1. Chapter 1 Definition and Origin of Open Access
第一章: 开放获取定义及起源
The Concept of Open Access / By Norbert Lossau, Göttingen State and University Library
开放获取的概念 / 诺尔伯特·罗少（哥廷根州立与大学图书馆）
The principle of free access to academic knowledge••••
自由获取学术知识的原则
A first approximate definition of the term ‘Open Access’ is free access to knowledge at no charge to
the user. In the current debate, ‘knowledge’ refers primarily to publicly funded academic knowledge.
This handbook also concentrates on the academic sector. The question of an extension of the term to
other spheres, for example to the media or to development policy, is dealt with briefly in a few position
statements in Chapter 4.
最接近“开放获取”一词的定义是自由获取知识，不向使用者收费。在当前的争议中，“知识”主
要指受公共资助而产生的学术知识。本手册同样专注在学术部门，只在第四章的几项立场声明
里，略为涉及把这个词延伸到其他领域，如媒体或发展政策的问题。
In Germany and elsewhere, the Open Access debate is largely determined by the ‘Berlin Declaration on
Open Access to Knowledge in the Sciences and Humanities’(10). It was issued in Berlin in 2003 by the
major German academic organisations, and has since found many signatories.
在德国及其它各地，对于开放获取的争议很大程度上针对《柏林宣言：开放获取科学与人文科
学知识》（注 10）。2003 年，德国的主要学术团体在柏林发布此宣言，陆续得到很多签署者。
注 10: Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities,
http://oa.mpg.de/openaccess-berlin/berlindeclaration.html; 《柏林宣言：开放获取科学与人文学知
识》中文译本, http://www.lins.fju.edu.tw/mao/works/berlindeclaration.html
What is meant by ‘knowledge’? The Berlin Declaration defines this term very broadly. According to its
definition, knowledge is not just the actual research publication, but includes a whole variety of other
digital media and objects, as well as research data. A publication should be available as ‘a complete
version with all supplementary materials’. This definition goes beyond authors’, publishers’ and
libraries’ traditional understanding of a publication.
什么是“知识”？柏林宣言对此定义相当宽松。根据其定义，知识不仅是实际的研究出版物，还
包括所有的其他数字媒体和对象，以及研究数据。出版物应以“含所有附加资料的完整版本”提
供。此定义超越了作者、出版社和图书馆对出版物的传统认识。
What is meant by ‘access’? Here too, the Berlin Declaration adopts a broad definition: authors and
rights owners should allow all users the ‘free, irrevocable, worldwide, right of access’ and give them
the ‘permission to copy, use, distribute, transmit and display the work publicly and to make and
distribute derivative works, in any digital medium for any responsible purpose, subject to proper
attribution of authorship [...], as well as the right to make a limited number of printed copies for their
personal use’.
什么是“获取”？柏林宣言同样采用了宽松的定义：作者及版权所有人应允许所有用户“免费的、
不可撤回的、全球性的获取权利”，并且授予他们如下的权利：“只要清楚标示作者姓名，就允
许使用者不拘目的、以任何数字形式，复制、使用、分发、传送及公开展示作品，制作及分发
衍生作品……，并允许制作少量印本供个人使用”。
Open Access in practice••••

2. 开放获取实务
In the wake of the Berlin Declaration, two basic forms of implementation have established themselves,
with a focus on academic journals:
柏林宣言之后，学术期刊已采用两种基本形式将开放获取付诸实现：
1. the ‘green road’: deposit of copies of already published, peer-reviewed research articles in
university or research institute repositories;
1、“玉律（绿色道路）”：将经过同行评审已出版的研究论文，存放在大学或研究机构的典藏
库。
2. the ‘golden road’:
2、“金科”（金色道路）：
1. publication by Open Access publishers or in Open Access journals, financed either upfront
through publishing fees (e.g. BioMed Central) or through public funds (e.g. Digital Peer Publishing
Initiative DPPI);
1、经由出版费补助（如：生物医学中心，BioMed Central），或公共资助（如：数字同行
出版计划，DPPI），在开放获取出版社或开放获取期刊出版；
2. the parallel publication of books in printed form (for a fee) and in an electronic version (free
access) in Open Access publishing houses, in particular university presses.
