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  1. 1. International Initiatives / By Andreas Hübner, Helmholtz Association of German Research Centres 國際倡議 / 安德魯・休伯納,德國研究中心赫爾曼‧馮‧亥姆霍茲聯合會 A large number of international Open Access initiatives strive for the implementation of the idea of Open Access. A few of the most important ones are introduced below. 很多國際性的開放近用倡議,努力實現開放近用的概念。以下介紹若干最重要的倡議。 WSIS (World Summit on the Information Society)••••••• 資訊社會世界高峰會議 After the Internet became a mass medium during the 1990s and the relevance of ‘information as a raw material’ within the global society became more and more clear, politicians increasingly had to address the question of a global framework for the information society. Following some (trans)national initiatives, this resulted in the idea of a ‘World Summit on the Information Society’, which was taken up by the UN in 2001. The summit was held in two phases as part of the implementation of the UN Millennium Declaration: in Geneva in 2003, and in Tunis in 2005. One of the summit’s special features was the participation not just of governments but of all involved stakeholders, i.e. business representatives and civil society. 網際網路在 1990 年代形成大眾媒體之後,'資訊視為素材'的概念,在全球社會中愈來愈清晰, 越來越多的政治家對資訊社會的全球框架感到迷惑。經由若干國家的倡議,聯合國於 2001 年形 成召開'資訊社會世界高峰會議'的認識。該高峰會議成為聯合國千禧年宣年的一部分,分為兩個 階段執行:2003 年在日內瓦召開、2005 年在突尼斯舉行。其中一個高峰會議的特點是,不僅由 各國政府派代表參與,而且邀請各方的相關者,即商業界和公民社會的代表。 The Declaration of Principles and the Plan of Action passed in Geneva after some tough wrangling about wording are not binding under international law, but were rather formulated as an appeal. Amongst other things, they refer to improved access to information. Unlike the (sometimes very advanced) debate on Open Access in developed countries, the documents passed by the summit also focus on measures to overcome the global digital divide, in other words they also focus on the development of basic technologies and infrastructure in the world’s less developed regions as a prerequisite for Open Access to information. The Declaration of Principles states with regard to Open Access: ‘We strive to promote universal access with equal opportunities for all to scientific knowledge and the creation and dissemination of scientific and technical information, including Open Access initiatives for scientific publishing’(124). 經過措辭強烈的爭吵後,於日內瓦的會議通過的《原則宣言》和《行動計劃》,它們祗是把呼 籲列出來,沒有國際法上的約束力。其內容包括改進近用資訊。不同於(有時是非常先進的)開 發國家的開放近用爭議,峰會通過文的文件集中於克服全球的數位落差,換句話說,他們還強 調,在欠發達地區裡裡,基本的技術與基礎建設優於開放近用資訊。原則宣言裡和開放近用有 關的字句是: '我們要努力使用所有人均能有平等的機會, 普遍獲取科學知識, 創造和傳播科技信 息, 包括公開獲取科學出版的舉措'(註 124) 。 註 124: http://www.itu.int/dms_pub/itu-s/md/03/wsis/doc/S03-WSIS-DOC-0004!!PDF-E.pdf. paragraph 28. The Plan of Action is intended to guarantee the concrete implementation of the visions and tenets formulated in the Declaration of Principles by 2015. One of the plan’s eleven central points of action is
  2. 2. entitled ‘Access to Information and Knowledge’ and formulates recommendations for governments and others, in order to achieve improved access to information. One of the measures the Plan of Action states in this regards is the following: ‘Encourage initiatives to facilitate access, including free and affordable access to Open Access journals and books, and open archives for scientific information’(125). In order to implement the different courses of action, first consultation meetings were held in October 2006, where UNESCO was confirmed as an official facilitator for the areas ‘Access to Information and Knowledge’and ‘E-science’, amongst others. At the same time working topics were developed. 《行動計劃》的目的是,至 2015 年時,保證具體落實《原則宣言》的願景和信條。