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  • 1. European Initiatives / By Celina Ramjoué, Research Directorate-General, European Commission(101) 歐洲行動 / 莎里奈‧藍究, 研究總署, 歐盟執行委員會(註 101) 註 101: 本文係著者的觀點, 任何情況下不能被視為歐盟執行委員會的看法 In addition to national activities, there are also Open Access initiatives on the European level. 在各國的活動之外, 還有歐洲層級的開放近用行動。 CERN••••••••••••••••• 歐洲核子研究組織 The European Organization for Nuclear Research (CERN) is a pioneer in the area of Open Access. In 1953 the convention setting up CERN already noted that ‘the results [of CERN’s] experimental and theoretical work shall be published or otherwise made generally available’(102). Building on this practice, in the digital age it has become customary for researchers in the field of nuclear research as well as in the field of physics generally to deposit their publications in electronic archives. In a statement issued in late 2003, CERN spoke out in favour of open electronic distribution of knowledge (‘An electronic publishing policy for CERN’(103)) and in May 2004, it signed the Berlin Declaration. In March 2005, CERN published a document arguing for the Open Access publication model (‘author pays’ model). That same year, CERN set up a task force consisting of authors, publishers and research funding bodies, with the mandate to evaluate potential Open Access business models. Their report, published in June 2006, proposed what is known as the ‘Sponsoring Consortium for Open Access Publishing in Particle Physics’ model (SCOAP3) to fund Open Access(104). 歐洲核子研究組織(CERN)是開放近用領域的先驅。1953 年成立時, 即敘明'其實驗與理論工作的 成果, 應出版或公諸於世'(註 102)。在此基礎上,進入數位時代後, 核子研究與物理學領域內的研 究者, 已習慣將其出版品儲存在電子典藏所。在 2003 年底的一個聲明裡,贊成開放電子散布知 識(註 102); 2004 年 5 月, 又簽署柏林宣言。2005 年 3 月,再發佈一份文件,主張開放近用出版 模式('作者付費'模式)。同年,成立由作者、出版社與研究贊助者組成的專責小組,評估可能的 開放近用的商業模式。2006 年 6 月發表的報告裡,提出所謂的'粒子物理領域開放近用出版贊助 聯合會'模式(SCOAP3), 贊助開放近用(104)。 註 102: Article II.1, 註 103: 註 104: SCOAP3 is a consortium made up of research institutions, funding bodies, and libraries that will take over the funding of a series of journals that are particularly important for nuclear research during several years of transition to the Open Access model. During this time, the idea is for publishers to be funded by the consortium instead of by subscriptions. The originality of the SCOAP3 model lies in the fact that publishers maintain an important role and that authors do not have to finance the cost of publication themselves. A call for tender for SCOAP3 is planned for 2007. SCOAP3 是由研究機構、贊助團體及圖書館組成的聯盟,在轉型至開放近用模式的那幾年間, 贊
  • 2. 助若干學刊,它的構想是在此轉型期, 由聯盟贊助出版社不是由訂閱支持。SCOAP3 模式的原來 構想是,出版社保持原來的重要角色,作者不需支付出版本身的費用。預計於 2007 年實施 SCOAP3。 European Commission and associated bodies ••••••• 歐盟執行委員會與相關團體 Under article 164 of the Treaty establishing the European Community, measures for the ‘dissemination and optimisation of the results of activities in Community research, technological development and demonstration’ shall be implemented for the purpose of strengthening European research policy (Official Journal of the European Communities C 325/105, 24 December 2002). 根據建立歐洲共同體的條約第 164 條,衡量'散播和優化歐盟的研究、科技發展與展示成果',應 以強化歐洲研究政策為目標(Official Journal of the European Communities C 325/105, 24 December 2002)。 From this perspective, optimised access, efficient dissemination and reliable preservation promote the achievement of the aims of the Lisbon strategy of 2000, which called for the European Union to become the most competitive and dynamic knowledge-based economic area by 2010. The underlying thought here is that a wide dissemination of scientific and scholarly information will create the foundation for further research and innovation. 