2、在开放获取出版社，尤其是大学出版社，同时出版（收费）印本图书及（自由获取）电
子版。
What is meant by Open Access•••••••••••
开放获取的意义
The first signatories to the Berlin Declaration were well aware of the far-reaching significance of their
demands – and probably no less aware of the problems of implementing them. This explains the visible
discrepancy between the uncompromising proclamation of the principles and the cautious choice of
words actually used for the section entitled ‘Supporting the Transition to the Electronic Open Access
Paradigm’. The subsequent lively and often polemical debate about Open Access and the appropriate
way to implement it continues to this day, and, as expected, has made very clear a number of problems.
柏林宣言的第一批签署者十分清楚他们需求的深远涵意──大概也知道实施时将面临的问题，因
而一方面宣布不妥协的原则，同时又在宣言的“支持转型为电子开放获取范式”一节内，小心谨
慎地遣词用字，这种差异非常明显。开放获取及其适当的实施途径方面的争议持续至今，并如
预期那样，的确带来若干明显的问题。
The further coining of the term is strongly influenced by the respective understanding of Open Access
on the part of the three main groups of actors, namely authors, publishers and libraries, and this
understanding in turn is influenced by their specific experiences, expectations and fears with respect to
knowledge dissemination.
开放获取主要的三个参与群组，即作者、出版社和图书馆，以各自的理解，强烈地影响对此术
语的解读；反过来，这种理解又受到其对知识传播的经验、期望与恐惧的影响。

3. The attitudes of academic authors are characterised by the different cultures of their disciplines and
offer a heterogeneous picture, as the following examples will show.
学术作者的态度由其学科的不同文化塑成，如下例所示，提供异质的局面。
Natural and Life Sciences
自然与生命科学
In the natural and life sciences, the academic journal is the relevant medium. As users, however, natural
and life scientists increasingly come up against its limitations. Free access for the individual researcher
via library subscriptions is no longer guaranteed as subscriptions are being cut back severely due to
cost increases on the one hand and reduced library budgets on the other. As subscriptions decline, so
does the number of readers and thus the visibility of research results within the scientific community.
在自然和生命科学里，学术期刊是相关的媒介。然而，作为使用者，自然和生命科学家遭遇越
来越多的局限。期刊价格提高，而图书馆预算减少，导致期刊订阅急剧削减，经由图书馆订
阅，不再能保障个人研究者免费获取。随着订阅下降，读者数跟着下降，研究成果在科学界的
可见性也随之下降。
A novel area addressed by the Berlin Declaration is that of access to raw and primary data, which to
date scientists have generally closely guarded and kept under lock and key. Advocates argue that Open
Access could contribute to good scientific practice through the dissemination of these data, which
could be of increasing relevance in the natural and life sciences in view of a number of spectacular
cases of scientific fraud in recent years.
柏林宣言开启新的领域，可以获取那些以往科学家们层层锁匙严密看管的原始数据。支持者认
为，经由传播这些数据，开放获取有助于良好的科学实践，这些数据关系到在自然和生命科学
领域，近年发生的大量学术欺诈案件。
Humanities and Social Sciences
人文与社会科学
For historians, philosophers, philologians and linguists, archaeologists, musicologists, as well as jurists
and economists, the printed book continues to be the primary medium for disseminating research
results. In these disciplines online media are used primarily as research instruments. Access is in
principle guaranteed, if not in the local library, then with some delay via inter-library-lending schemes
or document delivery from other libraries. Instead of concrete access, the emphasis in the humanities
and social sciences is on the potential of electronic publishing(11), for example greater publication
speeds, the uniting of different media (text, pictures, speech, film etc.) and the development of new
‘types of text’ (hypertext). Academics in these disciplines are thinking not so much of replacing the
print medium as of usefully supplementing it. While Open Access is welcomed as a basic principle of
academic information infrastructure, it is not a primary goal in itself.
