1. 開放近用的策略 The Strategics of Open Access
毛慶禎 輔仁大學圖書資訊學系副教授
2009.4.22
��.1前言
��.2宣言
a. 布達佩斯開放近用倡議
b. 畢士大開放近用出版宣言
c. 柏林宣言 - 開放近用科學與人文學知識
d. 其他宣言
��.3策略
a. 自由軟體
i. 典藏用
ii. 學刊用
b. 自我典藏
i. 個人典藏
ii. 學科典藏
iii. 機構典藏
c. 開放近用學刊
i. 出版社
d. 機構強制典藏
e. 贊助單位強制典藏
��.4授權
��.5結論
前言
1665 年元月 5 日,法國的 Journal des Scavans [學者週刊],以週刊型式出版;兩個月後,英國的
Philosophical Transactions [哲學學報]出版(MacDonell, 1999)。從此以後,學術期刊成為主要的學
術傳播工具。
從 20 世紀中葉以來,藉著著作權法的保護,學術期刊擁有者以授權為由,不斷地提高學刊的售
價,遠遠超過物價上漲的幅度;即使資源最充裕的大學及研究機構,也難以取得足夠的學術期
刊,更晃論那些第三世界貧窮的大學。
網際網路成熟後,開放近用的概念才能付諸實現。首份數位作品完成後,後續的複製、散布等
工作,在網際網路的環境下,其成本趨近於零。在類比的印本時代裡,不僅複製需要相當的成
本,緊接著的倉儲、物流等,都所費不貲。
6. 其他宣言
其他團體紛紛提出相關的宣言(Suber, 2009)。
聯合國召開的「資訊社會世界高峰會議」 (WSIS, 2009)分兩次召開,2003 年日內瓦會後,發表
《原則宣言 - 建設信息社會:新千年的全球性挑戰》,於第 B 段「人人共享的信息社會:重要
原則」的第三節「獲取信息和知識」,第 28 條指出:
我們要努力使所有人均能有平等的機會全面近用科學知識,創造和傳播科學與技術資訊,包括
開放近用科學出版的措施。
並且在《行動計劃》中,C)行動方針,C3.近用信息和知識,第 10 條,資訊通訊技術可以使世
界任何地方的人們都能幾乎即時地近用資訊和知識。個人、組織和社區均應從知識和資訊的近
用中受益。具體地要求:
i) 鼓勵採取各種舉措促進近用,包括免費和以負擔的方式,近用至開放近用的期刊和圖書,以
及科學資訊的開放典藏所。
俗稱富國俱樂部的經濟合作與發展組織(Organisation for Economic Co-operation and Development,
OECD),於 2004 年元月 30 日在巴黎發表「公帑贊助研究資料之近用宣言」(Declaration on
Access to Research Data from Public Funding)(OECD, 2004);包括歐盟及中國在內的 30 個國家,
在宣言內表示,體認研究資料面臨的八個現況;並承諾朝向十個目標及原則努力:開放
(Openness)、透明(Transparency)、法律環境(Legal conformity)、正式責任(Formal responsibility)、
專業(Professionalism)、保護智慧財產(Protection of intellectual property)、互通性
(Interoperability)、品質與安全(Quality and security)、效率(Efficiency)、問責(Accountability)等。
接著在 2007 年出版《經合組織公努贊助研究資料之近用原則與基準》(OECD Principles and
Guidelines for Access to Research Data from Public Funding)(OECD, 2007),再擴大為 13 項原則:
開放(Openness)、彈性(Flexibility)、透明(Transparency)、法律環境(Legal conformity)、、保護智
慧財產(Protection of intellectual property)、正式責任(Formal responsibility)、專業
(Professionalism)、互通性(Interoperability)、品質(Quality)、安全(Security)、效率(Efficiency)、問
責(Accountability)"長期性(Sustainability)等。
圖書館界認為,不受限制地近用和傳播資訊是人類的基本權利(格拉斯哥宣言, 2002),支持、捍
衛及促進資訊自由是圖書館的主要職責。。
7. • Principles for Emerging Systems of Scholarly Publishing / ARL Office of Scholarly
Communication, June 6, 2000
• Principles and Strategies for the Reform of Scholarly Communication / ACRL Scholarly
Communications Committee, June 24, 2003
• Declaration on Access to Research Data from Public Funding / OECD, adopted on 30 January
2004 in Paris
• IFLA Statement on Open Access to Scholarly Literature and Research Documentation. This
statement was adopted by the IFLA Governing Board on December 5, 2003, but not published
until February 24, 2004.