從這個角度看,優化近用、高效率地散播和可靠的典藏, 有助於達成 2000 年在里斯本宣告的目 標, 要求到了 2010 年時, 歐盟成為最具競爭力與活力的知識經濟體。其根本思想是,廣泛散播科 學和學術資訊, 做為進一步研究和創新的基礎。 Questions of access to and dissemination and preservation of academic information are dealt with by two EU Commissioners and two Directorates-General. The Directorate-General for Research, under the European Commissioner for Science and Research, Janez Potočnik, addresses them in the context of the creation of the ‘European Research Area’(105). The activities under the European Commissioner for Information Society and Media, Viviane Reding, and the relevant Directorate-General focus on the initiative ‘i2010: Digital Libraries’(106) and deal with many of the relevant technical questions. An important example is the DRIVER project (Digital Repository Infrastructure Vision for European Research), whose goal is to network more than 50 European repositories. 近用、散播與保存學術資訊的問題, 被兩位歐盟執行委員與兩個總署關注。歐盟科學暨研究執行 委員會的研究總署署長雅奈茲‧波托奇尼克, 以成立'歐洲研究區'回應此議題(註 105)。歐盟資訊社 會暨媒體執行委員會的薇薇安‧蕾汀, 及相關的總署, 將重點於在發起'2010: 數位圖書館'(註 106), 討論相關的技術問題。以連結超過 50 個歐洲典藏所為目標的歐洲研究數位典藏基礎願景 (DRIVER)計畫, 是其中一個重要的案子。 註 105: 註 106: In the light of the controversial debate on Open Access, the European Commission’s Directorate- General for Research commissioned a Study on the economic and technical evolution of scientific publication markets in Europe(107). In addition to delivering an analysis of the European academic publishing market, this study, published in spring 2006, was supposed to formulate recommendations for the European Commission.
  • 3. 鑑於對開放近用的爭議,歐盟執行委員會的研究總署委託一項研究, 針對歐洲科學出版市場的經 濟及技術發展(註 107)。除了分析歐洲的學術出版市場,於 2006 年春季出版的此研究,對歐盟 執行委員會提出具體的建議。 註 107: Dewatripont, Mathias et al., Study on the Economic and Technical Evolution of the Scientific Publication Markets in Europe. Final Report, commissioned by DG Research, European Commission, 2006, publication-study_en.pdf. One of the study’s main findings is that the market for academic journals is not characterised by traditional competition and that it displays certain special features. According to the study, it is of fundamental significance that the purchasers of scientific and scholarly journals are not their readers, but universities and libraries. This means that researchers are generally not informed about the high prices of journal subscriptions. The study further observes that between 1975 and 1995 there was a price increase of 200 to 300 % above the rate of inflation, which only flattened out somewhat during the mid-1990s with the start of the digital age. The study also concludes that journal prices depend on academic discipline, publisher and academic quality. Further trends underlined by the study are cuts in library budgets and falling numbers of subscriptions. 該研究的其中一項發現指出,學術期刊的市場並非傳統的競爭型市場,而有一些特殊性。根據 這項研究,科學與學術期刊的購買並不是它們的讀者,而是大學和圖書館。這意味著,研究人 員不了解訂閱學刊的高價位。進一步觀察到,在 1975 年至 1995 年間,學刊的價格的上漲幅度, 比通貨膨脹率還高出 200%至 300%,到了數位化開始的 1990 年代, 其上漲幅度才稍為平緩。這 項研究還得出結論,學刊的價格依學科別、出版社和學術品質,而有不同。後續發展, 顯然是削 減圖書館預算和減少訂閱者。 The study formulates recommendations on the questions of access, market issues, and continuing debate and research. On the topic of access, it recommends that publicly funded research results should be publicly accessible shortly after their publication. Further recommendations on the subject of access concern experimenting with business models, including dissemination as an evaluation criterion of academic work, and interoperability. With regard to market issues, the study proposes price strategies that promote competition and a close investigation of company mergers. In addition, a proposal is made to set up an advisory board for publication issues and to support further research on copyright, alternative forms of distribution, and technological developments. 