1. Chapter 1 Definition and Origin of Open Access
第一章: 開放近用定義及源起
The Concept of Open Access / By Norbert Lossau, Göttingen State and University Library
開放近用的概念 / 諾爾伯特 ‧ 羅少
The principle of free access to academic knowledge••••
免費近用學術知識的原則
A first approximate definition of the term ‘Open Access’ is free access to knowledge at no charge to
the user. In the current debate, ‘knowledge’ refers primarily to publicly funded academic knowledge.
This handbook also concentrates on the academic sector. The question of an extension of the term to
other spheres, for example to the media or to development policy, is dealt with briefly in a few position
statements in Chapter 4.
最接近'開放近用'一詞的用語是免費近用知識, 不向使用者收費。當代的爭議裡, 知識係指受公帑
贊助而產生的學術知識。本手冊專注在學術部門, 祗在第四章裡, 略為提及把這個問題延伸到媒
體或發展政策等其他領域時, 幾項立場聲明。
In Germany and elsewhere, the Open Access debate is largely determined by the ‘Berlin Declaration on
Open Access to Knowledge in the Sciences and Humanities’(10). It was issued in Berlin in 2003 by the
major German academic organisations, and has since found many signatories.
在德國其他各地, 對於開放近用的爭議多半以《柏林宣言- 開放近用科學與人文學知識》(註 10)
為基礎; 2003 年, 由德國的主要學術機構於柏林發表此宣言, 陸續得到多人的簽署認同。
註 10: Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities,
http://oa.mpg.de/openaccess-berlin/berlindeclaration.html; 中文譯本, http://www.lins.fju.edu.tw/mao/
works/berlindeclaration.html
What is meant by ‘knowledge’? The Berlin Declaration defines this term very broadly. According to its
definition, knowledge is not just the actual research publication, but includes a whole variety of other
digital media and objects, as well as research data. A publication should be available as ‘a complete
version with all supplementary materials’. This definition goes beyond authors’, publishers’ and
libraries’ traditional understanding of a publication.
什麼是'知識'？柏林宣言對此定義相當寬鬆，不僅是實際的研究出版品，還包括所有的數位媒體
和物件，以及研究資料。出版品係指'包括所有附件的完整版本'。此定義超越了作者、出版社和
圖書館對出版品的既定理解。
What is meant by ‘access’? Here too, the Berlin Declaration adopts a broad definition: authors and
rights owners should allow all users the ‘free, irrevocable, worldwide, right of access’ and give them
the ‘permission to copy, use, distribute, transmit and display the work publicly and to make and
distribute derivative works, in any digital medium for any responsible purpose, subject to proper
attribution of authorship [...], as well as the right to make a limited number of printed copies for their
personal use’.
什麼是'近用'？同樣的，柏林宣言採用寬鬆的定義：作者及著作所有權人授權給所有的人'免費、
不能撤回、全球性的權利'，並且授予他們如下的權利: '祗要使用者清楚標示作者的姓名, 就允許

2. 使用者不拘 目的, 以任何數位型式, 公開複製、使用、分發、傳送、展示原作品, 及分發改作的
作品[...], 並允許製作少量印本供個人使用'。
Open Access in practice••••
開放近用實務
In the wake of the Berlin Declaration, two basic forms of implementation have established themselves,
with a focus on academic journals:
柏林宣言公告時, 學術期刊已採用兩種模式將開放近用付諸實現:
��.1the ‘green road’: deposit of copies of already published, peer-reviewed research articles in
university or research institute repositories;
'玉律': 將經過同儕評閱已出版的研究論文, 典藏在大學或研究機構的典藏所。
��.2the ‘golden road’:
'金科'
a. publication by Open Access publishers or in Open Access journals, financed either
upfront through publishing fees (e.g. BioMed Central) or through public funds (e.g.
Digital Peer Publishing Initiative DPPI);
經由補助出版費(如: 生物醫學中心)或公帑補助(如: 數位同儕出版計畫), 在開放近
用出版社或開放近用學刊出版論文;
b. the parallel publication of books in printed form (for a fee) and in an electronic version
(free access) in Open Access publishing houses, in particular university presses.
開放近用出版社, 尤其是大學出版社, 同時出版(付費近用)印本圖書及(免費近用)電
子圖書。
What is meant by Open Access•••••••••••
開放近用的意義
The first signatories to the Berlin Declaration were well aware of the far-reaching significance of their
demands – and probably no less aware of the problems of implementing them. This explains the visible
discrepancy between the uncompromising proclamation of the principles and the cautious choice of
words actually used for the section entitled ‘Supporting the Transition to the Electronic Open Access
Paradigm’. The subsequent lively and often polemical debate about Open Access and the appropriate

