1. Open Access and Education
開放近用與教育
The Legal Protection of Open Access: The Position of the Standing Conference of the Ministers of
Education and Cultural Affairs of the Länder in the Federal Republic of Germany / By Thomas Pflüger,
Baden-Württemberg State Ministry of Science, Research and the Arts; Working Group on Libraries
法律保障下的開放近用: 德國教育文化部執行委員會的立場 / 湯瑪仕・弗魯格，巴登-符騰堡邦
科學研究與藝術部; 圖書館工作小組
The German Länder (federal states), which are responsible for funding universities, have a fundamental
interest in ensuring that new research findings generated on the basis of taxpayers’ money is made
available to the academic community quickly and as easily as possible. However, the legal framework
and developments over the past few years have proved to be increasingly problematic. These
circumstances pose a major problem for policymaking in the higher-education and research sectors.
The Standing Conference of the Ministers of Education and Cultural Affairs of the Länder in the
Federal Republic of Germany (Kultusministerkonferenz, KMK), the regular forum of the ministers of
the federal states responsible for universities, education and culture, therefore already submitted
proposals on the legal protection of Open Access to the Federal Ministry of Justice in autumn
2004(70).
德國的聯邦州負責大學的經費，它們有個基本的著眼點，要求用納稅人公帑研發的成果，應儘
可能的立即與簡單地公諸於學術圈。但是，法律的框架及過去幾年的發展，證明此事越來越困
難，對高等教育與研究部門的決策, 形成重大的問題。德國教育文化部執行委員會
(Kultusministerkonferenz, KMK)，負責大學、教育與文化的各州部長經常在此論壇定期討論，於
2004 年秋季向德國法務部提出開放近用的法律保障事宜(註 70) 。
註 70 2004 年 11 月 11 日，德國教育文化部執行委員會提出立場聲
明，www.urheberrechtsbuendnis.de/links
Initial position• •••••••••
初始立場
Access to and use of the knowledge generated at universities and non-profit research institutions are
now increasingly under threat: legally by the unlimited possibility of the transfer of exclusive rights to
publishers, and factually by digital rights of the Standing Conference of the Ministers of Education and
Cultural Affairs of the Länder management and disproportionately rising subscription costs coupled
with university libraries’ stagnating purchasing budgets. Access to scientific and scholarly information
has developed into a bottleneck in the supply of information at universities. Technical and legal
possibilities currently allow publishers to make the contents of online media accessible on an exclusive
basis. If they are in control of information which is absolutely essential for science and research, they
can charge whatever they want. Another factor is that it is precisely younger academics from the life
sciences, natural sciences and technology who need to publish in renowned and often expensive
journals in order to build their reputation. Large international academic publishers have thus been able
to increase the prices of this type of journal considerably over the past 10 years. It can hardly be a
coincidence that the profit of a large international publisher was around 650 million euros in 2005,
which corresponds to the entire annual investment of the German Länder in universities’ infrastructures
in the areas of mathematics, natural sciences and engineering. In view of this development, universities
have had to cancel journal subscriptions, and this in turn has had an impact on the viability of a central

2. part of what makes up research infrastructure.
近用與使用大學與非營利機構產生的知識, 日益受到威脅：將法律上的權利獨家轉讓給出版社、
數位權利交由給德國教育文化部執行委員會管理，以及訂閱費用的調漲與大學圖書館經費的停
滯不成比例。對提供資訊的大學而言，近用科學與學術資訊已出現瓶頸。從技術面和法律面來
看，出版社可以壟斷內容在線上媒體的近用管道，當它們控制科學與研究絕對必要的資訊後, 就
可以任意開價要脅。而且，為了建立其聲譽, 生命科學、自然科學和科技領域的年青學者，必須
在知名且昂貴的學刊發表論文。因此, 過去十多年間, 大型的國際性學術出版社調漲此類學刊的
售價。2005 年, 某大型國際性學術出版社的毛利是 6 億 5 千萬歐元, 相當於德國對大學的數學、
自然科學與工程領域的基礎建設投資總合, 這不是巧合。鑑於這種發展，大學不得不取消學刊的
訂閱，卻反而影響研究的基礎建設。
The KMK’s proposed amendment•••••••••••••
德國教育文化部執行委員會的提議
On 22 March 2006, the German federal government presented the draft of a ‘Second Law to Regulate
Copyright in the Information Society’ (so-called ‘second basket’, zweiter Korb). The opinion paper of
19 May 2006 of the Federal Council of Germany (Bundesrat), prepared by a working group of the
KMK universities committee, assesses the draft law as not being in the best interest of education and
science(71). For this reason, the Bundesrat rejected proposals which would have led to the availability
of knowledge becoming even more difficult and expensive, and which would, as a consequence, have
hampered innovation, the foundation of economic growth. Going beyond the government draft, the
Bundesrat proposed the creation of a legal framework to allow results of publicly funded research to be
made reliably available for non-commercial purposes in the context of Open Access.
