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  1. 1. Open Access in the United States / By Peter Suber, Earlham College, USA 美國的開放近用 / 彼得・薩伯,美國厄爾漢學院 The United States has a rich history of Open Access initiatives. In 1969 Americans built ARPANET, the direct ancestor to the Internet, for the purpose of sharing research without access barriers. In 1966 Americans launched the Education Resources Information Center (ERIC, and MEDLINE(112), probably the first Open Access projects anywhere. 開放近用倡議在美國有悠久的歷史。在 1969 年建造阿帕網是網際網路的先祖,其目的是在沒有 近用障礙的前提下,分享研究。1966 年美國推出的教育資源資訊中心(ERIC,及 醫學文獻資料庫,可能是第一個開放近用計畫。 註 112: This article(113) presents the 10 most important current Open Access initiatives in the United States: 本文列出美國的十個重要開放近用倡議: 註 113: 本文係節錄自薩伯,彼得, 'Open Access in the United States' [美國的開放近用]', 在 Jacobs, Neil (Ed.), Open Access: Key strategic, technical and economic aspects, 2006, ��.1Paul Ginsparg launched arXiv ( in 1991. It now covers nearly every branch of physics as well as mathematics, computer science, quantitative biology, and nonlinear sciences. ArXiv is the oldest Open Access eprint archive still in operation, and also one of the largest and most heavily used. It has earned a central place in physics research worldwide. As a result of arXiv, a larger percentage of physicists deposit their work in Open Access archives, and search Open Access archives for the work of others, than researchers in any other field. 1991 年,保羅‧金斯巴克建立阿西檔案(。至今,己涵蓋物理學的每一個次 領域,以及數學、計算機科學、定量生物學和非線性科學。阿西檔案是運作中歷史最悠 久的開放近用印本文庫,也是規模最大及使用量最大的印本文庫之一。它是全球物理研 究的重鎮;有了阿西檔案,很多物理學家把他們作品以開放近用方式儲存其間,並在其 中搜尋其他的開放近用作品。 ��.2Brewster Kahle launched the Internet Archive in 1996. From the start it provided Open Access to its mirror of the historical Internet as well as to many special collections. The Internet Archive sponsors the Open Access Text Archive, Ourmedia (, and the new Open Education Resources project, and cosponsors the Open Access Million Book Project with Carnegie Mellon University. The Internet Archive has agreed to host a forthcoming universal Open Access repository that would mirror and preserve all the other, willing repositories in the world, and accept deposits from scholars who don’t have repositories in their institutions or fields(114). 1996 年,布魯斯特・卡利推出網際網路檔案館。它是網際網路歷史及其他特藏的鏡射 站,以開放近用方式供外界使用。網際網路檔案館贊助開放近用文本資料庫、我們的媒 體(以及開放教育資源計畫,並與卡內基美隆大學同贊助開放近用百 萬圖書計畫。網際網路檔案館也將收錄開放近用典藏所,鏡射或保存所有願意被典藏的
  2. 2. 開放近用典藏所,而且沒有典藏所的作者也可以把作品直接典藏在網際網路檔案館內(註 114)。 註 114: 參見彼得・薩伯, 'Getting to 100% [邁向百分百],' SPARC Open Access Newsletter, April 2, 2005. ��.3The PLoS founders —Stanford biologist Patrick Brown, Berkeley biologist Michael Eisen, and Nobel laureate and former NIH Director Harold Varmus— decided that if existing publishers would not convert existing journals to Open Access, then they would have to become publishers themselves. PLoS ( currently publishes six Open Access journals and plans to add more. In 2005 PLoS Biology earned an impact factor of 13.9, the highest ranking in the category of general biology. 科學公共圖書館的創辦人:斯坦福大學生物學家派屈克・布朗、加州大學柏克萊分校生 物學家邁克爾・埃森以及諾貝爾獎得主美國國家衛生研究院前主任哈格・瓦莫斯共同決 定,出版社不將現有的學刊轉換為開放近用模式,他們自己將成為開放近用的出版社。 科學公共圖書館(已出版六種開放存取期刊,並計劃出版更 多的學刊。2005 年,公共科學圖書館的生物學期刊其影響係數為 13.9,在一般生物學類 排名最高的。 ��.4There are over a dozen open-source software packages for creating Open Access, Open Archive Initiative (OAI)-compliant repositories. One of the leading, DSpace (, is American. It was developed by MIT and Hewlett-Packard, launched in 2002, and is now used in over 100 Open Access repositories worldwide. 已有十多個開放源碼軟體可供建立與開放檔案促進會相容的開放近用典藏所。居於領導 地位的 DSpace (由美國麻省理工學院和惠普公司在 2002 年發啟, 全球 100 多個開放近用典藏所已使用它。 ��.5Until Lawrence Lessig launched Creative Commons ( in 2002, most Open Access initiatives gave no thought to Open Access-appropriate licenses. Most Open Access providers simply put work online with no license at all, leaving unclear which uses were permitted and which were not, and leaving users to choose between the delay of seeking permission and the risk of proceeding without it. CC licenses solved this problem and were quickly adopted by Open Access-inclined authors (including scholarly authors), musicians, filmmakers, and photographers. When PLoS and BioMed Central adopted CC licenses for their journals, many Open Access journals followed suit. Both Google and Yahoo now support filters that pick out content using CC machine-readable licenses. CC launched Science Commons in early 2005, it now has projects in Open Access publishing and archiving, Open Access data and databases, and licenses optimised for scientific content. 2002 年,勞倫斯•萊斯格發起創用 CC(,大部份的開放近用倡 議並未想到採用適當的授權。大部份的開放近用提供者祗把作品上線,沒任何的授權, 對允許與限制留下不明確的空間,讓使用者在等待授權與甘冒風險之間遊走。創用 CC 的授權解決這個問題,很快地,有開放近用傾向的作者(包括學術作者)、音樂家、電影
  3. 3. 製片人和攝影師都採用它。當科學公共圖書館和生物醫學中心在其出版的學刊上,採用 創用 CC 授權,其他的開放近用學刊群起效仿。谷歌和雅虎都可以祗搜尋創用 CC 授權的 資訊。2005 年初,創用 CC 發起科學共用,成為開放近用出版和典藏、開放近用資料和 資料庫及科學內容的授權方式之一。 ��.6A large number of U.S. universities have adopted Open Access-friendly policies or resolutions (115). Some of these university actions are policies to promote Open Access; some are resolutions by the Faculty Senate urging the adoption of such policies; and some are decisions to cancel expensive journals by the hundreds, accompanied by public statements on the unsustainability of the current subscription model and the need to explore alternatives. Only five universities in the world today — none in the U.S.— mandate Open Access to research articles published by faculty. (They are in Australia, Portugal, the UK, and two in Switzerland.) Of the 18 universities with Open Access archiving policies sufficiently strong to sign the Eprints Institutional Self-Archiving Policy Registry(116), only two are from the U.S. 許多美國的大學採用對開放近用友善的政策或決議(註 115)。部份大學的行動是推動開放 近用,部份大學則由教師會要求大學採取這類政策,還有些大學決議停訂數百種昂貴的 學刊,並公開聲明對目前的付費模式不繼續支持,要求提出其他辦法。今天,只有五所 大學(都不在美國)要求教員的研究論文必須開放近用(澳大利亞、葡萄牙、英國各一,瑞 士有二)。18 所大學已有開放近用典藏政策,並敢於在 Eprints 登錄機構自我典藏政策(註 116),其中只有兩個是來自美國。 註 115: Suber, Peter, 'University actions for Open Access or against high journal prices', http:// 註 116: ��.7The two most widely read discussion forums devoted to Open Access issues are U.S.-based: The American Scientist Open Access Forum(117), launched in 1998 and the SPARC Open Access Forum(118), launched in 2003. 兩個使用最廣的開放近用論壇,都設在美國:美國科學家開放近用論壇(註 117),成立於 1998 年;學術出版及資源聯盟的開放近用論壇(註 118),成立於 2003 年。 註 117: Open-Access-Forum.html 註 118: ��.8The U.S. has several Open Access advocacy organisations: SPARC ( is a coalition of more than 200 research institutions founded in 1998. Its early focus was on introducing competition into the journal marketplace and making journals more affordable. But since the Budapest Open Access Initiative in 2002, it has worked actively for Open Access. Public Knowledge ( was founded in 2001 to speak for the public interest in information policy. While SPARC and Public Knowledge were active in promoting Open Access before Congress asked the National Institutes of Health (NIH) to develop an Open Access policy in mid-2004, the Open Access Working Group(OAWG) (119) and the Alliance for Taxpayer Access(120)(ATA) sprang into existence in order to support Open Access policy in the federal government. The OAWG consists mainly of different Library Associations. The ATA is a coalition of US-based non-profit organisations working for
