations are likely in one or more of the following locations:
[dspace] - The DSpace installation directory (Please note, if you also use the AIP Backup &
Restore option, you do not need to backup your [dspace]/assetstore directory, as those
files already exist in your AIPs).
[dspace-source] - The DSpace source directory
How does this help backup your DSpace to remote storage or cloud
services (like DuraCloud)?
While AIP Backup and Restore is primarily a way to export your DSpace content objects to a local filesystem (or
mounted drive), it can also be used as the basis for ensuring your content is safely backed up in a remote
location (e.g. DuraCloud or other cloud backup services).
Simply put, these AIPs can be generated and then replicated off to remote storage or a cloud backup service for
safe keeping. You can then pull them down either as an entire set, or individually, in order to restore one or
more objects into your DSpace instance. While you could simply backup your entire DSpace database and
"assetstore" to a cloud service, you'd have to download the entire database backup again in order to restore
any content. With AIPs, you can instead just download the individual AIP files you need (which can decrease
your I/O costs, if any exist) for that restoration.
This upload/download of your AIPs to a backup location can be managed in a manual fashion (e.g. via your own
custom code or shell scripts), or you can use a DSpace Replication Task Suite add-on to help ease this process
The Replication Task Suite add-on for DSpace allows you the ability to backup and restore DSpace contents to
/from AIPs via the DSpace Administrative Web Interface. It also includes "connectors" to the DuraCloud API, so
you can configure it to automatically backup/retrieve your AIPs to/from DuraCloud. Installing this add-on means
you can now easily backup and restore DSpace to DuraCloud (or other systems) simply via the DSpace
Administrative Web Interface. More information on installing and configuring this add-on can be found on the
Replication Task Suite page.
Makeup and Definition of AIPs
AIPs are Archival Information Packages
AIP is a package describing one archival object 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)
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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).
AIP Structure / Format
Generally speaking, an AIP is an Zip file containing a METS manifest and all related content bitstreams.
For more specific details of AIP format / structure, along with examples, please see DSpace AIP Format.
5.2.2 Running the Code
Exporting AIPs
Export Modes & Options
All AIP Exports are done by using the Dissemination Mode (-d option) of the packager command.
There are two types of AIP Dissemination you can perform:
Single AIP (default, using -d option) - Exports just an AIP describing a single DSpace object. So, if you
ran it in this default mode for a Collection, you'd just end up with a single Collection AIP (which would not
include AIPs for all its child Items)
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Hierarchy of AIPs (using the -d --all or -d -aoption) - Exports the requested AIP describing an
object, plus the AIP for all child objects. Some examples follow:
For a Site - this would export all Communities, Collections & Items within the site into AIP files (in
a provided directory)
For a Community - this would export that Community and all SubCommunities, Collections and
Items into AIP files (in a provided directory)
For a Collection - this would export that Collection and all contained Items into AIP files (in a
provided directory)
For an Item – this just exports the Item into an AIP as normal (as it already contains its Bitstreams
/Bundles by default)
Exporting just a single AIP
To export in single AIP mode (default), use this "packager" command template:
[dspace]/bin/dspace packager -d -t AIP -e <eperson> -i <handle> <file-path>
for example:
[dspace]/bin/dspace packager -d -t AIP -e [email protected] -i 4321/4567 aip4567.zip
The above code will export the object of the given handle (4321/4567) into an AIP file named "aip4567.zip".
This will not include any child objects for Communities or Collections.
Exporting AIP Hierarchy
To export an AIP hierarchy, use the -a (or --all) package parameter.
For example, use this 'packager' command template:
[dspace]/bin/dspace packager -d -a -t AIP -e <eperson> -i <handle> <file-path>
for example:
[dspace]/bin/dspace packager -d -a -t AIP -e [email protected] -i 4321/4567 aip4567.zip
The above code will export the object of the given handle (4321/4567) into an AIP file named "aip4567.zip". In
addition it would export all children objects to the same directory as the "aip4567.zip" file. The child AIP files are
all named using the following format:
File Name Format: <Obj-Type>@<Handle-with-dashes>.zip
e.g. [email protected], [email protected], [email protected]
zip
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This general file naming convention ensures that you can easily locate an object to restore by its
name (assuming you know its Object Type and Handle).
Alternatively, if object doesn't have a Handle, it uses this File Name Format: <Obj-Type>@internalid-<DSpace-ID>.zip (e.g. [email protected])
AIPs are only generated for objects which are currently in the "in archive" state in DSpace. This means that inprogress, uncompleted submissions are not described in AIPs and cannot be restored after a disaster.
Exporting Entire Site
To export an entire DSpace Site, pass the packager the Handle <site-handle-prefix>/0. For example, if
your site prefix is "4321", you'd run a command similar to the following:
[dspace]/bin/dspace packager -d -a -t AIP -e [email protected] -i 4321/0 sitewide-aip.zip
Again, this would export the DSpace Site AIP into the file "sitewide-aip.zip", and export AIPs for all
Communities, Collections and Items into the same directory as the Site AIP.
Ingesting / Restoring AIPs
Ingestion Modes & Options
Ingestion of AIPs is a bit more complex than Dissemination, as there are several different "modes" available:
1. Submit/Ingest Mode (-s option, default) – submit AIP(s) to DSpace in order to create a new object(s) (i.
e. AIP is treated like a SIP – Submission Information Package)
2. Restore Mode (-r option) – restore pre-existing object(s) in DSpace based on AIP(s). This also attempts
to restore all handles and relationships (parent/child objects). This is a specialized type of "submit",
where the object is created with a known Handle and known relationships.
3. Replace Mode (-r -f option) – replace existing object(s) in DSpace based on AIP(s). This also
attempts to restore all handles and relationships (parent/child objects). This is a specialized type of
"restore" where the contents of existing object(s) is replaced by the contents in the AIP(s). By default, if a
normal "restore" finds the object already exists, it will back out (i.e. rollback all changes) and report which
object already exists.
Again, like export, there are two types of AIP Ingestion you can perform (using any of the above modes):
Single AIP (default) - Ingests just an AIP describing a single DSpace object. So, if you ran it in this
default mode for a Collection AIP, you'd just create a DSpace Collection from the AIP (but not ingest any
of its child objects)
Hierarchy of AIPs (by including the --all or -aoption after the mode) - Ingests the requested AIP
describing an object, plus the AIP for all child objects. Some examples follow:
For a Site - this would ingest all Communities, Collections & Items based on the located AIP files
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For a Community - this would ingest that Community and all SubCommunities, Collections and
Items based on the located AIP files
For a Collection - this would ingest that Collection and all contained Items based on the located
AIP files
For an Item – this just ingest the Item (including all Bitstreams & Bundles) based on the AIP file.
The difference between "Submit" and "Restore/Replace" modes
It's worth understanding the primary differences between a Submission (specified by -s parameter) and a
Restore (specified by -r parameter).
