王应宽 2008-11-16 此文已经发表在《大学图书馆学报》(附PDF全文供免费下载)，引用信息如下： 王应宽. 促进中国科技文献信息开放存取的法律与制度研究. 大学图书馆学报, 2008,(4): 7-13. 促进中国科技文献信息开放存取的法律与制度 研究 王 应 宽 （农业部规划设计研究院《农业工程学报》《国际农业与生物工程学报》编辑部， 100125，北京朝阳区麦子店街41号，Email： wangyingkuan@163.com ） 摘 要 ：科技文献信息的开放存取涉及很多相关的法律制度，为实现开放存取，需要减少法规的限制并寻求法律的保护。研究了有利于促进科技文献信息开放存取的法律和制度，包括修订著作权法有关条款，把合理使用的范围扩大到非商业利用；制定与实施中国特色的出版物法定送存制度；制定和实施国家许可制度；建立防止信息垄断的机制；保护信息网络传播权，维系信息网络传播权保护与信息公共获取的平衡 ,为开放存取的发展争取更大的制度空间，实现传播效益最大化。 关键词 ：开放存取；法律；制度；著作权法；网络传播权保护；合理使用；法定许可 通过开放存取实现文献信息共享需要作者保存与读者获取两方面。作者与读者分别位于开放存取运动的两端，作者提供文献，读者获取与使用文献，即采取作者与读者互动的推拉策略（Push-Pull Policy），作者主动推送，读者积极拉动，双方都采取主动才能达到科技文献广泛共享的终极目标［1］。要通过文献信息的发表、存档、检索、获取与使用，实现信息的自由传播与广泛共享，一方面需要规避现有法律法规的限制，另一方面还要通过制定或修订法规，寻求法律保护。从版权角度看，开放存取就是以现行法律为基础，在许可协议框架内作者自愿让渡部分版权，使用户得到免费访问权、获取权和自由使用权的版权交易模式。要发展开放存取事业，必须研究和制定促进信息开放存取的法律和制度，赋予开放存取应有的法律地位，同时提升全社会的道德水准和守法意识，保障开放存取的相关法律法规、许可制度、许可协议条款等得到切实的遵循与维护。由于开放存取在中国的研究和项目实践都处于起步阶段，有关促进开放存取的法律制度研究还鲜见报道。本文试图探索在现有的法律框架下，如何扩大开放存取发展的法律空间和寻求法律保障，主要涉及著作权法、出版物法定送存制度、国家许可制度、信息反垄断机制、信息网络传播权保护等。 1 修订著作权法有关条款，扩大合理使用范围 知识产权制度是用法律保护知识创新的制度，也是为了保护版权拥有者在进行版权贸易时其经济利益不受侵害。知识产权制度是为了通过保护作者权益来鼓励知识创新和科学进步，而不是要阻碍信息的自由传播。知识产权包括著作权和工业产权，前者包含邻接权，后者包括专利权、商标权等。著作权法是指调整因著作权的产生、控制、利用和支配而产生的社会关系的法律关系的总称。著作权，狭义上讲，是指各类作品的作者依法享有的包括人身和财产方面的权利；而广义的著作权，是指除了狭义著作权以外，还包括艺术表演者、录音录像制品制作者和广播电视节目的制作者依法享有的权利。在中国，著作权法规定，著作权与版权是同义语［2］。开放存取主要涉及著作权的保护与使用。 版权法的作用之一是鼓励新知识的创作和传播。学术界的成员既是学术论文的创作者即作者，又是论文的消费者即读者，作为创作者需要版权法来保护其作品的完整性，同时也需要通过借鉴并正确引用来合理使用别人的成果以创造新知识，产出新的论文。按照传统，为了广泛传播其文章，作者将版权无偿转让给出版者，在很多情况下作者需要付费或得到许可才能使用自己的成果。因此，为了发展知识，作者保留版权对其研究、教学和后续发表新成果很重要。同时，建立机制来维持保护版权拥有者的权益与用户获取使用之间的平衡，对满足研究与教学需要具有非常重要的意义。 保护知识产权，维护权利人利益，不仅是中国完善市场经济体制、促进自主创新的需要，也是树立国际信用、开展国际合作的需要。要进一步完善国家知识产权制度，营造尊重和保护知识产权的法治环境，促进全社会知识产权意识和国家知识产权管理水平的提高，加大知识产权保护力度，依法严厉打击侵犯知识产权的各种行为。同时，要防止滥用知识产权而对正常的市场竞争机制造成不正当的限制，阻碍科技创新和科技成果的推广应用。将知识产权管理纳入科技管理全过程，充分利用知识产权制度提高科技创新水平。强化科技人员和科技管理人员的知识产权意识，推动企业、科研院所、高等院校重视和加强知识产权管理。 