2006 年 3 月 22 日，德國聯邦政府提出'資訊社會著作權第二案'(即所謂的'第二籃'，zweiter Korb)
草案，經過教育文化部大學委員會的評估後，於 2006 年 5 月 19 日收到德國聯邦議會(參議
院，Bundesrat)的意見，認為該草案沒有照顧到教育與科學的最佳利益(註 71)。因此，聯邦議會
否決此案，不讓取得知識更困難及昂貴，進而阻礙創新與經濟成長。在超越政府草案的前提
下，聯邦議會提議建立一個法律框架，讓公帑資助的研究成果，以開放近用模式，供非商業目
的的使用。
註 71: Government draft (with counter-statement on BR-Drs. 257/06) BT-Drs. 16/1828 of 15 June
2006; BR-Drs. 257/06 – resolution of 19 May 2006.
The Länder are responsible for the good functioning of the universities.The KMK thus urged the
federal government to exploit the legal room for manoeuvre in favour of universities, science and
libraries and to ensure a digital second publication right for scientists and scholars, subject to certain
copyright conditions. This move is intended to bring about a paradigm shift in the area of academic
publications at universities, creating the appropriate legal framework for the freest possible access to
academic information and strengthening the position of scientists and scholars against the de facto
market power of international publishing houses. The imbalance which has arisen between publishers
and academic authors can then be removed on the level of copyright law while maintaining the latter’s
constitutional rights. This proposed amendment(72) leaves the right of first exploitation of the holder of
the rights untouched, since the legal implementation would apply to non-quotable postprints and would

3. be linked to a period of time no longer than six months, after which the work can be made accessible
elsewhere (embargo period).
德國的聯邦州負責大學的良好運作。因此，德國教育文化部執行委員會敦促聯邦政府利用法律
的迴旋餘地，在特定的著作權環境下，提出有利於大學、科學和圖書館，並確保科學家和學者
的數位出版品權利。此舉的目的是實現大學學術出版品的典範轉移，創造出最自由的近用學術
資訊法律框架，強化科學家和學者的立場，對抗國際性出版社的市場力量。在保留學術作者的
憲法權利下，移除出版社和學術作者之間在著作權法上的不平衡。提議中的修正案(註 72)未觸
及著作所有權人的第一次使用權，仍適用於未敘明的印後本及 6 個月內的禁錮期 。
註 72：建議在著作權法第 38 條第一款加入如下文字: '源於教學與研究，使用公帑在學刊出版的
論文，即使在獨佔權已出現的情況下，作者有權在第一次出版 6 個月後，在非商業用途且格式
不等同於第一次出版的版面，允許公眾近用其內容。作者不能放棄此權利。'
The KMK is striving for the normative implementation of its proposal in the current legislative process
relating to the ‘second basket’ in order to maintain and improve the viability of the infrastructure of
universities and research institutions, as well as to further strengthen the transfer of technology and
knowledge. The proposed amendment’s contents correspond to similarly oriented reform
considerations in the Anglo-American world and met with broad agreement amongst experts at a
hearing at the committees on Legal Affairs and Education of the German Bundestag on 20 November
2006.
教育文化部執行委員努力爭取將其提案納入現階段的'第二籃'立法進程中，以維持和改善大學和
研究機構的生存基礎設施，並進一步強化科技與知識的轉移。於 2006 年 11 月 20 日，德國聯邦
議院的教育與法律聯席委員會的公聽會裡，確認提議的修正案內容與英美世界的改革方向互相
呼應。
p.101-102
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
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