UC ETAS and Lending Task Force Final Report, December 2023 : UC HathiTrust Support

Approved by DOC and CoUL February 2025

Summary

The UC ETAS and Lending Task Force was charged with documenting the requirements, obligations, procedures, and policies for UC Library campuses when one or more campuses anticipate needing or need to activate HathiTrust's Emergency Temporary Access Service (ETAS). Below is a summary of our work and our recommendations for your consideration.

Task Force Members: Kristine Ferry (UC Irvine - Co-Chair), Sarah Lindsey (UC Santa Cruz - Co-Chair), Sara Davidson Squibb (UC Merced - DOC - Liaison) , Paul Fogel (California Digital Library), Tim Converse (UC Berkeley), Bonnie Hain-Anderson (UC Davis), Ross Anastos (UC Merced), Carlo Medina (UC Los Angeles), Marti Kallal (UC Santa Barbara), Sarah McClung (UC San Francisco), Carla Arbagey (UC Riverside), Judea D’Arnaud (UC San Diego)

TABLE OF CONTENTS

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Process

The Task Force met bi-weekly to discuss issues and recommendations should a natural disaster or other emergency result in a campus library's inability to provide access to physical collections and services. In addition, we consulted with campus stakeholders and met with Jennifer Vinopal, Associate Director at HathiTrust. In meeting with Jennifer, we learned that while HathiTrust is looking at expanding the criteria used to determine if ETAS can be activated, they don’t expect there to be any changes in the near future. Given this information, the Task Force recommends that the UC Libraries continue to be treated by HathiTrust as one system as opposed to ten separate libraries as this provides the affected patrons with access to the most materials. The documentation below is written with this recommendation and the current ETAS Terms of Service (https://www.hathitrust.org/member-libraries/services-programs/etas/etas-terms-of-service/) in mind.

In addition, this entire document serves as the Service Continuity Plan template mentioned in the Task Force Charge.

Activating ETAS

The conditions under which ETAS can be activated are listed in their Terms of Service at https://www.hathitrust.org/member-libraries/services-programs/etas/etas-terms-of-service/.

Responsibilities of Campus(es) Activating ETAS

If one, several, or all campuses activate HathiTrust ETAS, the campus(es) who have activated ETAS are responsible for ensuring they do not lend or borrow items their patrons have online access to through ETAS. This includes not providing non-returnables through digitization (e.g. scans of chapters, etc.). Please note the exceptions below:

The campus(es) who have activated ETAS can borrow items their patrons have access to through ETAS from outside the UC system. This is considered an additional copy of an item.
The campus(es) who have activated ETAS can borrow or lend UC-owned items their patrons have access to through ETAS to patrons who require an accommodation (e.g. print disabled).

Below are two potential scenarios to consider.

Scenario A - One UC (or multiple UCs) has activated ETAS

Responsibilities:

Campus(es) that activated ETAS will not borrow anything that is in ETAS from other UCs.
Campus(es) that activated ETAS will not lend anything that is in ETAS to other UCs.
It is the responsibility of the Campus(es) that activated ETAS to stop the borrowing of items from other UCs either before the request happens or before the book reaches the patron using a system or manual process depending on the workflows of the Campus(es).
It is the responsibility of the Campus(es) that activate ETAS to stop the lending of items that are in ETAS using a system or manual process depending on the workflows of the Campus(es).

Strategies to consider:

Campus(es) build a local HathiTrust e-collection to display to their users and post in their own IZ Primo. Then their users would only have to search their Library Search as opposed to Library Search and HathiTrust.
Since all HathiTrust records should be in the Network Zone - the SILS Operation Center could collect those record numbers and create portfolios for those records and put them in an ecollection and then they could turn on that collection for campuses with ETAS activated.
Campus(es) should verify the Shibboleth information and associated attributes they have on file with HathiTrust to make sure it is still accurate.

Systemwide effects of a Campus(es) activating ETAS:

If Campus(es) that activated ETAS owns a distinctive collection/items that are in ETAS, other UCs can’t access them while ETAS is in place.
Some campuses may experience increased requests for items through interlibrary loan if one or more campuses’ print collections are unavailable.

Scenario B - All UCs have activated ETAS

Responsibilities:

Campus(es) that activated ETAS will not borrow anything that is in ETAS from other UCs.
Campus(es) that activated ETAS will not lend anything that is in ETAS to other UCs.
It is the responsibility of the Campus(es) that activated ETAS to stop the borrowing of items from other UCs either before the request happens or before the book reaches the patron using a system or manual process depending on the workflows of that Campus(es).
It is the responsibility of the Campus(es) that activated ETAS to stop the lending of items that are in ETAS using a system or manual process depending on the workflows of that Campus(es).

Strategies to consider:

SILS Operations Center at CDL to build a HathiTrust e-collection for the Network Zone.
Campus(es) should verify the Shibboleth information and associated attributes they have on file with HathiTrust to make sure it is still accurate.

Further Recommendations

Any changes to the ETAS service and its functionality should be monitored going forward to insure maximum utility to the UC system
The Digitization Team at CDL will funnel any relevant HathiTrust ETAS information to DOC. DOC representatives can share with the relevant people on their campuses as appropriate.
The SLFs: The issue of the SLFs is a complex one as they are physically situated on specific campuses but their users are from all campuses. Therefore should an SLF have to close, UC constituents not affiliated with Berkeley (SLF-N) or UCLA (SLF-S) would not have access to its materials via ETAS unless their affiliated campus is also closed. Given the current activation requirements of ETAS and the benefits of being viewed as one system, this is not an issue that can be addressed at this time.
Campuses should continue adding content to HathiTrust:
- Each campus may have different/multiple pipelines for depositing digitized information. We recognize that it may be prohibitive for some campuses to contribute at this time. Campuses with active pipeline(s) should continue contributing digitized content.
Campuses should add ETAS activation decision-making to their existing local Service Continuity Plans.
Campuses should consider updating their print holdings with HathiTrust at least annually to proactively prepare for any ETAS activation.

Acknowledgments

The Task Force would like to acknowledge the time and effort of Tamara Pilco, Electronic Resources Manager at UC Santa Cruz, for the creation of the document “Strategies for Loading Records in Alma” found in Appendix E.

APPENDICES

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