Yesterday, Stevan Harnad offered extensive comments on my "Not Green Enough" posting. Here are my thoughts on those comments.
The crux of the matter is two very different views of institutional repositories (IRs), and, therefore, different perceptions about how quickly IRs will solve the self-archiving problem. My apologies in advance to Stevan if my capsule summary of his position is incorrect.
In Stevan’s view, the sole purpose of an IR is to provide free global access to e-prints. Once institutions adopt the Berlin 3 recommendations (which require faculty to self-archive in IRs and encourage them to publish in OA journals), establishing and running an IR is a cheap, simple technical problem. Therefore, it doesn’t matter whether publisher copyright agreements allow scholars to archive in disciplinary archives or in the Internet Archive’s universal repository. (I’m unclear about Steven’s position about independent scholars who will never be able to self-archive in an IR because they are not affiliated with any institution or about researchers who are affiliated with non-academic institutions that will never have IRs. Perhaps, in the last case, he believes that IRs will be universal for every non-academic institution.) IR managers who hold other views are obstructing progress because they are wasting time on nonessential issues, not correctly perceiving the urgency and simplicity of his self-archiving solution, and unnecessarily delaying the progress of OA.
My view of the basic function of an IR is best summed up by two quotes (the first by Clifford Lynch, Executive Director of the Coalition for Networked Information) and the second by me:
"In my view, a university-based institutional repository is a set of services that a university offers to the members of its community for the management and dissemination of digital materials created by the institution and its community members. It is most essentially an organizational commitment to the stewardship of these digital materials, including long-term preservation where appropriate, as well as organization and access or distribution." 
"An institutional repository includes a variety of materials produced by scholars from many units, such as e-prints, technical reports, theses and dissertations, data sets, and teaching materials. Some institutional repositories are also being used as electronic presses, publishing e-books and e-journals." 
Given this vision of IRs, I see them as more technically complex than Steven. However, I see the primary challenges being in the areas of achieving buy-in from university administrators and faculty, establishing a wide range of policies and procedures (e.g., acceptable types and formats of material, deposit control and facilitation strategies, copyright compliance procedures, and metadata utilization), recruiting content (including depositing items for faculty if required to help populate the IR), providing user support and training, and providing data migration services as file formats become obsolete. Of course, if IRs a assume formal publishing role, this adds new dimensions of complexity, but I’ll defer that point for now since it is only being done in a few IRs, such as the following two examples:
Internet-First University Press at Cornell University
(To clarify one point of confusion, libraries are not generally expecting IRs to solve the e-journal preservation problem. They are turning to solutions such as LOCKSS to do that.)
I do not believe that getting faculty to voluntarily deposit e-prints will be easy. I’m not convinced that most university administrators are going to be quickly and effortlessly persuaded to endorse Berlin 3 unless it is, in effect, externally mandated (e.g., Research Councils UK proposal).
I think that at least a significant subset of universities will want some type of basic vetting of the copyright compliance status of submitted e-prints, and, given the current wide range of variations in publisher copyright agreements and a relatively low level of faculty awareness and interest in copyright matters, that this will be a thorny issue (and one that directly relates to my standard copyright agreement idea).
This is why Johanneke Sytsema of Oxford University said in her comment about "How Green Is My Publisher"
"I do agree with Charles Bailey that ‘green’ doesn’t automatically mean ‘go’. Being a repository manager myself, I never just ‘go’ when I encounter ‘green’ on the (invaluable) SHERPA Romeo list. First, I need to check whether the publisher allows archiving into an institutional repository, rather than just on a personal or departmental website. Secondly, I need to check the permitted format: some publisher[s] object to using the publisher PDF, other publishers require the use of the publisher PDF. Thirdly, I need to check on publisher policies every time I deposit, since publishers may change their policy from day to day. So, could the light get greener than it is now? I believe, it should."
Given my view of IRs, I agree with University of Rochester IR manager Susan Gibbons, when she says that the "the costs and efforts involved in maintaining an IR are substantial."
Which of these two views of institutional repositories will prevail? Time will tell.
If my view prevails, IRs will take longer than if Stevan’s view prevails. Academic authors who have papers accepted by publishers with restrictive author copyright agreements (i.e., those that bar deposit in disciplinary archives or in the universal repository) will have to wait to deposit papers in an OAI-PMH compliant archive. Lacking a way to self-archive with relative ease, they may simply choose not to do so. Non-academic authors may never be able to deposit their papers in an OAI-PMH compliant archive.
If Stevan’s view prevails, IRs will pop up like mushrooms and the above won’t matter, as long as authors enthusiastically deposit their old papers once their IRs are in place.
If the only barrier is a small investment of time and money (as Stevan describes below), it’s unclear to me why we don’t have universal IRs today:
"The 94% of authors at archiveless universities are one $2000 linux server plus a few days’ one-time sysad set-up time and a few annual sysaddays’ maintenance time away from having an institutional repository."
But, I say, Godspeed, Stevan. Prove me wrong, for that will mean that OA happens sooner, and scholars without access to IRs will be deprived of the benefits of depositing in an OAI-compliant repository (or depositing at all) for a shorter period of time.
And, I cheerfully give Steven the last word on the matter (for now anyway).
1. Clifford A. Lynch, "Institutional Repositories: Essential Infrastructure for Scholarship in the Digital Age," ARL: A Bimonthly Report on Research Library Issues and Actions from ARL, CNI, and SPARC, no. 226 (2003),
2. Charles W. Bailey, Jr., Open Access Bibliography: Liberating Scholarly Literature with E-Prints and Open Access Journals (Washington, DC: Association of Research Libraries, 2005), xviii,