  4. 4. Open Access to publicly-funded research. 美國有幾個推動開放近用的機構: 1998 年,200 多個研究機構成立學術出版及資源聯盟 (;早期的重點是引入期刊市場的競爭,使期刊價格更合理,2002 年布達佩斯開放近用倡議成立後,它積極的轉向開放近用。2001 年,成立公共知識 (,站在公眾利益的角度,討論資訊政策。2004 年中期, 在美國國會尚未要求國家衛生研究院發表開放近用政策前,學術出版及資源聯盟和公共 知識已經成立開放近用作小組(註 119)和納稅人近用連線(120),支持美國聯邦政府的開放 近用政策。開放近用作小組的組成份子以各圖書館協會為主。納稅人近用連線聯合美國 的非營利組織,主張公帑贊助的研究成果必須開放近用。 註 119: 註 120: ��.9The largest and most visible U.S. initiative is the public-access policy of the NIH ( In 2004, Congress instructed the NIH to develop a policy requiring Open Access to the results of NIH-funded research and require it to be available online within six months of its publication in peer-reviewed journals. The final version of the policy fell short of the Congressional directive, substituting a request for the requirement and extending the permissible delay to 12 months after publication. The policy ‘strongly encourages’ grantees to deposit their work in PMC ‘as soon as possible’ after publication. Open Access proponents criticised the weakness of the new policy, while opponents criticised its remaining strength(121). However, there are several reasons to think that the NIH will soon strengthen the policy in both of the critical respects. In particular two bills now pending before Congress: the CURES Act and the Federal Research Public Access Act of 2005. Chief among NIH’s other notable Open Access initiatives is PubMed Central, the OAIcompliant repository where the NIH asks its grantees to deposit their work. PubMed Central and arXiv are the largest and most used OA repositories in the world. 美國國家衛生研究院(的公共近用政策是最大的和最明顯的美國倡 議。2004 年,美國國會指示美國國家衛生研究院制定政策,接受美國國家衛生研究院資 助的研究成果,於同儕評閱的學刊出版 6 個月內,必須置於網上供社會大眾近用。定案 的政策低於國會的指示,僅要求在出版之後 12 個月內置於網上供社會大眾近用。該政 策'大力鼓勵'被資助者在出版之後,儘快將成果交予公共醫學中心典藏。開放近用的支持 者批評新政策的軟弱,反對者批評其太過強硬度(註 121)。然而,有幾個理由讓美國國家 衛生研究院在強化政策的同時,接受雙方的批評。2005 年,提交國會待決的兩個法案: 美國治療中心法案和聯邦研究公共近用法案。美國國家衛生研究院的多項開放近用倡議 裡,最著名的是公共醫學中心,與開放檔案協議相容的典藏所,美國國家衛生研究院要 求被資助者將其成果典藏其中。公共醫學中心和阿西檔案是全球最大和使用量最多的開 放近用典藏所。 註 121: Suber, Peter, 'The final version of the NIH public-access policy', SPARC Open Access Newsletter, March 2, 2005, ��.10The American Center for Cures Act (called the CURES Act) was introduced in the U.S. Senate in December 2005. It would create a new agency within the NIH, the American Center for Cures, whose primary mission would be to translate fundamental research into therapies. In addition, the bill contains a notable provision on public access. The act would mandate Open Access to NIH-funded research within six months of publication, and extend the same policy to
  5. 5. all medical research funded by the larger Department of Health and Human Services.The Federal Research Public Access Act (FRPPA) was introduced in the Senate in May 2006. It would mandate Open Access to nearly all federally-funded research within six months of publication. The FRPAA Act directs all major federal agencies that fund research to adopt Open Access policies within a year and lays down strong guidelines for those policies. For this purpose, an agency is major if its research budget is $100 million/year or more. Ten agencies fall into this category. Both the CURES Act and FRPPA Act have bipartisan support in Congress, but as we go to press it’s too early to assess their chances. If one of these bills is passed, then the world’s largest funder of medical research will have one of the world’s strongest Open Access policies.。 2005 年 12 月向美國參議院提出美國治療中心法案(俗稱 CURES Act);在美國國家衛生研 究院裡創建一個新的機構,美國治療中心,其主要任務將是把基礎研究的成果轉化成臨 床的治療方法。此外,該法案包含了公眾近用的規定。該法案規定,獲得美國國家衛生 研究院資助的研究成果,必須在出版 6 個月內開放近用,含接受衛生署資助的研究成 果。2006 年 5 月向美國參議院提出聯邦研究公共近用法案(FRPPA);幾乎包括所有接受 美國聯邦資助的研究成果,必須出版 6 個月之內開放近用。該法案指示年度研究經費超 過 1 億美元的聯邦機構,必須在一年內研訂強力的政策指導綱領,採用開放近用政策, 目前有十個聯邦機構符合此範圍。無論是美國治療中心法案治法和聯邦研究公共近用法 案都已獲得美國國會兩黨議員的支持,但是,當此文出版時,尚難評估通過機會。祗要 其中一個法案得以通過,世界上最大的醫學研究贊助者,將有世界最強大的開放近用政 策。 p.124-127 開放近用 : 機會及挑戰, 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, Open Access : Chancen und Herausforderungen : ein Handbuch. -- Bonn : Deutsche UNESCO- Kommission, 2007. -- 136 Seiten. -- ISBN 3-927907-96-0.