Submission Mode (-s mode) - 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 -p parameter). 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 "dc.date.accessioned", "dc.
date.available", "dc.date.issued" and "dc.description.provenance" 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 (-r mode) - 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)
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
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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)
Changing Submission/Restore Behavior
It is possible to change some of the default behaviors of both the Submission and Restore/Replace
Modes. Please see the Additional Packager Options section below for a listing of command-line
options that allow you to override some of the default settings described above.
Submitting AIP(s) to create a new object
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 The difference between "Submit" and "Restore/Replace" modes above.
Submitting a Single AIP
AIPs treated as SIPs
This option allows you to essentially use an AIP as a SIP (Submission Information Package). The
default settings will create a new DSpace object (with a new handle and a new parent object, if
specified) from your AIP.
To ingest a single AIP and create a new DSpace object under a parent of your choice, specify the -p (or -parent) package parameter to the command. Also, note that you are running the packager in -s (submit)
mode.
NOTE: This only ingests the single AIP specified. It does not ingest all children objects.
[dspace]/bin/dspace packager -s -t AIP -e <eperson> -p <parent-handle> <file-path>
If you leave out the -p parameter, the AIP package ingester will attempt to install the AIP under the same
parent it had before. As you are also specifying the -s (submit) parameter, the packager will assume you want
a new Handle to be assigned (as you are effectively specifying that you are submitting a new object). If you
want the object to retain the Handle specified in the AIP, you can specify the -o ignoreHandle=false
option to force the packager to not ignore the Handle specified in the AIP.
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Submitting an AIP Hierarchy
AIPs treated as SIPs
This option allows you to essentially use a set of AIPs as SIPs (Submission Information Packages).
The default settings will create a new DSpace object (with a new handle and a new parent object, if
specified) from each AIP
To ingest an AIP hierarchy from a directory of AIPs, use the -a (or --all) package parameter.
For example, use this 'packager' command template:
[dspace]/bin/dspace packager -s -a -t AIP -e <eperson> -p <parent-handle> <file-path>
for example:
[dspace]/bin/dspace packager -s -a -t AIP -e [email protected] -p 4321/12 aip4567.zip
The above command will ingest the package named "aip4567.zip" as a child of the specified Parent Object
(handle="4321/12"). The resulting object is assigned a new Handle (since -s is specified). In addition, any child
AIPs referenced by "aip4567.zip" are also recursively ingested (a new Handle is also assigned for each child
AIP).
Another example – Ingesting a Top-Level Community (by using the Site Handle, <site-handle-prefix>
/0):
[dspace]/bin/dspace packager -s -a -t AIP -e [email protected] -p 4321/0 community-aip.zip
The above command will ingest the package named "community-aip.zip" as a top-level community (i.e. the
specified parent is "4321/0" which is a Site Handle). Again, the resulting object is assigned a new Handle. In
addition, any child AIPs referenced by "community-aip.zip" are also recursively ingested (a new Handle is also
assigned for each child AIP).
May 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
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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
Submitting AIP(s) while skipping any Collection Approval Workflows.
Item 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.
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-)
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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:
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.
Submitting AIP(s) while skipping any Collection Approval Workflows
By default, the Submission mode (-s) always respects existing Colleciton approval workflows. So, if a
Collection has a workflow, then a newly submitted Item will be placed into that workflow process (rather than
immediately appearing in DSpace).
However, if you'd like to skip all workflow approval processes you can use the -w flag to do so. For example,
the following command will skip any Collection approval workflows and immediately add the Item to a
Collection.
[dspace]/bin/dspace packager -s -w -t AIP -e <eperson> -p <parent-handle> <file-path>
This -w flag may also be used when 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
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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.
Restoring/Replacing using AIP(s)
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 The difference between "Submit" and "Restore/Replace"
modes above.
There are currently three restore modes:
1. Default Restore Mode (-r) = Attempt to restore object (and optionally children). Rollback all changes if
any object is found to already exist.
2. Restore, 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. 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!
Default Restore Mode
By default, the restore mode (-r option) will throw an error and rollback all changes if any object is found to
already exist. The user will be informed if which object already exists within their DSpace installation.
Restore a Single AIP: Use this 'packager' command template to restore a single object from an AIP (not
including any child objects):
[dspace]/bin/dspace packager -r -t AIP -e <eperson> <AIP-file-path>
Restore a Hierarchy of AIPs: Use this 'packager' command template to restore an object from an AIP along
with all child objects (from their AIPs):
[dspace]/bin/dspace packager -r -a -t AIP -e <eperson> <AIP-file-path>
For example:
[dspace]/bin/dspace packager -r -a -t AIP -e [email protected] aip4567.zip
Notice that unlike -s option (for submission/ingesting), the -r option does not require the Parent Object (-p
option) to be specified if it can be determined from the package itself.
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In the above example, the package "aip4567.zip" is restored to the DSpace installation with the Handle
provided within the package itself (and added as a child of the parent object specified within the package itself).
In addition, any child AIPs referenced by "aip4567.zip" are also recursively ingested (the -a option specifies to
also restore all child AIPs). They are also restored with the Handles & Parent Objects provided with their
package. If any object is found to already exist, all changes are rolled back (i.e. nothing is restored to DSpace)
Highly 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 should be run while DSpace
is stopped (you may either stop Tomcat or 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
More 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 Restore, Keep Existing Mode or the Force Replace Mode (depending on whether you
want to keep or replace those existing child objects).
Restore, Keep Existing Mode
When the "Keep Existing" flag (-k option) is specified, the restore will attempt to skip over any objects found to
already exist. It will report to the user that the object was found to exist (and was not modified or changed). It
will then continue to restore all objects which do not already exist.
One special case to note: If a Collection or Community is found to already exist, its child objects are also
skipped over. So, this mode will not auto-restore items to an existing Collection.
Restore a Hierarchy of AIPs: Use this 'packager' command template to restore an object from an AIP along
with all child objects (from their AIPs):
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[dspace]/bin/dspace packager -r -a -k -t AIP -e <eperson> <AIP-file-path>
For example:
[dspace]/bin/dspace packager -r -a -k -t AIP -e [email protected] aip4567.zip
In the above example, the package "aip4567.zip" is restored to the DSpace installation with the Handle
provided within the package itself (and added as a child of the parent object specified within the package itself).
In addition, any child AIPs referenced by "aip4567.zip" are also recursively restored (the -a option specifies to
also restore all child AIPs). They are also restored with the Handles & Parent Objects provided with their
package. If any object is found to already exist, it is skipped over (child objects are also skipped). All nonexisting objects are restored.
Force Replace Mode
When the "Force Replace" flag (-f option) is specified, the restore will overwrite any objects found to already
exist in DSpace. In other words, existing content is deleted and then replaced by the contents of the AIP(s).
May also be useful in some specific restoration scenarios
This mode may also be used to restore missing objects which refer to existing objects. For example, if
you are restoring a missing Collection which had existing Items linked to it, you can use this mode to
auto-restore the Collection and update those existing Items so that they again link back to the newly
restored Collection.