由于著作权法在保护著作权人和传播者利益的同时，还必须兼顾社会公共利益，防止权力被滥用，阻碍和束缚科学技术的进步和文化的繁荣。因此，世界各国著作权立法，无不对著作权予以一定的限制。著作权与财产权不同，就其法律保护而言，著作权已受到了时间和地域上的限制，此外，还受到合理使用、法定许可、强制许可等制度的限制［1］。 中华人民共和国著作权法第一条规定：为保护文学、艺术和科学作品作者的著作权，以及与著作权有关的权益，鼓励有益于社会主义精神文明、物质文明建设的作品的创作和传播，促进社会主义文化和科学事业的发展与繁荣，根据宪法制定本法［3］。可见，著作权法的最终目的是要有益于创作和传播，促进文化和科学事业的发展与繁荣，而为达到此目的，必须以保护作者的著作权以及与著作权有关的权益与调和社会公共利益为手段。著作权法首先赋予作者著作权，但为了公共利益考虑，又以合理使用（Fair use）的规定形式来限制著作权的行使。《伯尔尼公约》是关于合理使用的最早且最重要的规范，1971年巴黎修订版的第九条第2项所规定的三步骤检验（three-step-test）, 即复制权的限制与例外应符合以下条件:①仅限于相关特定条件下；②未与著作之正常使用相冲突；③不至于不合理地损害著作人的法定利益［4］。此三步骤检验原则随后分别为1994年通过的世界贸易组织协定中的与贸易有关的知识产权协定第十三条、1996年通过的世界知识产权组织著作权条约(WIPO Copyright Treaty)第十条及世界知识产权组织表演及录音物条约(WIPO Performances and Phonograms Treaty)第十六条所接受, 并推广到所有该条约所提供保护权利的限定与例外规定，不再仅限于复制权，亦即只要在相关特定条件下，未与著作之正常使用相冲突和不至于不合理地损害著作人的法定利益，各国著作权法应允许使用人不必经过著作权人及其相关权利人的授权，使用著作或受保护的客体。至于具体法律条文表述，则由各国以法律规定。 促进中国科技文献信息开放存取的法律与制度研究促进中国科技文献信息开放存取的法律与制度研究 《中华人民共和国著作权法》的第十条除规定保护著作权人人身权和财产权等十七项权利外，也通过合理使用、法定许可等制度限制来保护公共利益。其中，著作权法第五条法定许可了三项本法不适用的范围：①法律、法规，国家机关的决议、决定、命令和其他具有立法、行政、司法性质的文件，及其官方正式译文；②时事新闻；③历法、通用数表、通用表格和公式。著作权法第二十二条明确规定了合理使用的十二种情形，使用人可以不经著作权人许可使用作品，不向其支付报酬，但应当指明作者姓名、作品名称，并且不得侵犯著作权人依照本法享有的其他权利［3］。著作权法第二十三条还强制性法定许可了为实施九年制义务教育和国家教育规划而编写出版教科书对作品的使用，但应当按照规定支付报酬，指明作者姓名、作品名称，并且不得侵犯著作权人依照本法享有的其他权利。对著作权的这些限制规定，一定程度上保护了公共利益，有利于作品的传播和使用。 但是，中国的著作权制度历史较短，许多方面还不完善。特别在网络信息资源共享中的很多环节，如网上信息检索、聚类、链接、下载、复制、再传播与再利用等，均受到版权法的制约，著作权法在网络环境下的过度扩张一定程度上已成为科技信息开放存取的障碍。因此，为了推进开放存取，促进信息资源的传播与共享，使信息传播效益最大化，必须改革和完善著作权法的有关条款。 传统版权体系在作者及其他控制和使用作品权利人利益与社会信息自由流动和传播知识利益之间保持着一种微妙的平衡。可以说，利益平衡是版权法的根基。然而，每一次复制和传播技术的进步都打破了版权法旧有的平衡。为适应技术进步，确立新的利益平衡，必须不断修订版权法。具体做法是：赋予版权人与新技术相应的权利以弥补技术发展给权利人带来的损失，同时给这项新的权利附加相应的限制以保护公共利益而不至于造成版权人的垄断。建议修订版权法的有关条款，以维系版权保护与合理使用的和谐统一。按照国际惯例，补充规定，作者拥有版权，只要在相关特定条件下，不与著作的正常利用相冲突和不至于不合理地损害著作人法定利益，应允许读者和用户不必经过著作权人及其相关权利人的授权，不向其支付报酬，可以使用著作或受保护的客体，但应该指明作者的姓名、作品名、文献出处，正确引用与致谢［1］。同时，还应该明确规定，受公共资金资助的研究项目成果除保密或产生专利或版税收入的成果外，首先应该免费向公众开放，而不受版权法的限制。