• March 16, 2004. A group of 48 non-profit publishers issued the Washington D.C. Principles for
Free Access to Science. (See SOAN for 4/2/04.)
• May 25, 2004. The Australian Group of Eight, the country's eight leading research universities,
released a Statement on open access to scholarly information May ….pdf Statement on open
access to scholarly information.
• October 11, 2004. The Scottish Science Information Strategy Working Group released the
Scottish Declaration of Open Access. While signed and released on October 11, 2004, it was
not made official until March 14, 2005.
• A National Open Access Policy for Developing Countries, Bangalore Declaration, Workshop
on Electronic Publishing and Open Access
Indian Institute of Science, Bangalore, 2-3 November 2006, users.ecs.soton.ac.uk/harnad/Temp/
bangalore.pdf
• December 17, 2004. The Australian Research Information Infrastructure Committee (ARIIC)
issued its Open Access Statement.
原註 26
策略
1999 年,美國衛生研究院(National Institutes of Health, NIH)院長法莫斯(Harold Varmus)提出公共
醫學中心的構想(Varmus, 1999), 把公共圖書館自由使用館藏圖書的觀念, 帶入生命科學論文的傳
播領域, 以團體的力量, 架構自由的學術出版品網。
當時,法莫斯相當躊躇,不知該怎採什麼策略(Harnad, 1999):
��.1免費近用學刊論文
��.2建置典藏所,免費近用其中的論文
��.3成立新的出版社,挑戰付費近用出版社,把作者拉過來
��.4創辦不同類型的學刊,採用冏異的同儕評閱模式
2000 年 2 月,先成立公共醫學中心(PubMed Central),邀請出版社將論文典藏於此;不受重視
14. 開放近用出版社的利基,來自於廣告、出版費(向作者收取,通常由其所屬單位或贊助機構支
付)、衍生產品(如:販售印本等。公共科學圖書館(出版社)(http://www.plos.org)是最佳營運例
子。
機構強制典藏
沒有強制要求的前提下,作者沒有意願主動典藏其論文;但是在機構或贊助單位的要求下,作
者卻相當願意自我典藏其論文(Swan, 2005)
ROARMAP (Registry of Open Access Repository Material Archiving Policies)
, Directory of Institutions with Open Access Policies. http://www.eprints.org/signup/fulllist.php
Summary By Type
35 INSTITUTIONAL Mandates 1 Proposed INSTITUTIONAL Mandate(s)
6 DEPARTMENTAL Mandates 6 Proposed MULTI-INSTITUTIONAL Mandates
36 FUNDER Mandates 7 Proposed FUNDER Mandates
77 TOTAL Mandates 14 TOTAL Proposed Mandates
2003 年元月,英國南安普敦大學(University of Southampton)電機及電腦科學系(Department of
Electronics and Computer Science, ECS)成為第一個強制典藏的單位。2003 年 11 月,歐洲核子研
究組織(European Organization for Nuclear Research, CERN)跟進,強制要求自我典藏。
贊助單位強制典藏
SHERPA: JULIET: Research funders' open access policies, http://www.sherpa.ac.uk/juliet/index.php12
Research funders' open access policies, http://www.sherpa.ac.uk/juliet/index.php
