1. Publishers and Open Access
出版社與開放近用
Subscription-based Journal Publishing / Robert Campbell & Edward Wates, Wiley-Blackwell
付費學刊出版系統 / 羅伯特‧侃貝爾 & 愛德華·威茲, 威立-布雷克威爾(註 65)
註 65: 此文為作者的觀點, 不能代表威立-布雷克威爾出版社的正式看法
Introduction•••••••••••••
緒論
Annual global revenue for STM journals is about $6.5 billion although estimates vary. There are about
25 000 peer reviewed journals produced by at least 2 000 publishers, with around 65% of the market
held by the top 20 publishers. Around 1.6 million peer reviewed articles were published in 2006 and
the number has risen steadily by 3-4% per annum for decades in line with the growth in the research
community. It is possible, however, that we shall see this annual increase go up to around 4-5% driven
by the rising global spend on R & D.
科學技術與醫學領域的學刊, 全球每年收益在 65 億美元左右。大約有 2,000 家出版社出版 2,5000
種經由同儕評閱的學刊, 佔整個市場的 65%。2006 年, 有 160 萬篇經同儕評閱的論文被出版, 因
應研究市場的成長, 過去幾十年來, 這個數字每年成長 3%至 4%之間。全球在研究發展方面經費
成長, 每年的成長在 4%至 5%之間。
Unfortunately although governments are spending more on research, scholarly communication is
unlikely to be funded so generously. Many European universities, for example, have seen spending on
libraries fall from about 4% of total expenditure to around 3% since 1980.
不幸的是, 雖然政府投入更多的經費在研究方面，學術傳播並未因此而受惠。以歐洲大學為例，
自 1980 年以來, 圖書館的支出下降 3％至 4%左右。
Most of the $6.5 billion of journal income comes from institutional subscribers. Other sources of
revenue are advertising, reprints of articles and sponsored supplements (particularly in medicine).
There is also revenue from personal subscriptions (including members of societies), although this is in
decline largely as a result of the almost universal availability of journals through institutional libraries.
Some members only join a society to get their journal at a low rate. Some publishers also operate
schemes whereby an author can pay for Open Access, which is another potential source of revenue
although as yet insignificant in relation to subscription revenues.
65 億美元的學刊收益, 絕大多數來自機構的訂閱戶; 其他收入來源還有: 廣告、重印論文和廠商
贊助(尤其在醫學領域); 雖然有少數的個人訂戶(包括學會的會員)，但經由機構的訂閱, 多數的大
學圖書館都有這些學刊, 所以個人訂戶已經逐漸減少, 有些個人加入學會祗為了可以低價取得學
刊。有些出版社讓作者支付費用, 採用開放近用模式，雖然微不足道, 但也是另一個潛在的收益
來源。
The publishing community has invested heavily over the last decade in the online delivery of journal
content and linked with new pricing models (including the so-called 'big deal') has provided more
access to more articles at a much lower unit cost. However, while print runs have fallen in recent years,
most journals are still issued in both print and electronic format. As a result of this, and because of the
high cost of developing electronic systems, there has not been a reduction in overall subscription

2. prices, despite the substantial rise in overall access.
過去十幾年裡, 出版界對對線上傳送學刊內文, 做了大量的投資, 並且與新的訂價模式結合(俗稱
的'批售'), 以較低的單價近用更多的論文。然而，儘管近年來印量下降，大部分學刊仍發行印本
和電子兩種格式; 發展電子系統的成本仍高, 儘管整體的近用量急速增加, 但整體的訂閱價格並未
下降。
The dramatic development of the research journal and access to its content can be seen in the example
below.
接著, 從以下的例子, 可以看到研究學刊及近用其內容的戲劇性的發展。
The rise, fall and rise in circulation of a research journal•••••
學刊發行量的起起落落
The graph (Figure 1) shows the circulation to libraries of a specialised research journal in whole
organism biology launched in 1972. Growth in circulation was steady until a peak in 1986 then like
most other journals and despite the efforts of two excellent editors the circulation started to slip.
圖 1 顯示從 1972 年到 2006 年間, 有機生物學刊在圖書館的發行量; 穩定成長至 1986 年, 儘管有
兩位優秀的編輯, 就像其他學刊一樣, 發行量開始下滑。
<Figure 1>
圖 1: 學刊發行量的起起落落
There was pressure from researchers to publish more pages with the result that to pay for these and
compensate for loss of subscribers the subscription price went up by more than inflation. By the early
1990s the future of the print-on-paper research journal looked grim and understandably the library
community was being increasingly critical of the ever higher prices and the difficulty in maintaining
holdings.