对于学术期刊发表的研究论文也应该逐步向公众开放。通过修订和补充现行的法律，制定专门的法规和颁布有关法规文件和政府规章等形式，把合理使用的范围扩大到非商业性利用，逐步完善信息开放存取的政策环境，为公众依法公开平等的获取信息提供法律保障。网络技术的迅猛发展促进了网络信息共享，关于信息网络传播权的保护与限制将在后文详细论述。 2 制定与实施中国特色的出版物法定送存制度 出版物法定缴存，有的也称作出版物法定送存、出版物法定寄存、出版物法定存储、出版物法定仓储、出版物法定呈缴等。法定送存是一种法律义务，规定任何商业机构、公共机构或个人，只要以大量副本制作任何形态的文献，都有义务送存一份或一份以上到指定的国家机构。法定送存是一种国家公共政策，也就是以法律形式保障国家文献的收集、记录、保存与使用，目的是保存国家文献、编制国家书目和提供学术研究［5］。送存品应免费提供给读者使用。出版物法定缴存制度起源于1537年法国国王佛朗西斯一世颁布的皇家法令《蒙彼特埃敕令》，规定任何新出版的图书，必须向王室图书馆呈缴一部，否则禁止销售；最初的目的在于充实皇家图书馆的馆藏，后来又衍生出其他目的，如书刊出版品交易核可、检查的途径，取得著作权保护的方法等［6］。在1886年订立伯尔尼公约前后，法定缴存制度几经废止与恢复，根据1990年Jan T Jasiond的调查统计，全世界共有139个国家有法定缴存制度［7］。法定寄存制度是一个国家完整收集、记录、典藏该国文化资源最重要的依据，也是平衡社会大众知识贫富差距的重要途径，尽管寄存的目的、出版物的定义与范围随着时代变化，但法定寄存制仍是各国为子孙后代典藏过去及当代知识智慧的良好制度，而被各国广泛建立实施。随着电子信息技术的发展，电子出版物盛行，法定寄存制度在法令、技术实现、保存长久性、内容正确性、使用平等性、组织合理高效等方面都遇到了新挑战［8］。 中国没有出版物法定寄存的法令，但是有一个中国特色的称谓，叫出版物样本缴送。中国的出版物样本缴送可溯源到汉代初年，800年前已有图书呈缴制度，但时至今日还没有法定呈缴本制度，现在的样本缴送制度在1952年以政府部门规章的形式确立。2001年12月25日国务院颁布的《出版管理条例》第 23条规定：出版单位发行其出版物前，应当按照国家有关规定向国家图书馆、中国版本图书馆和国务院出版行政部门免费送交样本。但是，实施情况不佳，问题很多，漏缴严重，虽有人呼吁通过强化宣传和法律制约等措施，健全书刊缴送机制，保障文献保存体系，但大范围的执行难似乎看不到根本改观的前景［9］。李国新博士认为中国现行出版物样本缴送制度需要改革，改革制度首先需要解决两个前提性问题：一是对制度本身的正确理解与认识，二是按照国际惯例，使制度走向法律化；并提出了具体改革措施，包括废除多头呈缴，建立单一的国家呈缴体系，建立出版物呈缴的补偿机制，政府编印的非保密性出版物向所辖图书馆免费缴送，建立出版物呈缴的催促制度和国家公告制度，规范呈缴本的免费利用制度［9］。 图书馆的基本功能在于信息存贮、传递和服务。为了更好地提供信息服务，应参考美国、英国、法国等制定实施的信息寄存法令，完善中国的出版物样品呈缴制度，条件成熟时可以制订出版物呈缴法律，规定所有在中国出版的图书、期刊、政府出版物、地图、报纸、手册等出版物，不论以何种媒介出版，都要呈缴一份给国家图书馆。同时应根据上文阐述的修订著作权法有关条款，赋予图书馆以例外的复制权和传播权，规范呈缴本的免费使用制度。 外国的法定寄存法令和中国的出版物呈缴制度都是针对图书馆的文献典藏的，呈缴者是出版机构，呈缴机构是图书馆，呈缴内容是出版物，对于出版物的界定主要指印刷出版物，范围较小，这对电子信息时代信息的开放存取是远远不够的。最新修订的IFLA 2000年出版的《法定送存立法准则（修订版）》（Guidelines for Legal Deposit Legislation, rev? ed），对法定送存进行了重新定义：法定送存是一种法律义务，规定任何商业机构、公共机构或个人，只要以大量副本制作任何形态的文献，都有义务送存一份或一份以上到指定的国家机构［10］。该定义对送存者、送存机构、送存品等进行了重新界定，特别对送存品的媒介形态作了扩展，补充了电子出版物的法定送存，这为电子信息时代重新制定或完善出版物法定送存制度提供了有益的参考。