Potential for Data Loss
Because this mode actually destroys existing content in DSpace, it is potentially dangerous and may
result in data loss! You may wish to perform a secondary full backup (assetstore files & database)
before attempting to replace any existing object(s) in DSpace.
Replace using a Single AIP: Use this 'packager' command template to replace a single object from an AIP
(not including any child objects):
[dspace]/bin/dspace packager -r -f -t AIP -e <eperson> <AIP-file-path>
Replace using a Hierarchy of AIPs: Use this 'packager' command template to replace an object from an AIP
along with all child objects (from their AIPs):
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[dspace]/bin/dspace packager -r -a -f -t AIP -e <eperson> <AIP-file-path>
For example:
[dspace]/bin/dspace packager -r -a -f -t AIP -e [email protected] aip4567.zip
In the above example, the package "aip4567.zip" is restored to the DSpace installation with the Handle
provided within the package itself (and added as a child of the parent object specified within the package itself).
In addition, any child AIPs referenced by "aip4567.zip" are also recursively ingested. They are also restored
with the Handles & Parent Objects provided with their package. If any object is found to already exist, its
contents are replaced by the contents of the appropriate AIP.
If any error occurs, the script attempts to rollback the entire replacement process.
Restoring Entire Site
In order to restore an entire Site from a set of AIPs, you must do the following:
1. Install a completely "fresh" version of DSpace by following the Installation instructions in the DSpace
Manual
At this point, you should have a completely empty, but fully-functional DSpace installation. You will
need to create an initial Administrator user in order to perform this restore (as a full-restore can
only be performed by a DSpace Administrator).
2. Once DSpace is installed, run the following command to restore all its contents from AIPs
[dspace]/bin/dspace packager -r -a -f -t AIP -e <eperson> -i <site-handle-prefix>/0 -o
skipIfParentMissing=true /full/path/to/your/site-aip.zip
a. While the "-o skipIfParentMissing=true" flag is optional, it is often necessary whenever
you are performing a large hierarchical site restoration. Please see the Additional Packager
Options section below.
Please note the following about the above restore command:
Notice that you are running this command in "Force Replace" mode (-r -f). This is necessary as your
empty DSpace install will already include a few default groups (Administrators and Anonymous) and your
initial administrative user. You need to replace these groups in order to restore your prior DSpace
contents completely.
<eperson> should be replaced with the Email Address of the initial Administrator (who you created
when you reinstalled DSpace).
<site-handle-prefix> should be replaced with your DSpace site's assigned Handle Prefix. This is
equivalent to the handle.prefix setting in your dspace.cfg
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/full/path/to/your/site-aip.zip is the full path to the AIP file which represents your DSpace
SITE. This file will be named whatever you named it when you actually exported your entire site. All other
AIPs are assumed to be referenced from this SITE AIP (in most cases, they should be in the same
directory as that SITE AIP).
Highly 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 should be run while DSpace
is stopped (you may either stop Tomcat or 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
Performance considerations
When importing large structures like the whole site or a large collection/community, keep in mind that this can
require a lot of memory, more than the default amount of heap allocated to the command-line launcher (256 Mb:
JAVA_OPTS="-Xmx256m -Dfile.encoding=UTF-8"). This memory must be allocated in addition to the
normal amount of memory allocated to Tomcat. For example, a site of 2500 fulltext items (2 Gb altogether)
requires 5 Gb of maximum heap space and takes around 1 hour, including import and indexing.
You can raise the limit for a single run of the packager command by specifying memory options in the
JAVA_OPTS environment variable, e.g.:
JAVA_OPTS="-Xmx4096m -Dfile.encoding=UTF-8" /dspace/bin/dspace packager -u -r -a -f -t AIP -e
[email protected] -i 123456789/0 sitewide-aip.zip
If the importer runs out of heap memory, it will crash either with "java.lang.OutOfMemoryError: GC overhead
limit exceeded", which can be suppressed by adding "-XX:-UseGCOverheadLimit" to JAVA_OPTS, or with "java.
lang.OutOfMemoryError: Java heap space". You can increase the allocated heap memory and try again, but
keep in mind that although no changes were made in the database, the unsuccessfully imported files are still
left in the assetstore (see DS-2227).
Disable User Interaction for Cron
If you wish to run any of the following commands from a cron job (or similar), then you may wish to disable all
user interaction using the -u (--no-user-interaction) flag. For example, supposing you wanted to
perform a full Site Backup (see Exporting Entire Site above) via a cronjob, you could simply run that command
passing it the "-u" flage like this:
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# Perform a full site backup to AIPs(with user interaction disabled) every Sunday at 1:00AM
# NOTE: Make sure to replace "123456789" with your actual Handle Prefix, and "[email protected]" with
your Administrator account email.
0 1 * * * [dspace]/bin/dspace packager -u -d -a -t AIP -e [email protected] -i 123456789/0 [full-pathto-backup-folder]/sitewide-aip.zip
5.2.3 Command Line Reference
The following flags are valid to pass to the [dspace]/bin/dspace packager command:
Flag
Ingest
Description / Usage
or
Export
-a (--all)
both
For Ingest: recursively ingest all child AIPs (referenced from this AIP).
ingest
and
For Export: recursively export all child objects (referenced from this parent object)
export
exportdisseminate) only
-d (--
This flag simply triggers the export of AIPs from the system. See Exporting AIPs
-e (–
ingest-
The email address of the EPerson who is ingesting the AIPs. Oftentimes this
eperson)
only
should be an Administrative account.
-f (--
ingest-
Ingest the AIPs in "Force Replace Mode" (must be specified in conjunction with -
force-
only
r flag), where existing objects will be replaced by the contents of the AIP.
both
Return help information. You should specify with -t for additional package
ingest
specific help information
[emailaddress]
replace)
-h (--help)
and
export
-i (--
both
identifier)
ingest
[handle]
and
export
-k (--keep-
ingest-
existing)
only
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For Ingest: Only valid in "Force Replace Mode". In that mode this is the identifier
of the object to replace.
For Export: The identifier of the object to export to an AIP
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Flag
Ingest
Description / Usage
or
Export
Specifies to use "Restore, Keep Existing Mode" during ingest (must be specified
in conjunction with -r flag). In this mode, existing objects in DSpace will NOT be
replaced by their AIPs, but missing objects will be restored from AIPs.
-o (--
both
This flag is used to pass Additional Packager Options to the Packager command.
option)
ingest
Each type of packager may define its own custom Additional Options. For AIPs,
[setting]=
and
the valid options are documented in the Additional Packager Options section
[value]
export
below. This is repeatable (e.g. -o [setting1]=[value] -o [setting2]
=value)
-p (--
ingest
Handle(s) of the parent Community or Collection to into which an AIP should be
parent)
only
ingested. This may be repeatable.