研究人員有出版更多論文的壓力，必須為此付出更多的費用, 為了彌補訂戶減少的損失, 學刊訂
費的上漲幅度, 遠超過通貨膨脹率。到 1990 年代初, 印本學刊的未來相當嚴苛, 圖書館界對學刊
的高價位批評越來越多。
Then the first online delivery systems were launched in the late 1990s and behind these there followed
a complete revolution in journal production. Once these systems were in place publishers could rethink
their traditional pricing model as an extra user could be supplied at minimal extra cost, rather than for
the considerable additional costs of printing, binding, materials and postal distribution.
然後，1990 年代出現第一個線上傳輸系統, 為學刊的生產, 帶來全面性的革命。一旦這些系統就
位, 新增的每位使用者, 祗需極少的成本, 不需要相當的印刷、裝訂、原料和郵寄等費用。
The journal in Figure 1 is still supplied in hard copy to subscribers that want it in this way but by 2006
35% of the subscribers opted for e-only; this figure will be at least 65% by 2010. And the subscribers
are only the core circulation. Through the ‘big deal’, e.g. licences to consortia for access to the
publisher’s whole list and arrangements with organisations that provide access at reduced rates in
developing countries, the total circulation is lifted to around 6 000. Almost universal access has been
achieved without risking the sustainability of the publication. Speed of publication (helped by an
Electronic Editorial Office system for running peer review over the Internet) has improved along with
the Impact Factor which was up by 26% in 2005. Submission of articles in 2006 was 35% up on 2005
necessitating a rejection rate of over 70% while submissions continued to climb in 2007 (up 11%).
圖 1 的學刊仍提供印本給需要的訂戶，但到了 2006 年, 有 35％的訂戶選擇電子版，預測到了

3. 2010 年, 此數字至少將提昇至 65％, 而且訂戶只是流通數的基本。通過'批售'訂閱策略，如聯盟
授權出版社的全部訂單, 並且對發展中國家提供較大的折扣, 提供機構近用這些學刊, 整體的流通
數可攀昇至 6 千份; 在沒有持續出版風險的前提下, 幾乎已達成全球近用的目標。出版的速度(在
網際網路環境以電子編輯系統處理同儕評閱事宜)加快, 2005 年的影響係數提昇至 25%。2006 年
的收稿量比前一年增加 35％, 退稿率超過 70%, 2007 年預期再提高 11%。
Sustainability••••••••••••
永續經營
This remains a major problem for Open Access. Hardly any of the pay-to-publish Open Access journals
(the ‘golden road’ to Open Access) are making a profit or even breaking even. The likelihood is that
some will be maintained by enthusiasts (but for how long?), some will cease and some will raise
charges as we are seeing already. Are authors taking risks in placing articles with some of these
exclusively pay-to-publish journals? Will the standard of some of these titles become compromised as
they struggle to survive? There are even examples of companies exploiting the pay-to-publish model by
charging authors for Open Access publication but without offering any of the traditional functions of a
publisher that contribute to maintaining the ‘minutes of science’. On the other hand, the subscription-
based journal outlined above can afford to raise its rejection rate because it is financially viable.
仍然開放近用的主要議題。幾乎還沒有任何付費出版的開放近用學刊('金科'的開放近用)已獲利
或收支平衡。它們的發展不外三個方向: 部份由熱心者(但能維持多久呢?)繼續支持、部份可能
停刊、還有一些則提高收費標準。作者願意冒險把論文登在出版付費的學刊嗎? 為了生存, 這些
學刊會對學術標準妥協嗎? 有些公司利用付費出版的模式, 向開放近用出版品的作者收費, 但沒
有提供出版社的傳統功能, 留存'科學的記錄'。換句話說, 因為可以財務上可以負擔, 以上所述的
付費學刊可以提高退稿率。
The other route to Open Access – the so-called green road – is through self-archiving of articles
published in subscription-based journals. It is proposed that this would not lead to librarians cancelling
subscriptions even though the content is freely available on Institutional and Subject Repositories (IRs
and SRs). Unfortunately this model is unlikely to be sustainable although it may work in some subjects,
e.g. astronomy(66). A recent survey has shown, not surprisingly, that librarians are likely to cancel
subscriptions if self-archiving becomes commonplace(67).