Position statement in support of open and unrestricted access to published research / Wellcome Trust,
October 1, 2003
HRB Position Statement in Support of Open and Unrestricted Access to Published Research (Open
Access), Version 1.0, Last updated 16 January 2008
授權
作者祗能授權他擁有的權利,作品的著作權分為兩種:
• 著作人格權
15. • 著作財產權
著作人格權專屬於著作人本身,不得讓與或繼承。
著作財產權人得授權他人利用著作,其授權利用之地域、時間、內容、利 用方法或其他事項,
依當事人之約定。現行的法律認定 「著作財產權讓與之範圍依當事人之約定;其約定不明之部
分,推定為未授權。」(第 36 條),而且採取公訴罪方式;作者必須授權,才能免除侵權之虞。
查驗以往的宣言,開放近用運動不曾討論作者的授權事宜,祗提出讀者應有的權利。換句話
說,最佳的授權應該是由著作所有權人聲明「著作財產權不存續」,即俗稱的「公版著作」。
不必授權,任何人均可自由使用;沒有「讓與、行使及消滅」著作財產權爭端;也不需要著作
權仲介團體與著作權審議及調解委員的運作;沒有任何財產權上的罰則。剽竊、割裂、冒名等
事宜,刑法即足對應。
結論
還有很多學術文獻,既不是印前本也不是印後本,包括: 專書、會議投影片、碩士論文、博士論
文、技術報告等;在網際網路上都可以找到,部份以創用 CC 或類似的方式授權。
參考書目
在 2009 年 5 月 1 日拜訪所有連結
• 格拉斯哥宣言(2002) 图书馆和信息服务机构及信息自由的格拉斯哥宣言 = [格拉斯哥宣
言:圖書館、資訊服務及資訊自由] / 國際圖書館協會聯盟, 2002 年,
http://archive.ifla.org/faife/policy/iflastat/gldeclar-cn.pdf
• 楊維中(2006). 香草期刊系統 = Vanilla Journal Publishing system,
https://www.ohloh.net/p/vanilla-journal;2008 年之後,不再維護及更新,
http://zonble.net/archives/2006_08/874.php
• 陳亞寧 (2004). DSpace 跨機構虛擬儲存庫之可行性研究 / 陳亞寧、陳淑君、鍾豐謙, 教育
資料與圖書館學, 42(2), 頁 243-253
• 創用 CC(2009). http://creativecommons.org.tw/; 姓名標示 2.5 台灣版,
http://creativecommons.org/licenses/by/2.5/tw/legalcode
• Bailey(2006). Open Access and Libraries / Charles W. Bailey, Jr., http://www.digital-
scholarship.com/cwb/OALibraries2.pdf
• Berlin 2003, Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities
[柏林宣言: 開放近用科學與人文學知識], October 22, 2003,
http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html; 官方中文譯本,
http://oa.mpg.de/openaccess-berlin/BerlinDeclaration_chin_trad.pdf
• Bethesda(2003). Bethesda Statement on Open Access Publishing = 畢士大開放近用出版宣言,
Released June 20, 2003, http://www.earlham.edu/~peters/fos/bethesda.htm; 官方中文譯本,
http://www.lins.fju.edu.tw/mao/works/bethesda.htm
• BMC(2009). Brief summary of what Open Access means for the reader,
http://www.biomedcentral.com/info/about/openaccess
16. • BOAI(2002). Budapest Open Access Initiative = 布達佩斯開放近用倡議 2002,
http://www.soros.org/openaccess/read.shtml; 官方中文譯本, http://www.soros.org/openaccess/
choose_language_cn.shtml
• Clarke(2009). Information Wants to be Free / Roger Clarke,
http://www.rogerclarke.com/II/IWtbF.html。Stewart Brand 在 1984 年第一次國際駭客大會
上,首次提到 Information Wants to be Free.