-r (--
ingest
Specifies that this ingest is either "Restore Mode" (when standalone), "Restore,
restore)
only
Keep Existing Mode" (when used with -k flag) or "Force Replace Mode" (when
[handle]
used with -f flag)
-s (--
ingest
Specifies that this ingest is in "Submit Mode" where an AIP is treated as a new
submit)
only
object and assigned a new Handle/Identifier, etc.
-t (--
both
Specifies the type of package which is being ingested or exported. This controls
type)
ingest
which Ingester or Disseminator class is called. For AIPs, this is always set to "-
[package-
and
t AIP"
type]
export
-u (--no-
both
Skips over all user interaction (e.g. question prompts). This flag can be used
user-
ingest
when running the packager from a script or cron job to bypass all user
interaction) and
interaction. See also Disable User Interaction for Cron
export
Additional Packager Options
In additional to the various "modes" settings described under "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).
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Option
Ingest
Default
or
Value
Description
Export
createMetadataFields= ingest[value]
true
only
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] exportonly
defaults to
This option can be used to limit the Bundles which are
exporting
exported to AIPs for each DSpace Item. By default, all
all
file Bundles will be exported into Item AIPs. You could
Bundles
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]
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ingest-
Restore
If 'true', the AIP ingester will ignore any Handle
only
/Replace
specified in the AIP itself, and instead create a new
Mode
Handle during the ingest process (this is the default
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Option
Ingest
Default
or
Value
Description
Export
defaults to
when running in Submit mode, using the -s flag). If
'false',
'false', the AIP ingester attempts to restore the Handles
Submit
specified in the AIP (this is the default when running in
Mode
Restore/replace mode, using the -r flag).
defaults to
'true'
ignoreParent=[value]
ingest-
Restore
If 'true', the AIP ingester will ignore any Parent object
only
/Replace
specified in the AIP itself, and instead ingest under a
Mode
new Parent object (this is the default when running in
defaults to
Submit mode, using the -s flag). The new Parent
'false',
object must be specified via the -p flag (run dspace
Submit
packager -h for more help). If 'false', the AIP ingester
Mode
attempts to restore the object directly under its old
defaults to
Parent (this is the default when running in Restore
'true'
/replace mode, using the -r flag).
includeBundles=
export-
defaults to
This option can be used to limit the Bundles which are
[value]
only
"all"
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]
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Option
Ingest
Default
or
Value
Description
Export
both
If 'true', the AIP Disseminator will only import/export a
ingest
METS Manifest XML file (i.e. result will be an unzipped
and
'mets.xml' file), instead of a full AIP. This METS
export
Manifest contains URI references to all content files,
but does not contain any content files. This option is
experimental 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-
false
only
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=
ingest-
[value]
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 Common Issues or
Error Messages.
unauthorized=[value]
exportonly
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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
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Option
Ingest
Default
or
Value
Description
Export
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]
exportonly
validate=[value]
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.
both
Export
If 'true', every METS file in AIP will be validated before
ingest
defaults to
ingesting or exporting. By default, DSpace will validate
and
'true',
everything on export, but will skip validation during
export
Ingest
import. Validation on export will ensure that all exported
defaults to
AIPs properly conform to the METS profile (and will
'false'
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 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.
How to use additional options
These options can be passed in two main ways:
From the Command Line
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From the command-line, you can add the option to your command by using the -o or --option parameter.
[dspace]/bin/dspace packager -r -a -t AIP -o [option1]=[value] -o [option2]=[value] -e [email protected]
edu aip4567.zip
For example:
[dspace]/bin/dspace packager -r -a -t AIP -o ignoreParent=false -o createMetadataFields=false -e
[email protected] aip4567.zip
Via the Java API call
If you are programmatically calling the org.dspace.content.packager.DSpaceAIPIngester from your
own custom script, you can specify these options via the org.dspace.content.packager.
PackageParameters class.
As a basic example:
PackageParameters params = new PackageParameters;
params.addProperty("createMetadataFields", "false");
params.addProperty("ignoreParent", "true");
5.2.4 Configuration in 'dspace.cfg'
The following new configurations relate to AIPs:
AIP Metadata Dissemination Configurations
The following configurations allow you to specify what metadata is stored within each METS-based AIP. In
'dspace.cfg', the general format for each of these settings is:
aip.disseminate.<setting> = <mdType>:<DSpace-crosswalk-name> [, ...]
<setting> is the setting name (see below for the full list of valid settings)
<mdType> is optional. It allows you to specify the value of the @MDTYPE or @OTHERMDTYPE
attribute in the corresponding METS element.
<DSpace-crosswalk-name> is required. It specifies the name of the DSpace Crosswalk which
should be used to generate this metadata.
Zero or more <label-for-METS>:<DSpace-crosswalk-name> may be specified for each
setting
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AIP Metadata Recommendations
It is recommended to minimally use the default settings when generating AIPs. DSpace can only
restore information that is included within an AIP. Therefore, if you choose to no longer include some
information in an AIP, DSpace will no longer be able to restore that information from an AIP backup
The default settings in 'dspace.cfg' are:
aip.disseminate.techMD - Lists the DSpace Crosswalks (by name) which should be called to
populate the <techMD> section of the METS file within the AIP (Default: PREMIS, DSPACE-ROLES)
The PREMIS crosswalk generates PREMIS metadata for the object specified by the AIP
The DSPACE-ROLES crosswalk exports DSpace Group / EPerson information into AIPs in a
DSpace-specific XML format. Using this crosswalk means that AIPs can be used to recreated
Groups & People within the system. (NOTE: The DSPACE-ROLES crosswalk should be used
alongside the METSRights crosswalk if you also wish to restore the permissions that Groups
/People have within the System. See below for more info on the METSRights crosswalk.)
aip.disseminate.sourceMD - Lists the DSpace Crosswalks (by name) which should be called to
populate the <sourceMD> section of the METS file within the AIP (Default: AIP-TECHMD)
The AIP-TECHMD Crosswalk generates technical metadata (in DIM format) for the object
specified by the AIP
aip.disseminate.digiprovMD - Lists the DSpace Crosswalks (by name) which should be called to
populate the <digiprovMD> section of the METS file within the AIP (Default: None)
aip.disseminate.rightsMD - Lists the DSpace Crosswalks (by name) which should be called to
populate the <rightsMD> section of the METS file within the AIP (Default: DSpaceDepositLicense:
DSPACE_DEPLICENSE, CreativeCommonsRDF:DSPACE_CCRDF, CreativeCommonsText:
DSPACE_CCTEXT, METSRights)
The DSPACE_DEPLICENSE crosswalk ensures the DSpace Deposit License is referenced/stored
in AIP
The DSPACE_CCRDF crosswalk ensures any Creative Commons RDF Licenses are reference
/stored in AIP
The DSPACE_CCTEXT crosswalk ensures any Creative Commons Textual Licenses are referenced
/stored in AIP
The METSRights crosswalk ensures that Permissions/Rights on DSpace Objects (Communities,
Collections, Items or Bitstreams) are referenced/stored in AIP. Using this crosswalk means that
AIPs can be used to restore permissions that a particular Group or Person had on a DSpace
Object. (NOTE: The METSRights crosswalk should always be used in conjunction with the
DSPACE-ROLES crosswalk (see above) or a similar crosswalk. The METSRights crosswalk can
only restore permissions, and cannot re-create Groups or EPeople in the system. The DSPACEROLES can actually re-create the Groups or EPeople as needed.)
aip.disseminate.dmd - Lists the DSpace Crosswalks (by name) which should be called to populate
the <dmdSec>section of the METS file within the AIP (Default: MODS, DIM)
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The MODS crosswalk translates the DSpace descriptive metadata (for this object) into MODS. As
MODS is a relatively "standard" metadata schema, it may be useful to include a copy of MODS
metadata in your AIPs if you should ever want to import them into another (non-DSpace) system.
