This document summarizes the functions and history of the edoc-server, the open access repository of Humboldt University in Berlin. It provides open access to articles, journals, dissertations and other publications from the university. It began in 1997 with the goal of publishing digital dissertations but has expanded to become a full open access repository. It supports open access publishing through self-archiving of previously published works and by providing publishing platforms for the university's e-journals. The edoc-server helps authors comply with legal requirements and ensures long-term access to publications.

1. Chapter 2: An Introduction to Three Publication Models 29
第二章：三种出版模式导论
The Edoc-Server at the Humboldt-Universität zu Berlin: An Example of an Open Access Repository /
By Susanne Dobratz, University Library, Humboldt-Universität zu Berlin
柏林洪堡大学电子文件服务器：开放获取典藏库实例 / 苏珊·多博拉特斯 柏林洪堡大学图书馆
The edoc-server ••••••••••
电子文件服务器
The document and publications server of the Humboldt-Universität zu Berlin, known as the edoc-
server, celebrated its tenth birthday in 2007. The server operators, the university library and the
university’s computer and media service, regard it as the Open Access repository of the Humboldt
University. These two institutions maintain the edoc-server through the joint working group ‘Electronic
Publishing’. All the articles, journals, reports, dissertations, etc. published on edoc are available
worldwide, free of charge and without any access restrictions.
柏林洪堡大学的文件与出版物服务器又称为电子文件服务器，于 2007 年庆祝其十周年。该服务
器的运营者是大学图书馆与大学的计算机媒体服务中心，他们把服务器视为洪堡大学的开放获
取典藏库，通过“电子出版”联合工作组，维护电子文件服务器。所有在该服务器出版的论文、
期刊、报告、学位论文等，都是全球可得、免费且没有任何获取的限制。
When we started in 1997, like many of the 109 German document servers in existence today(19), we
had a different goal in mind. This was to provide doctoral students at the Humboldt University with a
platform allowing them to publish their dissertations digitally. The so-called ‘Dissertations Online’
initiative(20) enabled the use of a more up-to-date, quicker and cheaper medium to comply with the
German obligation to publish dissertations.
1997 年始建时，如同德国今天存在的 109 个文件服务器中的大多数（注 19），我们有不同的目
标。当时希望向洪堡大学的博士生使用一个平台，让他们出版数字化的博士论文，此所谓的“在
线论文”计划（注 20）可以使用较先进、较快速且较便宜的媒介，完成德国出版学位论文的义
务。
注 19: See list on the server of the Deutsche Initiative für Netzwerkinformation [见“德国网络信息项
目”服务器上的清单]: http://www.dini.de/wiss-publizieren/repository/
注 20: http://www.dissonline.de
In the meantime, the spectrum of publications made available via the edoc-server has completely
changed. It is now a genuine Open Access repository. Three-quarters of its publications are articles,
conference papers, research reports or monographs forming part of a series. All in all, there are some 7
020 documents(21) of different types on the server. Compared with international Open Access servers,
such as the arXiv(22), the most widely recognised physics preprint server containing 415 000
ocuments, this is not very much. However, if we consider the fact that these are all primary
publications, and that the authors received individual assistance, this is a noteworthy achievement.
到了今天，经由电子文件服务器的出版情况已经完全改变，现在已成为真正的开放获取典藏
库，四分之三的出版物是论文、会议论文、研究报告或专著，自成一个系列，服务器上总计有
约 7020 份不同类型的文件（注 21）。当然和国际性开放获取服务器（注 22）相比，这并不
多，如广受瞩目的物理学预印本服务器 arXiv（注 22），含 415,000 份文件。然而，如果考虑到
文件服务器里都是第一手出版物，并且作者取得个别的帮助，这是一个值得注意的成就。