• DOAJ (2009). Directory of Open Access Journals, DOAJ, http://www.doaj.org/
• DSpace (2009). DSpace.org : Repository List, http://www.dspace.org/index.php?/DSpace-
Instances/Repository-List.html#Taiwan
• EPrints (2009). EPrints 3.1.3, License: GPL, http://files.eprints.org/447/
• Fedora Commons (2009). Fedora Commons, http://www.fedora-commons.org/
• GPL (2007). GNU GENERAL PUBLIC LICENSE / Free Software Foundation, Version 3, 29
June 2007, http://www.gnu.org/copyleft/gpl.html; GNU 通用公共許可證, 一九九一年六月 第
二版, http://www.linux.org.tw/CLDP/OLD/doc/GPL.html; GNU 通用公共授權 第三版 [翻譯
中], http://wiki.debian.org.hk/w/GPLv3
• Harnad(1999). Comments on E-biomed: A Proposal for Electronic Publications in the
Biomedical Sciences (May 5, 1999 DRAFT) / Stevan Harnad, May 8, 1999,
http://users.ecs.soton.ac.uk/harnad/Ebiomed/com0509.htm#harn45
• Harnad(2005). "Fast-Forward on the Green Road to Open Access: The Case against Mixing Up
Green and Gold," Ariadne, no. 42 (2005), http://www.ariadne.ac.uk/issue42/harnad/
• Jeng Kai Yuan(2009). Chinese (Traditional - TW), http://pkp.sfu.ca/ojs-languages/chinese_tw
• MacDonell(1999). Origin of the Scholarly Journal / by Karen L. MacDonell, December 6,
1999,
http://www.slais.ubc.ca/COURSES/libr500/fall1999/WWW_presentations/K_MacDonell/origin
.htm
o Philosophical Transactions of the Royal Society, 1665 年首期封面,
http://upload.wikimedia.org/wikipedia/commons/4/43/1665_phil_trans_vol_i_title.png
o Journal des sçavans, 1665 年首期封面,
http://upload.wikimedia.org/wikipedia/commons/5/5d/1665_journal_des_scavans_title.j
pg
• OAI-PMH(2002). The Open Archives Initiative Protocol for Metadata Harvesting, Protocol
Version 2.0 of 2002-06-14, Document Version 2008-12-07T20:42:00Z,
http://www.openarchives.org/OAI/2.0/openarchivesprotocol.htm
• OECD(2004). OECD Declaration on Access to Research Data From Public Funding, January
30, 2004. AT Science, Technology and Innovation for the 21st Century. Meeting of the OECD
Committee for Scientific and Technological Policy at Ministerial Level, 29-30 January 2004 -
Final Communique, ANNEX 1.,
http://www.oecd.org/document/0,2340,en_2649_34487_25998799_1_1_1_1,00.html
• OECD(2007). OECD Principles and Guidelines for Access to Research Data from Public
Funding / Organisation for Economic Co-operation and Development (OECD), Paris : OECD,
2007, 24 p., http://www.oecd.org/dataoecd/9/61/38500813.pdf
• OJS(2009). Open Journal Systems, http://pkp.sfu.ca/?q=ojs
• OpenDOAR(2009). OpenDOAR - Countries and Organisations,
http://www.opendoar.orgO/countrylist.php?cContinent=Asia#Taiwan
• Open J-Gate, http://www.openj-gate.com
17. • Regensburg(2009). Elektronische Zeitschriftenbibliothek, Universitätsbibliothek Regensburg
[德國雷根斯堡大學圖書館: 開放近用學刊目錄], http://rzblx1.uni-
regensburg.de/ezeit/fl.phtml?colors=1&lang=de&selected_colors[]=1&bibid=UBR
• RoMEO(2007). SHERPA RoMEO Colours, Pre-print, Post-print, Definitions and Terms,
http://www.sherpa.ac.uk/romeoinfo.html#colours
• Self-Archiving(2009). Self-Archiving FAQ for the Budapest Open Access Initiative (BOAI),
http://www.eprints.org/openaccess/self-faq/#self-archiving
• Suber(2004). Praising progress, preserving precision [讚揚進步,保存精準] / Peter Suber,
SPARC Open Access Newsletter, issue #77, September 2, 2004,
http://www.earlham.edu/~peters/fos/newsletter/09-02-04.htm
• Suber(2004a). Creating an Intellectual Commons through Open Access [經由開放近用建立智
性共享] / Peter Suber, October 13, 2004,
http://dlc.dlib.indiana.edu/archive/00001246/02/Suber_Creating_041004.pdf
• Suber(2007). Open Access Overview [開放近用概論] : Focusing on open access to peer-
reviewed research articles and their preprints / Peter Suber, Last revised June 19, 2007,
http://www.earlham.edu/~peters/fos/overview.htm
• Suber(2009). Declarations in support of OA [支持開放近用的宣言],
http://oad.simmons.edu/oadwiki/Declarations_in_support_of_OA