在 11 點行 動方針裡,有一項是'近用資訊與知識',並提出對政府及其他單位的建議,以便實現改善近用資 訊。其中一項措施行動計劃的國家在這方面是: 鼓勵採取各種措施,包括免費和負擔得起的方 式,開放近用至期刊和書籍,並科學資訊的開放檔案(註 125)。為了執行不同的行動,於 2006 年 10 月與行第一次協商會議,確認聯合國教育科學文教組織是'近用資訊與知識'和'電子科學'的 正式協調人。同時制定了工作主題。 註 125: http://www.itu.int/wsis/docs/geneva/official/poa.html. paragraph C3, 10 i. The documents passed by WSIS in Geneva are the lowest common denominator to which the UN’s 192 Member States could agree. As a result, they are carefully formulated and concerned with balancing interests, not least when it comes to Open Access. This was particularly criticized by representatives of civil society, causing them to formulate their own final document, which speaks more clearly and sees itself as an important supplement to the official documents. The documents passed by WSIS in Tunis (Tunis Commitment and Tunis Agenda for the Information Society) do not go any further than the documents passed in Geneva with regard to Open Access, but they do expressly confirm them. 在日內瓦召開的資訊社會世界高峰會議,通過的文件是聯合 192 個會員國的最小公分母。因 此,他們仔細地制定並關注彼此利益的平衡,在開放近用領域亦復如此。公民社會特別從這個 角度批評,並制訂他們自己的定稿,清楚地把它界定在正式文件的重要補充資料。在突尼斯階 段的資訊社會世界高峰會(突尼斯承諾和突尼斯資訊社會議程)通過的文件,在開放近用方面, 並沒有超越日內瓦成就,祗是在突尼斯再次確認而已。 OECD (Organisation for Economic Cooperation and Development) •••••••• 經濟合作暨發展組織 In contrast to the documents passed by WSIS, which take a more comprehensive look at the world’s less developed regions, the OECD, as the coordinating committee of the 30 leading developed countries in the area of economic policy, is mainly concerned with the impact of Open Access on economics and research policy. 資訊社會世界高峰會議通過的文件,專注在欠欠發達地區;身負協調 30 個主要發達國家經濟政 策的經濟合作暨發展組織,從另一個角度做為,主要關心開放近用對經濟和研究政策的影響。 In January 2004, a Declaration on access to publicly funded research data was passed. In addition to the OECD states, China, Israel, the Russian Federation, and South Africa also signed the document. Amongst other things, they acknowledge their commitment to the principles of balance, transparency, good scientific and scholarly practice, and the observation of quality and security standards. In this spirit, the OECD Council’s recommendation regarding access to publicly funded research data was
  3. 3. published in December 2006. This document expresses a clear recommendation for the signatory states to legislate towards Open Access. In addition, the OECD Council seeks to monitor the implementation of the recommendation in the individual states and to adapt the guidelines to new developments in technology and scientific practice if need be. 2004 年元月,通過對近用公帑資助研究資料的宣言。中國、以色列、俄羅斯、南非等非經濟合 作暨發展組織成員國也簽署此文件。在此文件裡,經濟合作暨發展組織承諾在平衡、、透明、 善意科學和學術實踐的原則下,觀察品質和安全的標準。本此精神,經濟合作暨發展組織理事 會在 1006 年 12 月,出版有關近用公帑資助研究資料的建議;該文件明確地建議,簽署國應立 法走向開放近用。此外,經濟合作暨發展組織理事會將監測各成員國對建議的落實情況,必要 時, 將最新的科技發展與科學實務納入指導綱領內。 Besides Open Access to data, the OECD also adopted a position with regard to Open Access in the entire area of publicly funded scientific and scholarly publishing. A report was published in September 2005, which provides detailed descriptions of economic structures and added-value chains, as well as of existing and new business models based on online access. It concludes with ‘Challenges and Policy Considerations’. This report, like the declaration on the subject of research data (see above), recommends maximum access to research results in order to obtain greater social benefit. 除了開放近用資料之外,經濟合作暨發展組織還通過對公帑資助科學與學術出版的開放近用立 場聲明。2005 年 9 月發表該報告,詳細說明經濟結構和增值鏈,以及既有及可能的經營模式, 以'挑戰和政策考慮'做為結論。如同前述的研究資料,這份報告建議極大化研究成果的近用,以 獲得更大的社會效益。 While the OECD has made a statement on Open Access to research data in the binding form of a declaration whose implementation is to be monitored, Open Access to general research results has so far only been recommended in the above-mentioned report. 