The DIM crosswalk just translates the DSpace internal descriptive metadata into an XML format.
This XML format is proprietary to DSpace, but stores the metadata in a format similar to Qualified
Dublin Core.
AIP Ingestion Metadata Crosswalk Configurations
The following configurations allow you to specify what DSpace Crosswalks are used during the ingestion
/restoration of AIPs. These configurations also allow you to ignore areas of the METS file (in the AIP) if you do
not want that area to be restored.
In dspace.cfg, the general format for each of these settings is:
mets.dspaceAIP.ingest.crosswalk.<mdType> = <DSpace-crosswalk-name>
<mdType> is the type of metadata as specified in the METS file. This corresponds to the value of
the @MDTYPE attribute (of that metadata section in the METS). When the @MDTYPE attribute is
"OTHER", then the <mdType> corresponds to the @OTHERMDTYPE attribute value.
<DSpace-crosswalk-name> specifies the name of the DSpace Crosswalk which should be used to
ingest this metadata into DSpace. You can specify the "NULLSTREAM" crosswalk if you
specifically want this metadata to be ignored (and skipped over during ingestion).
By default, the settings in dspace.cfg are:
mets.dspaceAIP.ingest.crosswalk.DSpaceDepositLicense = NULLSTREAM
mets.dspaceAIP.ingest.crosswalk.CreativeCommonsRDF = NULLSTREAM
mets.dspaceAIP.ingest.crosswalk.CreativeCommonsText = NULLSTREAM
The above settings tell the ingester to ignore any metadata sections which reference DSpace Deposit Licenses
or Creative Commons Licenses. These metadata sections can be safely ignored as long as the "LICENSE" and
"CC_LICENSE" bundles are included in AIPs (which is the default setting). As the Licenses are included in
those Bundles, they will already be restored when restoring the bundle contents.
More Info on Default Crosswalks used
If unspecified in the above settings, the AIP ingester will automatically use the Crosswalk which is
named the same as the @MDTYPE or @OTHERMDTYPE attribute for the metadata section. For
example, a metadata section with an @MDTYPE="PREMIS" will be processed by the DSpace
Crosswalk named "PREMIS".
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AIP Ingestion EPerson Configurations
The following setting determines whether the AIP Ingester should create an EPerson (if necessary) when
attempting to restore or ingest an Item whose Submitter cannot be located in the system. By default it is set to
"false", as for AIPs the creation of EPeople (and Groups) is generally handled by the DSPACE-ROLES crosswalk
(see #AIP Metadata Dissemination Configurations for more info on DSPACE-ROLES crosswalk.)
mets.dspaceAIP.ingest.createSubmitter = false
AIP Configurations To Improve Ingestion Speed while Validating
It is recommended to validate all AIPs on ingestion (when possible). But validation can be extremely slow, as
each validation request first must download all referenced Schema documents from various locations on the
web (sometimes as many as 10 schemas may be necessary to download in order to validate a single METS
file). To make matters worse, the same schema will be re-downloaded each time it is used (i.e. it is not cached
locally). So, if you are validating just 20 METS files which each reference 10 schemas, that results in 200
download requests.
In order to perform validations in a speedy fashion, you can pull down a local copy of all schemas. Validation
will then use this local cache, which can sometimes increase the speed up to 10 x.
To use a local cache of XML schemas when validating, use the following settings in 'dspace.cfg'. The general
format is:
mets.xsd.<abbreviation> = <namespace> <local-file-name>
<abbreviation> is a unique abbreviation (of your choice) for this schema
<namespace> is the Schema namespace
<local-file-name> the full name of the cached schema file (which should reside in your
[dspace]/config/schemas/ directory, by default this directory does not exist – you will need
to create it)
The default settings are all commented out. But, they provide a full listing of all schemas currently used during
validation of AIPs. In order to utilize them, uncomment the settings, download the appropriate schema file, and
save it to your [dspace]/config/schemas/ directory (by default this directory does not exist – you will need
to create it) using the specified file name:
#mets.xsd.mets = http://www.loc.gov/METS/ mets.xsd
#mets.xsd.xlink = http://www.w3.org/1999/xlink xlink.xsd
#mets.xsd.mods = http://www.loc.gov/mods/v3 mods.xsd
#mets.xsd.xml = http://www.w3.org/XML/1998/namespace xml.xsd
#mets.xsd.dc = http://purl.org/dc/elements/1.1/ dc.xsd
#mets.xsd.dcterms = http://purl.org/dc/terms/ dcterms.xsd
#mets.xsd.premis = http://www.loc.gov/standards/premis PREMIS.xsd
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#mets.xsd.premisObject = http://www.loc.gov/standards/premis PREMIS-Object.xsd
#mets.xsd.premisEvent = http://www.loc.gov/standards/premis PREMIS-Event.xsd
#mets.xsd.premisAgent = http://www.loc.gov/standards/premis PREMIS-Agent.xsd
#mets.xsd.premisRights = http://www.loc.gov/standards/premis PREMIS-Rights.xsd
5.2.5 Common Issues or Error Messages
The below table lists common fixes to issues you may encounter when backing up or restoring objects using
AIP Backup and Restore.
Issue / Error
How to Fix this Problem
Message
Ingest/Restore Error:
If you receive this problem, you are likely attempting to Restore an Entire Site, but are
"Group Administrator
not running the command in Force Replace Mode (-r -f). Please see the section on
already exists"
Restoring an Entire Site for more details on the flags you should be using.
Ingest/Restore Error:
If you receive this problem, one or more of your Items is using a custom metadata
"Unknown Metadata
schema which DSpace is currently not aware of (in the example, the schema is
Schema
named "mycustomschema"). Because DSpace AIPs do not contain enough details to
encountered
recreate the missing Metadata Schema, you must create it manually via the DSpace
(mycustomschema)"
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, rerun 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
When you encounter this error message it means that an object could not be ingested
not find a parent
/restored as it belongs to a parent object which doesn't currently exist in your DSpace
DSpaceObject
instance. During a full restore process, this error can be skipped over and treated as
referenced as 'xxx
a warning by specifying the '-o skipIfParentMissing=true' option (see
/xxx'"
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 '-o skipIfParentMissing=true' option. All your Item
Mappings should still be restored correctly.