• Swan, A(2005), A & Brown, S. "Authors and open access publishing" [作者及開放近用出版]/
Swan, A & Brown, S.. Learned Publishing 17 (3) 2005
http://www.keyperspectives.co.uk/OpenAccessArchive/Authors_and_open_access_publishing.p
df
• Varmus (1999). E-BIOMED: A Proposal for Electronic Publications in the Biomedical
Sciences / Harold Varmus, May 5, 1999 (DRAFT) and June 20, 1999 (ADDENDUM),
http://www.nih.gov/about/director/pubmedcentral/ebiomedarch.htm
• WSIS(2009). World Summit on the Information Society, http://www.itu.int/wsis/index.html
後續研究
��.1學術期刊的顏色
a. Suber(2007). Open Access Overview [開放近用概論] : Focusing on open access to
peer-reviewed research articles and their preprints / Peter Suber, Last revised June 19,
2007, http://www.earlham.edu/~peters/fos/overview.htm
��.2學術期刊的起源
a. 由於社會力量與科技發展,西方學術界的期刊發軔於 17 世紀。印刷術、郵政系
統,以觀察與實驗為知識的主要研究方法。
b. 學術期刊出現以前,學者寫下新的發現,互相傳閱。不僅費用昂貴,而且還有抄
襲的爭議,Hooke Vs. Huygens, Newton Vs. Leibniz
c. 從 16 世紀至 17 世紀初,以年鑑、通訊、及報紙等形式定期出版的印刷品,在科
學家間逐漸流行。
a. Origin of the Scholarly Journal / by Karen L. MacDonell, December 6, 1999,
http://www.slais.ubc.ca/COURSES/libr500/fall1999/WWW_presentations/K_MacDone
ll/origin.htm
18. b. Eisenstein, Elizabeth. "The Book of Nature Transformed: Introduction: Problems of
Periodization." In The Printing Press as an Agent of Change: Communications and
Cultural Transformations in Early-Modern Europe, vol. 2. Cambridge, England:
Cambridge University Press, 1979.
c. Ornstein, Mary. "The Scientific Journals." In The Role of Scientific Societies in the
Seventeenth Century, 3d ed. History of Medicine Series, vol. 6. Chicago, IL: University
of Chicago Press, 1938. Reprint, Hamden, CT: Archon Books, 1963.
d. Kronick, David A. A History of Scientific and Technical Periodicals: The Origins and
Developments of the Scientific and Technological Press, 1665 - 1790. New York:
Scarecrow Press, 1962.
��.3開放近用的影響因子
a. Journal Impact Factors; Usage Impact; Citation Impact
b. Open Access Impact Studies: http://citebase.eprints.org/isi_study/
http://www.crsc.uqam.ca/lab/chawki/ch.htm
��.4開放近用的重要宣言
o Budapest Open Access Initiative and its FAQ, February 14, 2002
o Bethesda Statement on Open Access Publishing, June 20, 2003
o ACRL Principles and Strategies for the Reform of Scholarly Communication, August
28, 2003
o Wellcome Trust position statement on open access, October 1, 2003
o Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities,
October 22, 2003
o UN World Summit on the Information Society Declaration of Principles and Plan of
Action, December 12, 2003
o OECD Declaration on Access to Research Data From Public Funding, January 30, 2004
o IFLA Statement on Open Access to Scholarly Literature and Research Documentation,
February 24, 2004
o Australian Group of Eight Statement on open access to scholarly information, May 25,
2004
��.5開放近用資訊導論 Open Access Overview / 毛,
http://www.lins.fju.edu.tw/mao/oai/overview.htm
a. 1978, Harnad, Stevan 曾提出此構想, http://users.ecs.soton.ac.uk/harnad/intpub.html
��.6開放近用與圖書館,
a. Thinking about libraries and access, 17 Jul 2008,
http://pln.palinet.org/wiki/index.php/Thinking_about_libraries_and_access
b. Open Access and Libraries. By Charles W. Bailey, Jr. Preprint 1/11/06,
http://www.digital-scholarship.org/cwb/OALibraries2.pdf
c. OPEN ACCESS FOR LIBRARIANS IN DEVELOPING COUNTRIES / Heather
Morrison, http://www.coady.stfx.ca/work/openaccess/assets/Open%20Access
%20Introduction.rtf
��.7National Electronic Article Repository (NEAR)
��.8Price Barriers & Permission Barriers
��.9New Paradigms in Scholarly Research
o Open -> Open Access / Open Science / Open Source / Open standards / Etc
19. o Semantic -> Valued Added Content and Functionality Within Journals / Monographs /
Other Publications
o Social -> Social networks / Social software / Web 2.0 /Etc.
o Mobile -> Mobile data access / Mobile data gathering / Incorporated mobile content
within publications