這項研究對近用的問題、市場議題、持續的爭議與研究, 提出建議。在近用問題上,它建議公帑 支資助的研究成果,應該在出版之後, 儘快公開近用; 進一步建議操作實際的商業模式,包評估 學術作品的散播與互換性。在市場的議題上,提出價格策略,推動競爭與密切的調查公司的合 併案。此外,還有一個建議是, 設立諮詢委員會, 在出版問題、對著作權的進一步研究、其他的 發行形式以及科技的發展, 提供意見。 At the end of 2006, two bodies associated with the European Commission spoke out explicitly in favour of Open Access. The Scientific Council of the European Research Council (ERC), which was set up in connection with the Seventh Framework Programme for Research and Technological Development, published a statement on Open Access in December 2006. This document underlines that ‘it is the firm intention of the ERC Scientific Council to issue specific guidelines for the mandatory deposit in Open Access repositories of research results — that is, publications, data and primary materials— obtained thanks to ERC grants, as soon as pertinent repositories become operational’.(108)
  • 4. The European Research Advisory Board (EURAB) recommended that the European Commission adopt an Open Access policy for publications that are financed by the Framework Programme for Research. The relevant document states that ‘EURAB recommends that the Commission should consider mandating all researchers funded under FP7 to lodge their publications resulting from EC-funded research in an Open Access repository as soon as possible after publication, to be made openly accessible within 6 months at the latest.’(109) 2006 年底,與歐盟執行委員會底下的這兩個機構,公開表態贊成開放近用。根據歐盟第七期研 究架構計畫書的內容,歐洲研究委員會(ERC)成立科學理事會,於 2006 年 12 月發表開放近用聲 明。這份文件強調指出, '歐洲研究委員會科學理事會有堅定意圖發表一份指導方針,祗要永久 性的典藏所開始運作後, 受到歐洲研究委員會贊助的研究成果, 包括出版品、資料及原始素材在 內,均須強制典藏於開放近用典藏所'。(註 108)歐洲研究諮詢委員會(EURAB)建議,歐盟執行 委員會對於受到研究架構計畫補助的出版品, 採用開放近用政策。相關文件指出, '歐洲研究諮 詢委員會建議,執行委員會應考慮, 強制受到第七期研究架構計畫補助的研究者, 將儘快其出版 品典藏在開放近用典藏所, 至少在六個月之內開放給大眾用'(註 109)。 註 108: 註 109: en.pdf. In the run-up to a conference to take place in mid-February 2007 and to the planned adoption of a Communication from the European Commission on access, dissemination and preservation, Denmark’s electronic research library (DEFF), the German Research Foundation (DFG), the Joint Information Systems Committee (JISC), the Scholarly Publishing and Academic Resources Coalition (SPARC) Europe and the Dutch organisation for the collaboration of higher education institutions (SURF) launched a petition supporting the recommendation of the study described above, which stated that publicly funded research results should be made publicly accessible shortly after publication. On 15 February 2007, this petition was handed over to Commissioner Potočnik with more than 20 000 signatures. Signatures can still be added ( 歐盟執行委員會針對開放、散播與保存的議題, 於 2007 年 2 月中旬舉行會議; 在此之前, 丹麥的 電子研究圖書館(DEFF)、德國研究基金會(DFG)、英國聯合資訊系統委員會(JISC)、歐洲學術出 版及資源聯盟(SPARC)和荷蘭高等教育機構聯合會(SURF)合作,發表請願書, 支持前的研究結 論,要求公帑贊助的研究成果,應該在出版之後, 儘速成為公開近用。2007 年 2 月 15 日, 將 2 萬 多人簽署的請願書遞交給波托奇尼克執行委員, 此請願書仍繼續接受簽署(。 As a countermove, publishers and publishing associations issued the ‘Brussels Declaration on STM Publishing’ on 13 February. This declaration names a list of principles supported by the publishers, including the fact that they are responsible for the organisation of peer review and that a uniform change of the publishing system (‘one size fits all’) cannot work ( declaration/). This declaration was handed over to Commissioner Potočnik with approximately 40 signatures on 15 February. Signatures can still be added to this document, too. 2 月 13 日, 出版社和出版協會發表'布魯塞爾科技學術出版宣言'反擊,列舉一些出版社支持的原 則,包括它們對同儕評閱負責,劃一性地變出版系統是不可行的(http://www .stm- 。這項宣言有 40 個簽署者, 於 2 月 13 日交給波托奇尼克執行委 員,此宣言也繼續接受簽署。 The conference, entitled ‘Scientific publishing in the European Research Area: access, dissemination