Submit Error:
This error means that while submitting one or more AIPs, DSpace encountered a
PSQLException:
Handle conflict. This is a general error the may occur in DSpace if your Handle
ERROR: duplicate
sequence has somehow become out-of-date. However, it's easy to fix. Just run the
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Issue / Error
How to Fix this Problem
Message
key value violates
[dspace]/etc/postgres/update-sequences.sql script (or if you are using
unique constraint
Oracle, run: [dspace]/etc/oracle/update-sequences.sql).
"handle_handle_key"
5.2.6 DSpace AIP Format
1 Makeup and Definition of AIPs
1.1 AIPs are Archival Information Packages.
1.2 General AIP Structure / Examples
1.2.1 Customizing What Is Stored in Your AIPs
2 AIP Details: METS Structure
3 Metadata in METS
3.1 DIM (DSpace Intermediate Metadata) Schema
3.1.1 DIM Descriptive Elements for Item objects
3.1.2 DIM Descriptive Elements for Collection objects
3.1.3 DIM Descriptive Elements for Community objects
3.1.4 DIM Descriptive Elements for Site objects
3.2 MODS Schema
3.3 AIP Technical Metadata Schema (AIP-TECHMD)
3.3.1 AIP Technical Metadata for Item
3.3.2 AIP Technical Metadata for Bitstream
3.3.3 AIP Technical Metadata for Collection
3.3.4 AIP Technical Metadata for Community
3.3.5 AIP Technical Metadata for Site
3.4 PREMIS Schema
3.4.1 PREMIS Metadata for Bitstream
3.5 DSPACE-ROLES Schema
3.5.1 Example of DSPACE-ROLES Schema for a SITE AIP
3.5.2 Example of DSPACE-ROLES Schema for a Community or Collection
3.6 METSRights Schema
3.6.1 Example of METSRights Schema for an Item
3.6.2 Example of METSRights Schema for a Collection
3.6.3 Example of METSRights Schema for a Community
Makeup and Definition of AIPs
AIPs only store the Latest Version of Items
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If you are using the new XMLUI-only Item Level Versioning functionality (disabled by default), you
must be aware that this "Item Level Versioning" feature is not yet compatible with AIP Backup &
Restore. Using them together may result in accidental data loss. Currently the AIPs that DSpace
generates only store the latest version of an Item. Therefore, past versions of Items will always be lost
when you perform a restore / replace using AIP tools.
AIPs are Archival Information Packages.
AIP is a package describing one archival objectin 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).
General AIP Structure / Examples
Generally speaking, an AIP is an Zip file containing a METS manifest and all related content bitstreams, license
files and any other associated files.
Some examples include:
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Site AIP (Sample: SITE-example.zip)
METS contains basic metadata about DSpace Site and persistent IDs referencing all Top Level
Communities
METS also contains a list of all Groups and EPeople information defined in the DSpace system.
(NOTE: By default, user passwords are not stored in AIPs, unless you specify the 'passwords'
flag. See Additional Packager Options.)
Community AIP (Sample: [email protected])
METS contains all metadata for Community and persistent IDs referencing all members
(SubCommunities or Collections). Package may also include a Logo file, if one exists.
METS contains any Group information for Commmunity-specific groups (e.g.
COMMUNITY_<ID>_ADMIN group).
METS contains all Community permissions/policies (translated into METSRights schema)
Collection AIP (Sample: [email protected])
METS contains all metadata for Collection and persistent IDs referencing all members (Items).
Package may also include a Logo file, if one exists.
METS contains any Group information for Collection-specific groups (e.g.
COLLECTION_<ID>_ADMIN, COLLECTION_<ID>_SUBMIT, etc.).
METS contains all Collection permissions/policies (translated into METSRights schema)
If the Collection has an Item Template, the METS will also contain all the metadata for that Item
Template.
Item AIP (Sample: [email protected])
METS contains all metadata for Item and references to all Bundles and Bitstreams. Package also
includes all Bitstream files.
METS contains all Item/Bundle/Bitstream permissions/policies (translated into METSRights
schema)
Notes:
Bitstreams and Bundles are second-class archival objects; they are recorded in the context of an Item.
BitstreamFormats are not even second-class; they are described implicitly within Item technical
metadata, and reconstructed from that during restoration
EPeople are only defined in Site AIP, but may be referenced from Community or Collection AIPs
Groups may be defined in Site AIP, Community AIP or Collection AIP. Where they are defined depends
on whether the Group relates specifically to a single Community or Collection, or is just a general sitewide group.
What is NOT in AIPs
DSpace Site configurations ([dspace]/config/ directory) or customizations (themes, stylesheets, etc) are
not described in AIPs
DSpace Database model (or customizations therein) is not described in AIPs
Any objects which are not currently in the "In Archive" state are not described in AIPs. This means that inprogress, unfinished submissions are never included in AIPs.
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Customizing What Is Stored in Your AIPs
If you choose, you can customize exactly what information is stored in your AIPs. However, you should be
aware that you can only restore information which is stored within your AIPs. If you choose to remove
information from your AIPs, you will be unable to restore it later on (unless you are also backing up your entire
DSpace database and assetstore folder).
AIP Recommendations
It is recommended to minimally use the default settings when generating AIPs. DSpace can only
restore information that is included within an AIP. Therefore, if you choose to no longer include some
information in an AIP, DSpace will no longer be able to restore that information from an AIP backup
There are two ways to go about customizing your AIP format:
1. You can customize your dspace.cfg settings pertaining to AIP generation. These configurations will
allow you to specify exactly which DSpace Crosswalks will be called when generating the AIP METS
manifest.
2. You can export your AIPs using one of the special options/flags.
AIP Details: METS Structure
This METS Structure is based on the structure decided for the original AipPrototype, developed as
part of the MIT & UCSD PLEDGE project.
mets element
@PROFILE fixed value="http://www.dspace.org/schema/aip/1.0/mets.xsd" (this is how we identify
an AIP manifest)
@OBJID URN-format persistent identifier (i.e. Handle) if available, or else a unique identifier. (e.g.
"hdl:123456789/1")
@LABEL title if available
@TYPE DSpace object type, one of "DSpace ITEM", "DSpace COLLECTION", "DSpace
COMMUNITY" or "DSpace SITE".
@ID is a globally unique identifier, built using the Handle and the Object type (e.g. dspaceCOLLECTION-hdl:123456789/3).
mets/metsHdr element
@LASTMODDATE last-modified date for a DSpace Item, or nothing for other objects.
agent element:
@ROLE = "CUSTODIAN",
@TYPE = "OTHER",
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@OTHERTYPE = "DSpace Archive",
name = Site handle. (Note: The Site Handle is of the format [handle_prefix]/0, e.g.
