1. General Guidelines

   1. Scope of Content: Scholars Archive includes but may not be limited to
      1. Publications (e.g., conference papers, peer reviewed scholarly articles, pre/post-prints, technical reports, working papers, journals, monographs)
      2. Presentation (e.g., research posters, conference presentations, teaching/learning objects)
      3. Dissertations, theses and capstone works
      4. Collections of UAlbany archival and special collections materials
   2. Content accepted for Scholars Archive must be
      1. Created, submitted or sponsored by UAlbany affiliated faculty, staff, students, research units or academic units
      2. Education, research or service oriented in digital form
      3. Complete and ready to be made public
   3. Content will not be accepted for Scholars Archive if it
      1. Is still "in progress"
      2. Is ephemeral in nature
      3. Does not fall within the general parameters of research and scholarship produced at UAlbany
      4. Does not reflect UAlbany's intellectual environment
      5. Is in a file format not supported by the repository
      6. Exceeds file size and storage limitations set for the repository
      7. Has copyright restrictions that prohibit deposit
   4. Data Sets: In addition to meeting the general scope and content guidelines set out in I.A through I.C, data set depositors must
      1. Comply with data or information security requirements set forth in IRB approval
      2. Fulfill rights of review, confidentiality or other obligations required by sponsored research agreements
      3. Remove all information that personally identifies, or has the potential to be combined to personally identify individuals
      4. Remove all information that should not be made public under state or federal law, or UAlbany policy

1. File Formats

   1. Accepted formats:
      1. Text: Comma-separated values (.csv), Plain Text (.txt), XML (.xml), XHTML (.html), Rich Text (.rtf), HTML (.htm, .html), Microsoft Word (.doc), Microsoft Excel (.xls), Microsoft PowerPoint (.ppt), Acrobat PDF (.pdf), Postscript (.ps)
      2. Images: TIFF (.tip, .tiff), JPEG 2000 (.jp2), GIF (.gif), PNG (.png), JPEG (.jpg), RAW (.crw, .dng, .sr2, etc.)
      3. Audio: FLAC (.fla), Wave (.wav), MP3 (.mp3)
      4. Video: AVI (.avi), Motion JPEG 2000 (.mj2, .mjp2), MPEG-2 Video (.mp2), MPEG-4 Video (.mp4), Windows Media Video (.wmv), Quicktime (.mov)
      5. Data: SAS syntax/program & SAS data set or index files (.sas,.sd2, .sv2, si2), SPSS syntax & system files (.sps, .sav), Rsyntax & binary files (r, R, Rdata, rdata)
   2. Zipped and/or tarred files are discouraged but may be used in the event that a dataset is too large or contains too many individual files that should be distributed as a bundle.
   3. Researchers who would like to deposit files in formats other than those listed in III.A. should contact the repository manager.

2. Preservation

   1. All deposited content is covered under the Libraries' Digital Preservation Policy.
   2. Metadata for all deposited content will be preserved.
   3. All deposited content will receive bit-level preservation, i.e., will be preserved in the file format in which it was deposited.
   4. The University Libraries will follow library and IT best practices to make as much of the repository's content accessible into the future as possible.
   5. In general, the more openly documented, non-proprietary and lossless the file, the more robust and successful the Libraries' preservation efforts will be. These efforts will range from "full preservation" to "basic preservation" as follows:
      1. Level 1 or full preservation - Digital materials are preserved at this level through the use of non-proprietary and openly documented formats and enhanced standardized metadata schema. These materials may be normalized before deposit into the system, either through normalization of the metadata or normalization of the format. Depending on the case, master files (which may be uncompressed or in proprietary formats) may be preserved alongside non-proprietary, compressed, access copies. For example, RAW image format may be preserved alongside an open format like TIFF.
      2. Level 2 or limited preservation - The repository will make limited efforts to maintain the usability of the file as well as preserving it at the bit-level. The materials preserved at this level may have ample metadata, but be encoded in a proprietary or undocumented format or they may be encoded in open, non-proprietary formats, but lack adequate metadata to ensure long-term preservation and access. The format of content at this level will be monitored and may be transformed when significant risk to access is imminent, but it will be difficult to predict or control the consequences of any transformation or migration on content, structure or functionality. These files may also be transformed to a more preservable format to ensure that the content is not lost, even if some structure and functionality are sacrificed. This level of support will be generally applied to proprietary formats that are widely used and for which there is substantial commercial interest in maintaining access to them. Therefore tools will be available to migrate them to successor formats (e.g., Microsoft Word).
      3. Level 3 or basic and not guaranteed preservation - The Repository will provide preservation at the bit level for content at this level and will preserve its associated metadata as is. It will not monitor the format and associated risks or normalize, transform or migrate the file to another format. Files at this level may be readable by future applications, but there is no guarantee that the content, structure, or functionality will be preserved. This service level will usually apply to files written in highly specialized, proprietary formats (often usable only in a single software environment), formats no longer widely utilized, and/or formats about which little information is publicly available (e.g., PhotoCD) Any format not yet reviewed and evaluated by UA Scholars Archive will also receive Level 3 preservation on deposit. A higher level may be assigned after format review takes place.