对于历史学家、哲学家、古典和语言学家、考古学家、音乐学家以及法学家和经济学家，印本
书籍仍是传播研究成果的主要媒介。在线媒体对这些学科而言，只是研究的工具。获取的保
障，基本上不是在本地图书馆，就是经由馆际互借与文件传递系统，略有迟滞而从其它图书馆
取得。人文与社会科学强调的不是具体的获取，而是电子出版的潜能（注 11），例如出版速度
加快，结合多种媒体（文字、图片、语音、影片等），以及发展新的“文本类型”（超文本）。
这些学科的学者并不怎么想要以在线媒体取代印本媒体，只想用在线媒体补充印本媒体。开放
获取被视为学术信息基础设施的基本原则，但它本身不是主要的目标。
注 11: As referred to at the symposium staged by the Europäische Akademie Bad Neuenahr
“Elektronisches Publizieren in den Geisteswissenschaften” (30-31

4. March 2007). http://www.ea-aw.de/susanis/index.php?lang=EN.
参阅欧洲科学院研讨会“Elektronisches Publizieren in den Geisteswissenschaften” = [人文科学的电
子出版] (30-31 March 2007). http://www.ea-aw.de/susanis/index.php?lang=EN. [链接失效]
Publishers
出版社
At first sight, the publishers’ understanding of Open Access seems unambiguous: commercially
damaging and, at worst, life-threatening since income is traditionally generated precisely via
access(12). In particular, it is alleged that Open Access means lack of quality assurance. Publishers’
actual practice vis-à-vis Open Access, however, is far more differentiated. In the natural and life
sciences, numerous publishers already allow parallel storage of the author’s final corrected version(13).
Alongside declared Open Access publishers such as BioMed Central, other publishers offer authors an
Open Access option for accepted articles. The starting point for the implementation of Open Access
varies widely. While large STM publishers already offer their journals online, considerations of cost
have so far stopped many publishers in the humanities and social sciences from going down this road.
Readiness to cooperate with partners from the business world and in particular the public sector
(especially academic libraries) is growing in an effort to take the plunge into Internet publishing.
乍看之下，出版社对开放获取的理解似乎毫不含糊：破坏商业机制，更糟的是，严重危及出版
社的命脉，因为出版社的收入传统上经由获取而产生的（注 12）。尤其是，据称开放获取意味
着缺少质量保证。然而，出版社的实务与开放获取并非完全相斥。在自然和生命科学领域里，
许多出版商已允许作者将修正后的定稿同步存储（注 13）。除了如生物医学中心（BioMed
Central）之类宣布开放获取的出版社之外，其它出版社也让作者选择，将其发表的论文开放获
取。实施开放获取没有共通的起点，大型科技医学出版社已在线提供期刊，而许多人文与社会
科学领域的出版社，则从成本考虑，未加入此途。商业界正准备合作，尤其是与公共部门（特
别是学术图书馆）合作，致力于投身因特网出版。
注 12: http://www.stm-assoc.org/brussels-declaration
注 13: cf. the SHERPA/ROMEO database [参照 SHERPA/ROMEO 数据库] at
http://www.sherpa.ac.uk/romeo.php; for German publishers [德国出版社] : http://www.dini.de/oap
and www.open-access.net.
Libraries
图书馆
Securing comprehensive access to knowledge is one of the specific tasks of libraries, both in the public
and the academic sphere. The German Library Association was among the first signatories to the Berlin
Declaration. The appearance of Open Access has taught libraries a great deal about the working
methods of scientists and scholars and has at times put them on a collision course with publishers, who
traditionally have been their good partners. Today, public institutions are the ones primarily building up
an infrastructure in the spirit of the Berlin Declaration to secure reliable and sustainable access to
knowledge in the sciences and humanities. They are doing so as operators of institutional repositories
and their national and international networks, as sponsors of university presses, or as partners of
scientists and scholars in the organisation and operation of Open Access journals. However, libraries
are also increasingly approaching publishers with a view to trying out alternative business and payment
models(14), or else are proposing their partnership and support in ‘going online’, in particular to small
and medium-sized publishing houses.