"123456789/0")
agent element:
@ROLE = "CREATOR",
@TYPE = "OTHER",
@OTHERTYPE = "DSpace Software",
name = "DSpace [version]" (Where "[version]" is the specific version of DSpace software
which created this AIP, e.g. "1.7.0")
mets/dmdSec element(s)
By default, two dmdSec elements are included for all AIPs:
1. object's descriptive metadata crosswalked to MODS (specified by mets/dmdSec
/[email protected]="MODS"). See #MODS Schema section below for more information.
2. object's descriptive metadata in DSpace native DIM intermediate format, to serve as a
complete and precise record for restoration or ingestion into another DSpace. Specified by
mets/dmdSec/[email protected]="OTHER",@OTHERMDTYPE="DIM". See #DIM (DSpace
Intermediate Metadata) Schema section below for more information.
For Collection AIPs, additional dmdSec elements may exist which describe the Item Template for
that Collection. Since an Item template is not an actual Item (i.e. it only includes metadata), it is
stored within the Collection AIP. The Item Template's dmdSec elements will be referenced by a
div @TYPE="DSpace ITEM Template" in the METS structMap.
When the mdWrap @TYPE value is OTHER, the element MUST include a value for the @OTHERTYPE
attribute which names the crosswalk that produced (or interprets) that metadata, e.g. DIM.
mets/amdSec element(s)
One or more amdSec elements are include for all AIPs. The first amdSec element contains
administrative metadata (technical, source, rights, and provenance) for the entire archival object.
Additional amdSec elements may exist to describe parts of the archival object (e.g. Bitstreams or
Bundles in an Item).
techMD elements. By default, two types of techMD elements may be included:
PREMIS metadata about an object may be included here (currently only specified for
Bitstreams (files)). Specified by [email protected]="PREMIS". See #PREMIS
Schema section below for more information.
DSPACE-ROLES metadata may appear here to describe the Groups or EPeople
related to this object (_currently only specified for Site, Community and Collection).
Specified by [email protected]="OTHER",@OTHERMDTYPE="DSPACE-ROLES". See
#DSPACE-ROLES Schema section below for more information.
rightsMD elements. By default, there are four possible types of rightsMD elements
which may be included:
METSRights metadata may appear here to describe the permissions on this object.
Specified by [email protected]="OTHER",@OTHERMDTYPE="METSRIGHTS". See
#METSRights Schema section below for more information.
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DSpaceDepositLicense if the object is an Item and it has a deposit license, it is
contained here. Specified by [email protected]="OTHER",@OTHERMDTYPE="
DSpaceDepositLicense".
CreativeCommonsRDF If the object is an Item with a Creative Commons license
expressed in RDF, it is included here. Specified by [email protected]="OTHER",
@OTHERMDTYPE="CreativeCommonsRDF".
CreativeCommonsText If the object is an Item with a Creative Commons license
in plain text, it is included here. Specified by [email protected]="OTHER",
@OTHERMDTYPE="CreativeCommonsText".
sourceMD element. By default, there is only one type of sourceMD element which may
appear:
AIP-TECHMD metadata may appear here. This stores basic technical/source
metadata about in object in a DSpace native format. Specified by
[email protected]="OTHER",@OTHERMDTYPE="AIP-TECHMD". See #AIP
Technical Metadata Schema (AIP-TECHMD) section below for more information.
digiprovMD element.
Not used at this time.
mets/fileSec element
For ITEM objects:
Each distinct Bundle in an Item goes into a fileGrp. The fileGrp has a @USE attribute
which corresponds to the Bundle name.
Bitstreams in bundles become file elements under fileGrp.
mets/fileSec/fileGrp/fileelements
Set @SIZE to length of the bitstream. There is a redundant value in the <techMD>
but it is more accessible here.
Set @MIMETYPE, @CHECKSUM, @CHECKSUMTYPE to corresponding bitstream values.
There is redundant info in the <techMD>. (For DSpace, the @CHECKSUMTYPE="MD5"
at all times)
SET @SEQ to bitstream's SequenceID if it has one.
SET @ADMID to the list of <amdSec> element(s) which describe this bitstream.
For COLLECTION and COMMUNITY objects:
Only if the object has a logo bitstream, there is a fileSec with one fileGrp child of
@USE="LOGO".
The fileGrp contains one file element, representing the logo Bitstream. It has the
same @MIMETYPE, @CHECKSUM, @CHECKSUMTYPE attributes as the Item content
bitstreams, but does NOT include metadata section references (e.g. @ADMID) or a @SEQ
attribute.
See the main structMap for the fptr reference to this logo file.
mets/structMap - Primary structure map, @LABEL="DSpace Object", @TYPE="LOGICAL"
For ITEM objects:
1. Top-Level div with @TYPE="DSpace Object Contents".
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For every Bitstream in Item it contains a div with @TYPE="DSpace BITSTREAM".
Each Bitstream div has a single fptr element which references the bitstream
location.
If Item has primary bitstream, put it in structMap/div/fptr (i.e. directly under the div
with @TYPE="DSpace Object Contents")
For COLLECTION objects:
1. Top-Level div with @TYPE="DSpace Object Contents".
For every Item in the Collection, it contains a div with @TYPE="DSpace ITEM".
Each Item div has up to two child mptrelements:
a. One linking to the Handle of that Item. Its @LOCTYPE="HANDLE", and
@xlink:href value is the raw Handle.
b. (Optional) one linking to the location of the local AIP for that Item (if known).
Its @LOCTYPE="URL", and @xlink:href value is a relative link to the AIP
file on the local filesystem.
If Collection has a Logo bitstream, there is an fptr reference to it in the very first div.
If the Collection includes an Item Template, there will be a div with @TYPE="DSpace
ITEM Template" within the very first div. This div @TYPE="DSpace ITEM
Template" must have a @DMDID specified, which links to the dmdSec element(s) that
contain the metadata for the Item Template.
For COMMUNITY objects:
1. Top-Level div with @TYPE="DSpace Object Contents".
For every Sub-Community in the Community it contains a div with @TYPE="
DSpace COMMUNITY". Each Community div has up to two mptrelements:
a. One linking to the Handle of that Community. Its @LOCTYPE="HANDLE", and
@xlink:href value is the raw Handle.
b. (Optional) one linking to the location of the local AIP file for that Community (if
known). Its @LOCTYPE="URL", and @xlink:href value is a relative link to
the AIP file on the local filesystem.
For every Collection in the Community there is a div with @TYPE="DSpace
COLLECTION". Each Collection div has up to two mptrelements:
a. One linking to the Handle of that Collection. Its @LOCTYPE="HANDLE", and
@xlink:href value is the raw Handle.
b. (Optional) one linking to the location of the local AIP file for that Collection (if
known). Its @LOCTYPE="URL", and @xlink:href value is a relative link to
the AIP file on the local filesystem.
If Community has a Logo bitstream, there is an fptr reference to it in the very first div.
For SITE objects:
1. Top-Level div with @TYPE="DSpace Object Contents".
For every Top-level Community in Site, it contains a div with @TYPE="DSpace
COMMUNITY". Each Item div has up to two child mptrelements:
a.