經濟合作暨發展組織已經對研究資料提出開放近用的聲明,不過,仍需持續監測其應用層面; 開放進用一般的研究成果,僅出現在上述的報告之內。 IFLA (International Federation of Library Associations and Institutions)••••••••• 國際圖書館協會聯盟 Founded in 1927, IFLA sees itself as the leading global representation of libraries and information services. IFLA feels committed to the principle of Open Access, particularly with regard to access to academic literature in developing countries. In the past few years, several declarations on Open Access have been passed, such as the ‘IFLA Statement on Open Access to Scholarly Literature and Research Documentation’ (February 2004). This statement states IFLA’s support of the principles underlying Open Access, including the defence of authors’ rights, opposition to any kind of censorship, affordable access for individuals in developing countries, and the support of sustainable Open Access publication models. 成立於 1927 年,國際圖書館協會聯盟把自己定位為圖書館與資訊服務業的全球代表。國際圖書 館協會聯盟認可開放近用的原則,特別是對開發中國家近用學術術文獻。在過去幾年裡,已通 過若干開放近用的宣言,如: 開放近用學術文獻與研究文件聲明(2004 年 2 月)。此聲明表示,國 際圖書館協會聯盟對開放近用原則的支持,包括維護作者的權利,反對任何形式的檢查,開發 中國家的個人以可負擔的方式近用文獻,以及支持永續性的開放近用出版模式。 In 1997, IFLA set up the committee on ‘Free Access to Information and Freedom of Expression’. This committee deals with article 19 of the United Nations Universal Declaration of Human Rights in so far as it is relevant to libraries. With regard to freedom of opinion, this article demands that everyone should be able to seek, receive and impart information and ideas regardless of frontiers. Important
  4. 4. IFLA/FAIFE documents include the ‘IFLA Internet Manifesto’ (May 2002) and the ‘IFLA/UNESCO Internet Manifesto Guidelines’ (September 2006). Amongst other things, the Internet Manifesto calls upon the international community and national governments to promote the development of information structures and worldwide Internet access. The guidelines mainly address libraries and go into some detail inter alia regarding programmes for Internet access as well as the development of services in libraries in order to make strategy decisions in these areas easier. 1997 年,國際圖書館協會聯盟成立「自由近用資訊及言論自由」委員會,討論聯合國發佈的人 權宣言第十九條與圖書館的關係。該條人權宣言論及表意自由,人人有權不受國界拘束,尋 求、接受和傳播消息和思想的自由。該委員會與國際圖書館協會聯盟共同發表「國際圖書館協 會聯盟網際網路宣言」(2002 年 5 月)以及「國際圖書館協會聯盟/聯合國教科文組織網際網路宣 言基準」(2006 年 9 月);在宣言裡,呼籲國際社會和各國政府,推動資訊結構發展和全球網際 網路近用。該基準以圖書館為對象,包括網際網路近用計畫,以及發展圖書館的服務,在這些 領域內更容易形成策略性的決策。 UNESCO (United Nations Educational, Scientific and Cultural Organisation)••• 聯合國教育科學文化組織 UNESCO supports the creation of Knowledge Societies in which everyone has access to information and knowledge. It places its emphasis on education and development and includes ethical, social and political perspectives. 教科文組織支持建立知識社會,每個人都能夠從中近用資訊和知識。強調教育和發展,包括道 德、社會和政治觀點。 The UNESCO Recommendation concerning the Promotion and Use of Multilingualism and Universal Access to Cyberspace, which was passed in autumn 2003, calls for the promotion of Open Access solutions: ‘Member States and international organisations should encourage Open Access solutions including the formulation of technical and methodological standards for information exchange, portability and interoperability, as well as online accessibility of public domain information on global information networks’(126). Member States report back every four years on their implementation of this ‘Cyberspace Recommendation’. 教科文組織於 2003 年通過,「關於推動及使用多元文化及普及近用網路空間建議」,呼籲推動 開放近用解決方案:會員國和國際組織應鼓勵開放近用解決方案,包括制定交換資訊的標準技 術和方法,提昇其可攜性和互通性,在全球資訊網路上,線上近用公領域的資訊(註 126)。四年 一次,會員國應就此「網路空間建議」案,提出報告。 