3. Structure

   1. Scholars Archive is a Digital Commons institutional repository hosted by bepress.
   2. Content within the Scholars Archive community is organized by sub-communities and collections that closely follow the organization of the university.
   3. The sub-communities for schools and colleges, research institutes, research centers, the University Archives, Special Collections and University Libraries are at the top. hierarchical level. Collections are located within the sub-communities and correspond to their departments and units.
   4. Sub-communities and collections are established at the point at which content to be located in them is deposited.
   5. Requests for additional sub-communities and/or collections should be made to the repository manager.

Terms of Use

1. Materials (files and metadata) in Scholars Archive are free to read and download, by anyone, anywhere in the world, and anyone is welcome to link to them. Where available, licensing terms associated with the content is indicated on a per-work basis with a link to the license terms. Generally, all our content is protected by copyright.
   1. UAlbany respects the rights of the creators of the contents included in Scholars Archive and adheres to copyright law.
   2. Repository users are expected to comply with copyright law and fair use principles and practices when downloading and using repository materials. For further information regarding copyright and fair use see the Copyright Library Guide.

Author Agreements

Scholars Archive submission requires that authors enter into a simple author’s agreement regarding the deposit and use of the item being submitted. There are two forms of UAlbany Author Agreements:

• The Open Access Policy Author Agreement is for use if the article is subject to the University's Open Access Policy and a UAlbany author has not obtained a waiver for the article under the policy.
• The Standard Author Agreement is for use if the item is not subject to the Open Access Policy or a UAlbany author has obtained a waiver for the article under the policy.

In both cases, the author represents and warrants:

1. I have the right to deposit the Work in the Repository and to allow the University at Albany to use the Work in the exercise of the rights described above.
2. The Work does not infringe or violate any copyright or other rights of a publisher or any other party. Distribution of the Work by the University at Albany or others as permitted above will not infringe or violate any such rights.
3. If the Work contains any material for which I do not hold copyright, I have obtained all rights necessary to allow the Work, including that material, to be distributed and made available by the University at Albany or others as permitted above.
4. If the Work is based upon work that has been sponsored or supported by an agency or organization other than the University at Albany, any right of review or other such obligations of the sponsorship or support agreement have been fulfilled.

Graduate students submitting theses or dissertations to Scholars Archive will need to agree to the ProQuest Traditional Agreement, in addition to the University's Standard Author Agreement. This non-exclusive license gives ProQuest permission to distribute the thesis or dissertation on the author's behalf. With this agreement, the author represents and warrants they are the copyright holder of the work and have secured appropriate permission to distribute any third-party material in the work. The author also indemnifies ProQuest for any third-party claims. 

1. Responsibilities of the University at Albany Libraries

   1. The University at Albany Libraries will facilitate submissions by:
      1. Providing consoltation and instruction on metadata creation.
      2. Assisting depositors with submissions as staff resources permit.
      3. Notifying content contributors about significant changes to repository operations, policies, and procedures.
   2. The University at Albany Libraries will review all submissions for compliance with established policies and guidelines in order to ensure consistency of the IR and facilitate discoverablility.
   3. The University at Albany Libraries will maintain the repository by:
      1. Moving, removing and/or merging collections when necessary
      2. Reviewing the repository's structure, metadata, policies and guidelines and changing and/or amending them as necessary
      3. Monitoring storage capacity and allocations
      4. Preserving content by migrating it to new formats and platforms to avoid obsolescence

2. Responsibilities of Content Depositors

   1. Content depositors will provide the following descriptive metadata for each item deposited:
      1. Author/creator
      2. Title
      3. Type of resource
      4. Abstract
      5. Keywords that describe the content
      6. Name of funder and grant numbers, if applicable
   2. In addition to the metadata in IX. A, depositors of data sets will provide a "readme" file that includes:
      1. List of software, including version, used to produce, render, and compress the data (where applicable)
      2. Contents of the submitted dataset, i.e., file names, formats and sizes of each file
      3. A brief description of the study for which the data were collected
      4. A description of the methods used to collect the data
      5. Descriptions of the types of data included in the set (e.g. raw/unanalyzed, processed/analyzed, rendered/visualized)
   3. If necessary, terms of use that require end users to cite and acknowledge the data creator(s)
   4. Citation and acknowledgement information if the data were generated by the depositor's collaborator(s)
   5. A link to original data file for data sets derived from other work