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a. One linking to the Handle of that Community. Its @LOCTYPE="HANDLE", and
@xlink:href value is the raw Handle.
b. (Optional) one linking to the location of the local AIP for that Community (if
known). Its @LOCTYPE="URL", and @xlink:href value is a relative link to
the AIP file on the local filesystem.
mets/structMap - Structure Map to indicate object's Parent, @LABEL="Parent", @TYPE="
LOGICAL"
Contains one div element which has the unique attribute value TYPE="AIP Parent Link" to
identify it as the older of the parent pointer.
It contains a mptr element whose xlink:href attribute value is the raw Handle of the
parent object, e.g. 1721.1/4321.
Metadata in METS
The following tables describe how various metadata schemas are populated (via DSpace Crosswalks) in the
METS file for an AIP.
DIM (DSpace Intermediate Metadata) Schema
DIM Schema is essentially a way of representing DSpace internal metadata structure in XML. DSpace's internal
metadata is very similar to a Qualified Dublin Core in its structure, and is primarily meant for descriptive
metadata. However, DSpace's metadata allows for custom elements, qualifiers or schemas to be created (so it
is extendable to any number of schemas, elements, qualifiers). These custom fields/schemas may or may not
be able to be translated into normal Qualified Dublin Core. So, the DIM Schema must be able to express
metadata schemas, elements or qualifiers which may or may not exist within Qualified Dublin Core.
In the METS structure, DIM metadata always appears within a dmdSec inside an <mdWrap MDTYPE="OTHER"
OTHERMDTYPE="DIM"> element. For example:
<dmdSec ID="dmdSec_2190">
<mdWrap MDTYPE="OTHER" OTHERMDTYPE="DIM">
...
</mdWrap>
</dmdSec>
By default, DIM metadata is always included in AIPs. It is controlled by the following configuration in your
dspace.cfg:
aip.disseminate.dmd = MODS, DIM
DIM Descriptive Elements for Item objects
As all DSpace Items already have user-assigned DIM (essentially Qualified Dublin Core) metadata fields, those
fields are just exported into the DIM Schema within the METS file.
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DIM Descriptive Elements for Collection objects
For Collections, the following fields are translated to the DIM schema:
DIM Metadata Field
Database field or value
dc.description
'introductory_text' field
dc.description.abstract
'short_description' field
dc.description.tableofcontents
'side_bar_text' field
dc.identifier.uri
Collection's handle
dc.provenance
'provenance_description' field
dc.rights
'copyright_text' field
dc.rights.license
'license' field
dc.title
'name' field
DIM Descriptive Elements for Community objects
For Communities, the following fields are translated to the DIM schema:
DIM Metadata Field
Database field or value
dc.description
'introductory_text' field
dc.description.abstract
'short_description' field
dc.description.tableofcontents
'side_bar_text' field
dc.identifier.uri
Handle of Community
dc.rights
'copyright_text' field
dc.title
'name' field
DIM Descriptive Elements for Site objects
For the Site Object, the following fields are translated to the DIM schema:
Metadata Field
Value
dc.identifier.uri
Handle of Site (format: [handle_prefix]/0)
dc.title
Name of Site (from dspace.cfg 'dspace.name' config)
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MODS Schema
By default, all DSpace descriptive metadata (DIM) is also translated into the MODS Schema by utilizing
DSpace's MODSDisseminationCrosswalk. DSpace's DIM to MODS crosswalk is defined within your
[dspace]/config/crosswalks/mods.properties configuration file. This file allows you to customize the
MODS that is included within your AIPs.
For more information on the MODS Schema, see http://www.loc.gov/standards/mods/mods-schemas.html
In the METS structure, MODS metadata always appears within a dmdSec inside an <mdWrap MDTYPE="MODS"
> element. For example:
<dmdSec ID="dmdSec_2189">
<mdWrap MDTYPE="MODS">
...
</mdWrap>
</dmdSec>
By default, MODS metadata is always included in AIPs. It is controlled by the following configuration in your
dspace.cfg:
aip.disseminate.dmd = MODS, DIM
The MODS metadata is included within your AIP to support interoperability. It provides a way for other systems
to interact with or ingest the AIP without needing to understand the DIM Schema. You may choose to disable
MODS if you wish, however this may decrease the likelihood that you'd be able to easily ingest your AIPs into a
non-DSpace system (unless that non-DSpace system is able to understand the DIM schema). When restoring
/ingesting AIPs, DSpace will always first attempt to restore DIM descriptive metadata. Only if no DIM metadata
is found, will the MODS metadata be used during a restore.
AIP Technical Metadata Schema (AIP-TECHMD)
The AIP Technical Metadata Schema is a way to translate technical metadata about a DSpace object into the
DIM Schema. It is kept separate from DIM as it is considered technical metadata rather than descriptive
metadata.
In the METS structure, AIP-TECHMD metadata always appears within a sourceMD inside an <mdWrap
MDTYPE="OTHER" OTHERMDTYPE="AIP-TECHMD"> element. For example:
<amdSec ID="amd_2191">
...
<sourceMD ID="sourceMD_2198">
<mdWrap MDTYPE="OTHER" OTHERMDTYPE="AIP-TECHMD">
...
</mdWrap>
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</sourceMD>
...
</amdSec>
By default, AIP-TECHMD metadata is always included in AIPs. It is controlled by the following configuration in
your dspace.cfg:
aip.disseminate.sourceMD = AIP-TECHMD
AIP Technical Metadata for Item
Metadata Field
Value
dc.contributor
Submitter's email address
dc.identifier.uri
Handle of Item
dc.relation.isPartOf
Owning Collection's Handle (as a URN)
dc.relation.
All other Collection's this item is linked to (Handle URN of each non-owner)
isReferencedBy
dc.rights.accessRights
"WITHDRAWN" if item is withdrawn
AIP Technical Metadata for Bitstream
Metadata
Value
Field
dc.title
Bitstream's name/title
dc.title.
Bitstream's source
alternative
dc.description
Bitstream's description
dc.format
Bitstream Format Description
dc.format.
Short Name of Format
medium
dc.format.
MIMEType of Format
mimetype
dc.format.
System Support Level for Format (necessary to recreate Format during restore, if the format
supportlevel
isn't know to DSpace by default)
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Metadata
Value
Field
dc.format.
Whether Format is internal (necessary to recreate Format during restore, if the format isn't
internal
know to DSpace by default)
Outstanding Question: Why are we recording the file format support status? That's a DSpace property,
rather than an Item property. Do DSpace instances rely on objects to tell them their support status?
Possible answer (from Larry Stone): Format support and other properties of the BitstreamFormat
are recorded here in case the Item is restored in an empty DSpace that doesn't have that format
yet, and the relevant bits of the format entry have to be reconstructed from the AIP. --lcs
AIP Technical Metadata for Collection
Metadata Field
Value
dc.identifier.uri
Handle of Collection
dc.r