註 126: Recommendation concerning the Promotion and Use of Multilingualism and Universal Access to Cyberspace, 15 October 2003, 第 18 段, http://portal.unesco.org/en/ev.php- URL_ID=17717&URL_DO=DO_TOPIC&URL_SECTION=201.html UNESCO is significantly involved in the process of the ‘World Summit on the Information Society’ and plays an important role in the implementation of the Geneva Plan of Action. For one, it has been named an official facilitator of the Action Lines ‘Access to Information and Knowledge’ and ‘E- science’. In addition, UNESCO is working with many other initiatives in the area of access to information and knowledge, where it takes on a supporting and facilitating role, as for example with the formulation of the IFLA/UNESCO Internet Manifesto Guidelines. They state that ‘unhindered access
  5. 5. to information is essential to freedom, equality, global understanding and peace’(127). 教科文組織正在大力參與籌備召開"資訊社會世界高峰會議" 在日內瓦行動計劃扮演重要的角 色。一方面,對"近用資訊與知識"和"電子科學"任命了一位正式的協調員;而且,教科文組織 與其近用資訊與知識領域的其他倡議共同行動,制定了「國際圖書館協會聯盟/聯合國教科文組 織網際網路宣言基準」,其中提到,「 無阻礙地近用資訊,是自由、平等、全球理解與和平的 必要條件」(註 127)。 註 127 IFLA/UNESCO Internet Manifesto Guidelines (September 2006), http://www.ifla.org/faife/policy/iflastat/Internet-ManifestoGuidelines.pdf. SPARC (Scholarly Publishing and Academic Resources Coalition)••••••• 學術出版及資源聯盟 SPARC was founded in 1998 with its seat in Washington DC (USA) as an international alliance of university and research libraries. Originally concerned with increasing competition in the publications market with the goal of lowering journal prices, SPARC has now become an important international action platform, which is developing new communication models for academic publishing in cooperation with other initiatives and partners and is committed to Open Access. More than 220 mainly North American libraries are members of SPARC (as of January 2007). In addition, several large library organisations from all around the world are associated members. SPARC Europe was founded in 2001 as an independent spin-off of SPARC and currently has more than 100 members. These are also associated, as are the more than 600 libraries of SPARC Japan, which started work officially in December 2006. SPARC provides information on authors’ rights (development of an addendum to authors’ contracts), supports openly accessible and inexpensive journals (Publisher Partner Program), and offers strategic and practical advice for publishers who wish to get involved in Open Access publishing (Publisher Assistance Program). SPARC is supported by US-lobby groups such as the Open Access Working Group (OAWG) and the Alliance for Taxpayer Access (ATA) and thus plays an important role in the political arena, particularly in the United States. 學術出版及資源聯盟是國際性的大學與研究圖書館聯盟,1998 年在美國華盛頓特區成立。它的 初衷是關注日益激烈出版品市場競爭,以降低學刊價格為目的,開發出新的通訊模式,在開放 近用的前提下,容納學術出版及其他倡議及夥伴,成為重要的國際性行動平台。以北美圖書館 為主,已有 220 多個會員(截至 2007 年 1 月);此外,世界各地的大型圖書館組織也成為聯繫會 員。歐洲學術出版及資源聯盟成立於 2001 年,是一個獨立的單位,目前有 100 多名成員;日本 學術出版及資源聯盟以獨立的姿態,於 2006 年 12 月開始運作。學術出版及資源聯盟提供有關 作者權益的資料(草擬作者方的合約)、支持開放近用和不貴的學刊(出版社夥伴計劃),並且對出 版社提供策略和務實的諮詢,供願意加入開放近用出版計畫(出版社協助計畫)的出版社參考。 包括開放近用工作小組及納稅人近用聯盟等美國遊說團體,表態支持學術出版及資源聯盟,對 美國等地的政治舞台,扮演重要的角色。 p.131-135 開放近用 : 機會及挑戰, http://tinyurl.com/dck7v9 Open Access : Opportunities and Challenges. A handbook [開放近用 : 機會及挑戰] / European Commission, German Commission for UNESCO. -- Luxembourg : Office for Official Publications of the European Communities, 2008. -- 144 p., 14.8 x 21.0 cm. -- ISBN 978-92-79-06665-8. -- EUR 23459, http://tinyurl.com/3q8wo5
  6. 6. Open Access : Chancen und Herausforderungen : ein Handbuch. -- Bonn : Deutsche UNESCO- Kommission, 2007. -- 136 Seiten. -- ISBN 3-927907-96-0. http://www.unesco.de/fileadmin/medien/Dokumente/Kommunikation/Handbuch_Open_Access.pdf