University Libraries, University at Albany
August 6, 2014

1. Purpose/Context

   This policy formalizes the University at Albany Libraries' commitment to preserving and providing access to digital content created and acquired by the Libraries. The Libraries recognize that digital content poses distinct preservation challenges that require a policy beyond what is used for traditional analog materials. The policy supports the Libraries' mission to "promote intellectual growth and creativity by developing collections, facilitating access to information resources, teaching the effective use of information resources and critical evaluation skills and offering research assistance." The policy advocates the adoption of accepted standards and technologies used in the library and archival professions, with the assumption that these are subject to change over time.

2. Objectives

   The Libraries aim is to provide long-term access to its digital content. In order to ensure long-term access, the Libraries will adopt standardized practices developed by library and IT professionals. The Libraries' objectives are as follows:

   1. Maintain and develop processes and systems to capture, manage, preserve, find, and make accessible digital content now and into the future
   2. Create metadata necessary to preserve digital content
   3. Preserve authentic, accurate, and reliable digital content
   4. Provide persistent access to digital content over time
   5. Demonstrate auditable compliance with the development of the standards and practice of the digital preservation community
   6. Provide technical specifications for hardware and software to preserve digital content

    

3. Scope

   This policy addresses all aspects of preservation of digital content for which the Libraries are the primary custodian. Digital preservation decisions are made on the basis of the Libraries' collection development policy, this Policy, the enduring value of the digital content, and the feasibility of preserving the digital content. When possible, decisions about the need for preservation are made at the time of creation or acquisition of digital content. Particular emphasis will be given to resources that exist in digital form only. The Libraries will also inform, consult, and coordinate with other units of the University as necessary to assure that University at Albany faculty, staff, and students will have adequate ongoing access to administrative, scholarly, and other digital content created at the University. The Libraries, however, cannot guarantee preservation for content that we do not own and manage.

4. Principles

   The University Libraries adheres to the following principles to guide digital preservation activities:

   1. Manage digital content with the understanding that long-term access is the primary goal, which will be supported to the best of our ability given available technology and resources.
   2. Create digital content with supporting metadata to establish authenticity and provenance, and ensure they are unaltered and the original content is preserved.
   3. Commit to life cycle management of digital content, which includes making decisions regarding retention, use, and preservation at the acquisition, licensing and/or creation stage.
   4. Participate in collaborative agreements that are a good use of library resources, and maintain responsibility for preservation when working externally through consortia action, licensing, or contracted services.
   5. Document and maintain rights management actions and applicable copyrights associated with digital content.
   6. Observe current standards and best practices related to the creation, maintenance, storage and delivery of digital content and metadata as determined by the digital preservation community.
   7. Define, plan and implement digital preservation activities that make best use of University resources to ensure that the program is cost-effective, transparent and auditable over time. Recognize that sustaining digital content requires active management and a long-term financial commitment to be successful.
   8. Commit to staff training and development in areas related to digital preservation, as well as outreach to inform faculty, students and staff of best practices for creating and maintaining digital content.
   9. Develop and maintain necessary hardware, software, expertise and protocols to ensure long-term access to digital content.
   10. Evaluate external initiatives that seek to provide preservation services for subscribed or purchased digital content and participate when such services are cost-effective.

    

5. Selection and Acquisition

   The selection of digital content is made by archivists, curators, and appropriate subject librarians and is subject to the same criteria for selection and preservation set forth in the Library's collection development policy (http://library.albany.edu/subject/cdp/). The Library will support access and give highest priority to digital content that are selected for long-term preservation.

6. Access

   Digital preservation provides long term access to digital content. Access is the delivery of services and functions that support users in determining the existence, description, location and availability of digital content. Users will utilize the identification and description of relevant information, and receive information, which can be local or remote and might include interactions with external systems.

   Digital content might have defined restrictions for access and use. Access restrictions vary and might be determined by the donor, copyright, legal requirements, deed of gift, privacy concerns, or a project's mission and pertain to the legal framework, licensing terms, and access control.

7. Long-term Storage

   The preservation of digital content of enduring value will require conversion of file formats that are chronically obsolescent and subject to continuous migrations over time. Preservation services necessitate the management of data storage: services are guided by the technical considerations and best practice to maintain appropriate technologies.