保证全面获取知识是公共和学术图书馆的特定任务之一。德国图书馆协会是柏林宣言的首批签

5. 署者之一。开放获取的出现，教会图书馆许多科学家和学者的工作方法，出版社曾是传统的好
伙伴，现在却不时发生冲突。今天，基于柏林宣言精神，公立机构首先建立基础设施，以确保
可靠且持续地获取科学和人文科学知识。他们建置机构典藏库及其全国及国际网络，支持大学
出版社，成为机构内科学家与学者的伙伴，设立开放获取期刊。然而，图书馆也与出版社来
往，企图找出替代的商业和付费模式（注 14），或者建议他们的伙伴支持“上网”，尤其是中小
型出版社。
注 14: A consortium of research organisations and libraries, SCOAP3 (Sponsoring Consortium for
Open Access Publishing in Particle Physics), is currently negotiating with various publishers in order to
recast the financing of journals in this field completely from a subscription model to pre-payment for
the publication process.
SCOAP3（粒子物理开放获取出版资助联盟）是研究机构与图书馆组成的联盟，正与多家出版
社协商，期望重组从订阅到预付款的出版模式，以完全重塑该领域期刊的财务结构。
Libraries deal with one aspect in the context of Open Access only marginally: access to the cultural
heritage, which is also created by libraries alongside museums and archives. Libraries notice that they
themselves still have major deficits in the networking of their services: while in principle scientists and
scholars have Open Access, this access can in practice be laborious in view of the numerous isolated
digitalised collections. Libraries share with publishers the insight that digitalisation and permanent
online provision will require a major financial contribution, which could certainly come from the
public purse, but could also be recouped via‘customers’(15).
图书馆处理在开放获取背景下很边缘的一个方面：获取文化遗产，这也是图书馆与博物馆、档
案馆的共同任务。图书馆知道，他们在网络服务上仍有很大不足：原则上科学家和学者有了开
放获取，但考虑到大量孤立的数字化馆藏，其获取实际上会很费力。图书馆与出版商同样认识
到，数字化并永久在线提供，需要相当的财务支持，当然可以来自公共资金，但也可以向“客
户”收费（注 15）。
注 15: For example, the association of 14 libraries, ‘DigiZeitschriften’, offers digital access to more
than 100 journals digitalised by publishers, and is financed via institutional subscribers.
http://www.digizeitschriften.de.
如 14 个图书馆组成的“数字期刊”（DigiZeitschriften）协会，经由机构订阅的方式，提供数字获
取出版社提供的一百多种期刊, http://www.digizeitschriften.de
Summary• •••••••••••••
摘要
The Open Access principle has found numerous supporters. The implementation of a vision of a
worldwide networked knowledge society, however, is still in its infancy. A translation of the concept of
Open Access in a way that allows all involved actors to find their roles in the new system and does not
threaten their very existence is decisive for its success or failure.
开放获取的原则有许多支持者。但是，实施全球网络化的知识社会的愿景仍处于初始阶段。将
开放获取概念转换为实际的行动，让所有参与者都能在新系统中找到自己的角色，而不威胁其
既有的存在，这是成败的关键。
p. 20-23
Open Access: Opportunities and challenges. A handbook [开放获取 : 机会及挑战] / European
Commission/German Commission for UNESCO). -- Luxembourg: Office for Official Publications of
the European Communities, 2008. -- 144 pp., 14.8 x 21.0 cm. -- ISBN 978-92-79-06665-8. -- EUR

6. 23459, http://tinyurl.com/3q8wo5
Initial translated at http://www.wretch.cc/blog/bowen922003/12551064