3. way to implement it continues to this day, and, as expected, has made very clear a number of problems.
柏林宣言的第一批簽署者十分清楚他們需求的深遠涵意 – 而且很可能不知道的實際執行時, 將面
對的問題。一方面宣佈不妥協的原則, 同時又在宣言的'支持轉型為開放近用典範'一節內, 小心謹
慎地遣詞用字, 兩者之間的差異, 非常明顯。開放近用原則與實用面的爭議，強烈且經常地持續
至今, 而且, 正如預期, 的確帶來若干明確的問題。
The further coining of the term is strongly influenced by the respective understanding of Open Access
on the part of the three main groups of actors, namely authors, publishers and libraries, and this
understanding in turn is influenced by their specific experiences, expectations and fears with respect to
knowledge dissemination.
開放近用主要的三個參與群組, 即作者、出版社、圖書館, 以各自的理解, 強烈地解讀此術語; 它
們認知在知識散布時, 又受到個別經驗、期望與恐懼的影響。
The attitudes of academic authors are characterised by the different cultures of their disciplines and
offer a heterogeneous picture, as the following examples will show.
學術作者的態度由不同文化的學科塑成, 如下例所示, 提供異質的面向。
Natural and Life Sciences
自然與生命科學
In the natural and life sciences, the academic journal is the relevant medium. As users, however, natural
and life scientists increasingly come up against its limitations. Free access for the individual researcher
via library subscriptions is no longer guaranteed as subscriptions are being cut back severely due to
cost increases on the one hand and reduced library budgets on the other. As subscriptions decline, so
does the number of readers and thus the visibility of research results within the scientific community.
在自然和生命科學裡，學術期刊是相關的媒介。然而，以使用者的立場而語，自然和生命科學
家遇見越來越多的侷限性。不但圖書館的期刊預算縮減, 圖書館整體的預算也遭到刪減, 透過圖
書館的訂閱, 不再能保障個人研究者免費近用學刊。正如學刊的訂閱量下降，讀者跟著減少，從
而影響研究成果在科學社群的能見度。
A novel area addressed by the Berlin Declaration is that of access to raw and primary data, which to
date scientists have generally closely guarded and kept under lock and key. Advocates argue that Open
Access could contribute to good scientific practice through the dissemination of these data, which
could be of increasing relevance in the natural and life sciences in view of a number of spectacular
cases of scientific fraud in recent years.
柏林宣言開啟新的領域, 釋放以往被層層鎖匙嚴密地看管, 科學家看不到的原始材料。支持者認
為，經由散布這些資料, 開放近用有助於正面的科學實務發展，可以看出自然和生命科學領域,
近年發生的學術欺騙案件。
Humanities and Social Sciences
人文與社會科學
For historians, philosophers, philologians and linguists, archaeologists, musicologists, as well as jurists
and economists, the printed book continues to be the primary medium for disseminating research
results. In these disciplines online media are used primarily as research instruments. Access is in
principle guaranteed, if not in the local library, then with some delay via inter-library-lending schemes
or document delivery from other libraries. Instead of concrete access, the emphasis in the humanities
and social sciences is on the potential of electronic publishing(11), for example greater publication

4. speeds, the uniting of different media (text, pictures, speech, film etc.) and the development of new
‘types of text’ (hypertext). Academics in these disciplines are thinking not so much of replacing the
print medium as of usefully supplementing it. While Open Access is welcomed as a basic principle of
academic information infrastructure, it is not a primary goal in itself.
歷史學家、哲學家、古典和語言學家、考古學家、音樂學家，以及法學家和經濟學家一致認
為，印本書籍仍是散布研究成果的主要媒介。線上媒體對這些學科而言, 祗是研究的工具。近用
的主要保證是，資料本身如果不在當地的圖書館內，經過若干遲滯後, 透過館際互借與文件傳輸
系統, 從其他圖書館取得。人文與社會科學強調的不是具體的近用，而是電子出版的潛能(註
11)，例如出版速度加快、結合多種媒體(文字、圖片、語音、影片等), 以及發展新的'文本類
型'(超文本)。這些學科的學者並未打算以線上媒體取代印本媒體, 祗想用線上媒體補充印本媒
體。開放近用被視為基本的學術資訊基礎, 但它本身不是主要的目標。
註 11: 參閱歐洲學院在研討會的論文 “Elektronisches Publizieren in den Geisteswissenschaften”
(30-31 March 2007). http://www.ea-aw.de/susanis/index.php?lang=EN. [未連結]
Publishers
出版社
At first sight, the publishers’ understanding of Open Access seems unambiguous: commercially
damaging and, at worst, life-threatening since income is traditionally generated precisely via
access(12). In particular, it is alleged that Open Access means lack of quality assurance. Publishers’
actual practice vis-à-vis Open Access, however, is far more differentiated. In the natural and life
sciences, numerous publishers already allow parallel storage of the author’s final corrected version(13).
Alongside declared Open Access publishers such as BioMed Central, other publishers offer authors an
Open Access option for accepted articles. The starting point for the implementation of Open Access
varies widely. While large STM publishers already offer their journals online, considerations of cost
have so far stopped many publishers in the humanities and social sciences from going down this road.
Readiness to cooperate with partners from the business world and in particular the public sector
(especially academic libraries) is growing in an effort to take the plunge into Internet publishing.
乍看之下，出版社對開放近用的理解似乎毫不含糊：破壞商業機制，嚴重危及出版社的命脈，
因為出版社的傳統係經由近用而產生的(註 12)。尤其是，據稱開放近用意味著缺少品質保證。
出版社的實務與開放近用有明顥的區別。在自然和生命科學領域裡，許多出版商已允許將修正
後的定稿同步儲存(註 13) 。除了生物醫學中心之類的開放近用出版社之外，其他的出版社也提
供作者選擇開放近用的授權條款。實施開放近用沒有共通的起點, 已推出線上學刊的大型科技醫
學出版社, 從成本立場的考量, 影響社人文與社會領域的出版社加入此途的意願。準備與商業圈
與公部門(特別是學術圖書館)合作的案例, 愈來愈多, 它們儘力投身網際網路出版。
註 12: http://www.stm-assoc.org/brussels-declaration
註 13: 參照 SHERPA/ROMEO 資料庫, http://www.sherpa.ac.uk/romeo.php; 德國出版社參見 http://
www.dini.de/oap and www.open-access.net