1. Restrictions on public access to materials:
   1. By default access to deposited works is unrestricted.
   2. In exceptional cases, the repository manager may restrict access for up to 2 years.
   3. Requests for restrictions should be sent to the repository manager.
2. Withdrawals: Content depositors have the right to request that their content be withdrawn from the repository.
   1. Request should be directed to the repository manager and should include clear and detailed reasons for withdrawal as well as contact information sufficient for the repository manager to determine that the requestor is the content depositor.
   2. After considering the request, the repository manager will notify the requestor either that the content has been withdrawn or that withdrawal is not appropriate.
   3. Since the non-exclusive submission agreement preserves the author's right to submit additional copies elsewhere, content should not be withdrawn because the author is no longer affiliated with UAlbany.
3. Withdrawal by UAlbany Libraries
   1. UAlbany Libraries reserves the right to withdraw works that are libelous, invasions of privacy or that do not meet the criteria set out in section I of this document.
   2. When responding to an outside request for withdrawal based on a copyright violation or a legal order, the repository manager will notify the depositor and temporarily restrict public access to the disputed content until the attendant issues are resolved.
4. Records for and copies of withdrawn items
   1. Records for withdrawn materials will remain in the repository and information about the circumstances of the withdrawal (e.g., requestor, date and reason) will be added to their metadata.
   2. Metadata for withdrawn materials will remain publicly searchable and discoverable.
   3. Copies of withdrawn items will remain in the repository but will be inaccessible to the public and will not be reformatted or otherwise processed for preservation.

The University Libraries honor all takedown requests that comply with the notification requirements of the Digital Millennium Copyright Act (“DMCA”) and other applicable intellectual property laws. 

1. Notification of Copyright Infringement. To file a notification of claimed copyright infringement, you will need to send a written communication that includes substantially all the information listed below. [Please consult your legal counsel or see Section 512(c)(3) of the Copyright Act to confirm these requirements]: 

• A physical or electronic signature of a person authorized to act on behalf of the copyright owner (“authorized person”) of an exclusive right that is allegedly infringed. 

• Identification of the copyrighted work claimed to have been infringed, or, if multiple copyrighted works are covered by a single notification, a representative list of such works. 

• Identification of the material that is claimed to be infringing or to be the subject of infringing activity and that is to be removed or access to which is to be disabled, and information reasonably sufficient to permit the Libraries to locate the material. Providing URLs in the body of your written communication is the best way to help us locate the content quickly. 

• Information reasonably sufficient to permit the Libraries to contact the authorized person, such as an address, telephone number, and, if available, an electronic mail address. 

• A statement that the authorized person has a good faith belief that use of the material in the manner complained of is not authorized by the copyright owner, its agent, or the law. 

• A statement that the information in the notification is accurate, and under penalty of perjury, that the authorized person is authorized to act on behalf of the owner of an exclusive right that is allegedly infringed. 

Such written notification should be sent to our designated agent via email to dmca@albany.edu. 

Please note that the information provided in the written notification may be forwarded to the person responsible for the allegedly infringing activity.  

Also note that under Section 512(f) of the Copyright Act, any person who knowingly materially misrepresents that material or activity is infringing may be subject to liability for damages. Don’t make false claims. 

2. Counter-Notification. When the Libraries receives a DMCA takedown notification of alleged copyright infringement, the material that is the subject of the notification is removed. If the Libraries removes materials that you have uploaded to one of the Libraries’ services, you will be contacted. 

If you believe your content should not have been removed, you may submit a DMCA counter-notification that includes substantially all the information listed below. Please consult your legal counsel or see Section 512(g)(3) of the Copyright Act to confirm these requirements: 

• Your name, address, telephone number and physical or electronic signature; 

• Identification of the material and its location before removal; 

• A statement under penalty of perjury that the material was removed by mistake or misidentification; 

• Your consent to the jurisdiction of federal district court jurisdiction for the address provided and, if your address is outside of the United States, then you must consent to the jurisdiction of any judicial district in which the Libraries may be found; and 

• A statement that you will accept service of process from the person who provided notification of claimed infringement. 

Such written counter-notification should be sent to our designated agent via email at dmca@albany.edu. 

Please note that the information provided in the counter-notification will be forwarded to the person who submitted the DMCA takedown notification. You consent to having your information forwarded if you submit a counter-notification. Also note that under Section 512(f) of the Copyright Act, any person who knowingly materially misrepresents that material was removed or disabled by mistake or misidentification may be liable for damages. 

Please also be advised that we enforce a policy that provides for the termination of user accounts in appropriate circumstances for users who are repeat infringers.