開放近用的另一策略 - 俗稱玉律 - 經由自我典藏發表於付費學刊的論文。有些人認為，即使經
由機構典藏所及學科典藏所, 可以自由近用這些內容, 也不會導致圖書館取消訂閱。不幸的是，
儘管在天文學(註 66)等學科裡, 這種模式可以運作, 但它卻不可能持久。最近的一項調查顯示，
圖書館員可能取消已經自我典藏的付費學刊(註 67) 。
註 66: see Henneken, E.A. et al., ‘E-prints and journal articles in astronomy: a productive co-existence’
= [天文學裡的電子文本與學刊論文], in: Learned Publishing 20 (2007), 16-22.
註 67: Beckett, Chris & Inger, Simon, ‘Self-Archiving and Journal Subscriptions: Co-existence or
Competition?’ = [自我典藏與學刊訂閱], PRC Summary Papers 2 (2007).
The journal is not just about dissemination, however. Another critical function is to establish a
permanent record, ‘the minutes of science’. In the digital era, this requires the publisher to develop
sophisticated techniques for preserving metadata (such as dates of submission, acceptance and
publication) as well as secure content delivery platforms. Due to the facility with which publicly

4. available electronic files can be manipulated, both the golden and green roads to Open Access could
undermine this – a major flaw which remains ignored by the Open Access lobby.
學刊不祗是傳播而已，還有另一個關鍵功能, 即建立永久記錄，'科學的記錄' 。在數位時代裡，
出版社需要發展尖端的技術, 以維護後設資料(如: 提交日期、接受日期及出版日期), 以及傳送內
容的安全平台。公眾可以近用的電子文檔可能被操控，開放近用的玉律與金科都可能面對此事
— 開放近用遊說團體仍忽視的一個主要缺陷。
With so many versions of an article potentially available, there exists a problem of version control.
With many journals the author can post their version of the accepted article after publication. This may
well not include corrections made by the publisher’s copy-editor or changes made by the author in
proof. A recent paper gives details of the many albeit minor differences(68). The authors of this article
used the final version held on the publication system (what might be called the ‘version of record’) and
compared it with the author’s original MS as accepted but before any copy-editing or proof correction.
It was shown that most amendments that occurred as a result of the publication process affected the
accuracy of references. Without such attention to detail, the ability to link out to the original source of
the reference would be substantially impaired.
論文的版本眾多, 版本控制就是個問題; 大多數的學刊允許作者在別處張貼已出版的論文, 很可能
不包括出版社編輯的修正, 或作者校訂的結果, 最近的一篇論文探討這些微小的差異(註 68), 以出
版系統的最後定稿(可稱為記錄版本), 和作者最初提交未經修訂或校對的草稿比較; 顯示出版程
序中形成的修改, 大部份會影響附註的正確性。沒有這麼仔細的關注，連結至原始素材的附註,
就會大大地受損。
註 68: Wates, Edward & Campbell, Robert, ‘Author’s version vs publisher’s version: an analysis of the
copy-editing function’ = [作者版本與出版社版本: 分析編輯的功能, in: Learned Publishing, 20
(2007), 121-129.
Clearly publishers need to work with research funders and those running IRs and SRs to establish
international standards with appropriate metadata indicating whether the author has archived a
‘working paper’ or the final published version. With the former a link should be provided to the
publisher’s site for the final version, ‘the minutes of science’.
顯然地，出版社需要與研究贊助者及和運作機構典藏與學科典藏者合作, 建立後設資料的國際標
準，指明作者典藏的'進行中論文'或是最後的定稿。前者應連結至出版社網址的定稿, 即'科學的
記錄'。
Conclusions•••••••••••••
結論
The journal publishing system is a huge global enterprise handling more articles every year in line with
the growth in research funding.
學刊出版系統是全球性的巨大行業, 配合研究經費的成長, 每年處理愈來愈多的論文。
The system is robust and operates at high standards delivering wider access at lower unit cost as a
result of huge investment in technology and new pricing models.
對科技的巨大投資, 以及新的訂價模式, 建立強而有力的高標準系統, 以較低的單價提供更廣泛的
近用。

5. ‘Author pays’ Open Access is one pricing model and should be included as a viable part of the system
as funders accept the charges required to sustain high standards.
'作者付費'的開放近用是一種訂價模式, 祗要贊助者接受此等收費是維持高標準的一部份, 就該納
入系統之內。
The green road to Open Access (self-archiving) could undermine the system and endanger the ‘minutes
of science’ unless funders accept an embargo on self-archiving to maintain economic viability and
work with publishers to establish international standards for archiving.
開放近用的玉律(自我典藏)可能侵蝕此系統, 危害'科學的記錄', 除非贊助者接受自我典藏設有禁
固期, 與出版社共同建立典藏的國際標準。
p. 93-96
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