  • 5. and preservation in the digital age’ organised by the European Commission in Brussels on 15 and 16 February 2007, attracted around 470 participants, primarily from Europe, but also from other continents. The conference was opened by Commissioner Potočnik and closed by Commissioner Reding(110). This conference introduced the Communication adopted on 14 February ‘on scientific information in the digital age: access, dissemination and preservation’(111). This communication marks a milestone on the way to a European policy on access, dissemination and preservation, because it addresses these subjects together on a European level for the first time. Its objective is to ‘signal the importance of [...] a) access to and dissemination of scientific information, and b) strategies for the preservation of scientific information across the Union [… and to point] to the need for a continuing policy debate.’ 歐盟執行委員會於 2007 年 2 月 15 日 16 日舉行的'歐洲研究領域的科學出版:數位時代的近用、 散播與保存'會議,吸引來自歐洲和其他地區的 470 與會者。這次會議由波托奇尼克執行委員開 場, 蕾汀執行委員收尾(註 110)。本次會議介紹了歐盟執行委員會於 2 月 14 日採納的'數位時代的 科學資訊:近用、散播與保存'(註 111)。此之會議為歐洲的近用、散播與保存攻策, 樹立里程 碑,第一次在歐洲的層級上, 對此議題表示看法。它的目標是'提示兩個重要的訊息 [...] a)近用及 散播科學資訊, 與 b)歐盟保存科學資訊的策略, [...並指出]是未來的政策辯論基礎。 註 110: 會議詳情: 註 111: COM (2007) 56 final, society/document_library/pdf_06/communication-022007_en.pdf 引文譯自原文, fn. 1 提到: 科學意指 所有學科的研究活動, 包括社會科學與人文科學 The last part of the communication sets out the Commission’s position. It considers ‘initiatives leading to wider access to and dissemination of scientific information’ to be ‘necessary’ and states that ‘fully publicly funded research data should in principle be accessible to all’. In addition it ‘draws particular attention to the need for clear strategies for the digital preservation of scientific information.’ 最後一段, 列出歐盟執行委員會的立場, 認為'帶來更廣近用及散播科學資訊的行動'是'必要的', 並指出'完全受公帑補助的研究數據,原則上應供所有人近用'。此外,它還'特別提請注意, 對於 數位典藏科學資訊, 必須有明確的戰略'。 The European Commission aims at 'measures to promote better access to the publications resulting from the research it funds': 'project costs related to publishing, including Open Access publishing, will be eligible for a Community financial contribution' and 'specific guidelines on the publication of articles in open repositories after an embargo period' will be issued, possibly for programmes being managed by the European Research Council. Secondly, the European Commission wants to finance a number of projects on the topics of preservation and the networking of repositories. Thirdly, it intends to make a contribution to the public debate through studies and the promotion of research on the scientific publication system. In addition, a political debate is planned, which will include the European Parliament, the Council, the Member States, and concerned stakeholders. 歐盟執行委員會的目標是'推動近用其補助研究出版品的更佳方法':'計畫的費用與出版有關,包 括開放近用出版,可從歐盟獲得財務的支援'和發行'在禁錮期後將論文置金於開放典藏所的具體 指導方針',可能歸歐洲研究理事會管理。其次,歐盟執行委員會希望資助若干以典藏和典藏所 網路化的計畫。第三,經由研究對公共爭議做出貢獻, 推動對科學出版的研究。此外,計劃對政 策提出辯論,包括歐洲議會,歐盟執行委員會,會員國和利益相關者。
  • 6. p. 120-123 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,