2. 注 21: as of May 2007.
注 22: http://www.arxiv.org
The edoc-server is incorporated into the university’s information infrastructure. Together with a media
server, a course-management system, and the digital library, it forms just one source of information
available to members of the university for teaching and research purposes.
电子文件服务器是大学信息基础设施的一部分，与媒体服务器、课程管理系统以及数字图书馆
一起，共同成为大学成员从事教学与研究工作的信息来源。
Open Access at the Humboldt-Universität zu Berlin• ••••••••••••••••
柏林洪堡大学的开放获取
Every university pursues its own path when it comes to dealing with the topic of Open Access. The
Humboldt University’s path has been as follows. As early as August 2005, an Open Access working
group was set up under the Vice-President for Research. Following a decision by this working group, a
first activity was the attempt to provide the technological basis for publishing already published articles
(‘the green road’) and to involve selected professors in order to publish a critical mass of articles in the
form of so-called postprints. Only later was the Open Access Declaration(23) of the Humboldt
University passed by the Academic Senate and officially made public on 16 May 2006 at a public
colloquium(24). In this declaration, the scientists and scholars of the university support the worldwide
Open Access initiative and join the ‘Berlin Declaration on Open Access to Knowledge in the Sciences
and Humanities’. Since then, it has been the task of the working group on ‘Electronic Publishing’ to
assist members of the university in matters of electronic publishing. This applies both to the ‘golden
road’ and to the‘green road’ to Open Access. In this sense, the edoc-server is one of a number of
instruments promoting Open Access at the university.
考虑开放获取议题时，每个大学都有自己的做法，洪堡大学的做法如下。早在 2005 年 8 月，在
研究副校长之下成立了开放获取工作小组。根据工作组的决定，第一项活动就是试图提供相关
的技术，出版已经发表的论文（“玉律”），选择一些教授，出版大量的论文，即所谓的后印本
形式。后来才有经学术评议会通过的洪堡大学开放获取宣言（注 23），并于 2006 年 5 月 16
日，在一个公开讨论会上正式公布（注 24）。在这项宣言中，大学的科学家和学者支持全球开
放获取倡议，并加入“柏林宣言：开放获取科学与人文科学知识”。从此以后，“电子出版”工作
小组的任务，就是协助大学成员处理电子出版事宜，包括开放获取的“金科”与“玉律”。在此意
义上，电子文件服务器成为大学推动开放获取的工具之一。
注 23: 全文参见 http://www.edoc.hu-berlin.de/e_info/oa-erklaerung.php/
注 24: http://www.cms.hu-berlin.de/ueberblick/veranstaltungen/kolloquium/jahreskolloquium
Through the edoc-server as a university Open Access repository, the Humboldt University pursues the
following goals:
以电子文件服务器作为大学的开放获取典藏库，洪堡大学追求下列目标：
*
making available university content, in particular types of content that have been difficult to access
till now, for example dissertations, etc.;
提供大学产出的内容，尤其是至今难以获取的学位论文等内容；
*

3. making a university’s scientific and scholarly work visible;
提高大学的科学与学术作品的可见性；
*
supporting staff and professors with electronic publishing and in the use of modern publication
technologies;
运用现代出版技术，支持职员与教授的电子出版；
*
maintaining a university bibliography.
维护大学本身的书目。
At some universities, for example the Technische Universität Berlin, the document and publications
server is coupled with the operation of a university press(25).
在如柏林工业大学这样的大学里，文件与出版服务器融入大学出版社的运作（注 25）。
注 25: 德国大学出版社联盟列出其它的名单: http://www.ubka.uni-
karlsruhe.de/portale/ag_univerlage/verlage/.html
What makes a good document server?•••••••••
优良文件服务器的要件
In order to standardise the quality of the service provided by a document server within Germany, the
Deutsche Initiative für Netzwerkinformation (German Initiative for Network Information, DINI) has
created the DINI-certificate for document and publication services(26). This certificate defines the
organisational and technological conditions and characteristics that a server should fulfil if it is to be
interoperable with other services and integrated into a nationwide network. These conditions relate to:
the visibility of the service as a whole, the existence of guidelines, assistance for authors, legal aspects,
security, authenticity and integrity of server and documents, the bibliographical registering of the
documents and classification by content, the existence of technical interfaces, the export of metadata,
the maintenance of access statistics, and to measures to ensure the long-term availability of the
documents. The edoc-server of the Humboldt University fulfils these conditions.
为使德国境内文件服务器的服务质量标准化，德国网络信息倡议组织（Deutsche Initiative für
Netzwerkinformation, DINI）已经建立文件与出版服务的 DINI 认证（注 26）。若需要与其它服
务互操作，或整合入全国性的网络，就必须符合此认证界定的组织和技术条件与特性。这些条
件是：整体服务的能见度，备有准则，对作者的协助，法律方面，安全，服务器和文件的认证
与整合，文件的书目注册及依内容分类，现有技术接口，输出元数据，维护获取统计资料，以
及确保长期取得文件的措施。洪堡大学的电子文件服务器完全符合这些条件。
注 26: http://nbn-resolving.de/urn:nbn:de:kobv:11-10075687 (英文版).
The edoc-server as the platform for publishing the university’s e-journals• •••••
电子文件服务器做为大学电子期刊的出版平台
For years and in some cases decades, some scientists and scholars at the Humboldt University have
been editing their own journals or publication series. With the increasing importance of the Internet as
an instrument for disseminating knowledge and in particular over the past two years, we as operators of