5. Libraries
圖書館
Securing comprehensive access to knowledge is one of the specific tasks of libraries, both in the public
and the academic sphere. The German Library Association was among the first signatories to the Berlin
Declaration. The appearance of Open Access has taught libraries a great deal about the working
methods of scientists and scholars and has at times put them on a collision course with publishers, who
traditionally have been their good partners. Today, public institutions are the ones primarily building up
an infrastructure in the spirit of the Berlin Declaration to secure reliable and sustainable access to
knowledge in the sciences and humanities. They are doing so as operators of institutional repositories
and their national and international networks, as sponsors of university presses, or as partners of
scientists and scholars in the organisation and operation of Open Access journals. However, libraries
are also increasingly approaching publishers with a view to trying out alternative business and payment
models(14), or else are proposing their partnership and support in ‘going online’, in particular to small
and medium-sized publishing houses.
保證全面近用知識是公共和學術圖書館的特定任務之一。德國圖書館學會是柏林宣言的首批簽
署者之一。開放近用教導圖書館許多科學家和學者的的工作方法，出版社是昔日的好夥伴，卻
在此時發生激烈的衝撞。今天，公立機構建立以柏林宣言精神為基礎的基礎建設，以確保近用
可靠和持續的科學和人文科學知識。他們建置全國及國際網路的機構典藏所, 支持大學出版社，
成為機構內科學家與學者夥伴, 辦理開放近用學刊。同時，圖書館也與出版社來往，企點找出替
代的商業和付費模式(註 14); 或者建議他們的夥伴支持'上網'，尤其是中小型出版社。
註 14: SCOAP3 是研究機構與圖書館組成的聯盟, 正與多家出版社協商, 企圖重組從訂閱到預付
款的出版模式, 以重近定位學刊的財務結構。
Libraries deal with one aspect in the context of Open Access only marginally: access to the cultural
heritage, which is also created by libraries alongside museums and archives. Libraries notice that they
themselves still have major deficits in the networking of their services: while in principle scientists and
scholars have Open Access, this access can in practice be laborious in view of the numerous isolated
digitalised collections. Libraries share with publishers the insight that digitalisation and permanent
online provision will require a major financial contribution, which could certainly come from the
public purse, but could also be recouped via‘customers’(15).
開放近用內容祗是圖書館面對的一個議題：近用文化遺產，也是圖書館、博物館和檔案館共同
的任務。圖書館知道他們在網路服務上, 仍有所不足: 原則上, 科學家和學者有了開放近用之後,
就可以近用許多獨立的數位化館藏。圖書館與出版商共享數位化的願景, 永久線上典藏需要相當
的財務支持, 當然是來自公帑，但也可以向'客戶'收費(註 15)。
註 15: 如 14 個圖書館組成的數位學刊協會, 經由機構訂閱的方式, 近用一百多種出版社提供的學
刊, http://www.digizeitschriften.de

6. Summary• •••••••••••••
摘要
The Open Access principle has found numerous supporters. The implementation of a vision of a
worldwide networked knowledge society, however, is still in its infancy. A translation of the concept of
Open Access in a way that allows all involved actors to find their roles in the new system and does not
threaten their very existence is decisive for its success or failure.
開放存取的原則, 有許多支持者。但是, 全球網路化的知識社會仍處於初始階段。將開放近用概
念轉換為實際的行動, 讓所有參與者皆能在新系統中找到自己的角色, 不能威脅既有的生存權, 這
是成敗的關鍵。
p. 20-23
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 pp., 14.8 x 21.0 cm. -- ISBN 978-92-79-06665-8. -- EUR
23459, http://tinyurl.com/3q8wo5
Initial translated at http://www.wretch.cc/blog/bowen922003/12551064