4. the edoc-server have increasingly been receiving requests from academics to assist them in the
conversion of their publications to this medium. In doing so, we concentrate primarily on providing the
technological base, while confining ourselves to providing only useful tips in other areas, e.g.
organisational and legal matters. The organisation of quality control stays with the editors. The
technological basis includes the provision of a database with a WWW-based input facility, so that the
descriptive metadata for the e-journal and each individual article in the e-journal can be registered. In
addition, for every projected publication, a user-view is worked out and implemented jointly with the
editors. Furthermore, templates are made available to authors along with conversion tools to allow
editors to produce their own archive and Internet versions.
几十年来，洪堡大学的科学家和学者持续编辑自己的期刊或出版丛书。随着因特网的重要性与
日俱增，成为一种传播知识的手段，特别是在过去两年里，我们作为电子文件服务器的运营
者，不断收到学界的请求，帮助把他们的出版物转换至此一媒介。我们主要以技术为基础提供
协助，在组织及法律事宜上，只提供有限服务，而质量控制仍是编辑的责任。技术基础包括提
供基于万维网输入的数据库，因此电子期刊及其中的单篇文章的元数据可作注册。此外，经与
编辑合作，每个出版物都有用户界面。而且，向作者提供模板及转换工具，允许编辑制作他们
自己的档案和因特网版本。
In order to increase the effectiveness of the publications, the edoc-server additionally offers editors a
series of previously unavailable services, such as automatic registration with the German National
Library, the journal database, and other index instruments as well as a print-on-demand component for
the articles, and integration into international search engines, in particular Google.
为提高出版的效率，电子文件服务器再向编辑提供一系列以前没有的服务，如自动登录入德国
国家图书馆、期刊数据库、其它索引工具，以及论文按需打印组件，并整合入谷歌之类的国际
性搜索引擎。
The edoc-server as an institutional repository supporting the ‘green road’ to Open Access••••••••••
电子文件服务器做为机构典藏库支持开放获取的“玉律”
The edoc-server supports the inclusion of academic articles already published elsewhere by making
available a special input format for these articles, which, based on the concept of the EPrints server at
the University of Southampton, registers all the potentially necessary information and takes into
account the conditions imposed by individual publishers, who sometimes require an indication of the
original place of publication or other details. The scientists and scholars deliver their documents in
PDF-format and are given support in researching the legal framework conditions. This begins with
consulting the German interface of the SHERPA/RoMEO database(27), which lists the conditions of
individual publishers regarding Open Access, and goes all the way to addressing enquiries to the
publishers and providing help with the technical preparation of articles.
电子文件服务器支持纳入已发表的学术论文，以英国南安普敦大学研发的 EPrints 服务器概念为
基础，提供特别的输入格式，注册所有可能的必要资料，并考虑各出版社的不同情况，有时出
版社要求指明原文的出处及其它细节。科学家和学者提供 PDF 格式的文件，会得到法律方面的
支持服务，首先是咨询 SHERPA/RoMEO 数据库的德国界面（注 27），其中列有各出版社对开
放获取的条款，接下来是向出版社查询以及对论文技术准备提供帮助的各种途径。
<图>
注 27: http://www.dini.de/oap/
Challenges• ••••••••••••
挑战

5. Among the great challenges in the preparation and operation of Open Access repositories are the
procurement of scientific and scholarly papers and the need to convince authors of the value of this
approach. According to a study conducted by the German Research Foundation (Deutsche
Forschungsgemeinschaft, DFG) in 2005(28), many academics do not know what Open Access means
and have not yet integrated this form of publishing into their normal publication activities. Many of the
authors also demand that an Open Access publication in an institutional repository be accorded the
same recognition as a publication in learned journals. The latter provide what are known as ‘impact
factors’, which measure an article’s scientific or scholarly importance according to the number of times
an article is cited. This is of great significance for the reputation of young academics, in particular
when negotiating a professional academic position. An overall assessment system of this sort has not
yet established itself for Open Access publications appearing in institutional repositories. We shall
continue to work on this particular problem while establishing further services for authors and editors.
筹备和运作开放获取典藏库的最大挑战，是取得科学和学术论文，并使作者相信开放获取的价
值。根据 2005 年德国研究基金会（Deutsche Forschungsgemeinschaft, DFG）的一项研究（注
28），学界并不知道开放获取的意义，还未考虑把它纳入常态的出版活动里。许多作者还要
求，在机构典藏库中的开放获取出版物，应有等同于在期刊出版的认可。后者提供所谓的“影响
因子”，根据该论文被引用的次数，计算一篇论文的科学或学术重要性，影响因子在商谈专业学
术职位时，对年青学者的声誉有重大的意义。对机构典藏库中的开放获取出版物，尚未建立这
类的全面评估系统。在对作者及编辑提供进一步服务的同时，我们将继续探究此具体问题。
注 28:
http://www.dfg.de/dfg_im_profil/zahlen_und_fakten/statistisches_berichtswesen/open_access/index.ht
ml.
p. 30-34
Open Access: Opportunities and challenges. A handbook [开放获取 : 机会及挑战] / 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