参照IFLA2000的法定送存立法准则，提出建立更广泛意义上的中国特色的出版物法定送存制度，一方面完整保存国家文献，另一方面提供永久免费使用的国家文献，以保障公民自由使用信息资源的民主权利。通过这种文献提供、保存与使用的长效机制，满足教育、科学研究和信息交流的需要，为文献信息内容的开放存取提供制度和法律保障［1］。 中国的出版物法定送存制度中采用广泛的原则，送存者不仅包括商业性机构如出版者、网络资讯提供商、网络出版者等和公共机构如政府部门、大学、研究院所、学术团体等，还包括作者个人，范围很广，囊括所有参与文献出版的机构和个人。送存机构不仅仅是国家图书馆，也可以是其他公共机构，如各种专业数据库、知识仓储库、专业图书馆等。送存品，即出版物，采用广义定义，包含各种媒体，其种类与形态十分宽泛，包括图书、期刊、报纸、小册子、政府出版物、乐谱、地图、静态图像资料、微缩资料、视听资料、其他形态的资料等。纸本出版物如期刊，如果另以电子方式出版则电子版也需要送存；对于电子出版物，无论是离线的还是在线的都需要与其附件（如安装软件、使用手册等）一同送存。为了合理使用送存的资源，还应建立送存品免费使用制度，赋予送存机构例外授权，允许非商业性地提供用户免费使用。依据此模式，以科技期刊为例可规定如下：凡在中国正式公开出版的科技论文，不论是纸介质媒体还是网络媒体，版权人必须在出版后的规定时间内（如30日），送2份纸介质文本或最终电子版文档给指定的知识仓储库，如国家图书馆、国家科技图书馆、中国知识资源总库等，同时建立催缴制度、补偿制度和处罚制度。送存机构负责永久保存文献资源，并供用户免费获取和使用。 出版物法定送存制度的建立与实施意义重大，不仅为完整收集和保存国家文献资源奠定法律基础，也为更广泛的信息资源开放共享提供保障。科技期刊论文的开放存取只是其中的一个重要组成部分，在此制度框架下，科技文献信息的自由交流和传播就可以依法进行，保障和加速科技成果的广泛传播与充分利用。 3 制定和实施国家许可制度 国家许可(National License)是指通过政府授权，出版商与第三方即非赢利性组织之间通过签订国家许可证允许其在全国范围内使用信息产品或服务，并由该非赢利性组织提供信息获取渠道。获得国家许可证后，在许可协议的规定下本国范围内的任何公众都可以接入、检索、浏览、下载、打印或复印被许可使用的信息产品［11］。国家可以通过转移支付对作者、出版者和信息提供机构进行经济补偿。国家许可证制度的实施包括对国外数据库资源和国内数据库资源许可利用两方面。国内现在已实行的电子资源集团采购方式即是国家许可制度的体现。电子资源集团采购是指多个图书馆组织起来，联合采购某种资源，以最优价格和最少的经费获取最佳服务和最符合需求的资源。它是图书馆资源共建共享在网络环境下的产物，集团采购能否成功的重要因素包括：集团结构和组织模式、采购和价格模式、资源共享模式和数据库访问模式［12］。 作为全国最大的高校图书馆联盟，CALIS（中国高等教育文献保障体系）的宗旨是建设以中国高等教育数字图书馆为核心的教育文献联合保障体系，实现信息资源共建、共知、共享，以发挥最大的社会效益和经济效益，为中国的高等教育服务。其组织的集团采购项目实践证实了以集团采购方式引进国外电子资源的优势和效益，促进了图书馆的电子资源建设［13］。但目前集团购买的电子资源只提供集团成员内部使用，没有加入联盟的机构不能使用，公众也不能使用，也就是没有提供开放使用，其效益并没有最大化。 显然，单独建设或购买电子资源的成本很高，如果以国家许可的形式购买，不仅可供全国的图书馆、大学、科研机构使用，只要可以上网的公民均可使用，而且花费的成本会比各自单独购买低得多，使用效益也比集团购买高。此外，国家在与国外数据提供商进行价格谈判过程中，可以统筹考虑，获得优惠的价格，国家与国家之间还可以采用数据库交换的形式购买。国内数据库资源的销售与授权许可存在同样的问题，如国内中国知网、万方数据、维普资讯三大期刊网，目前主要通过大学、图书馆和机构付费购买，或者读者个人按页面付费下载。单位购买都使用国家的资金，造成资金的重复浪费，还严重影响了公众对期刊文献信息的获取与使用。如果采用国家许可制度，国家每年统一支付给期刊内容提供商一笔经费，让所有资源免费开放，许多问题都迎刃而解。但是中国各个单位、部门的业务归口与行政隶属关系错综复杂，如何统一规划协调与组织实施，在操作层面还存在一些具体问题需要进一步深入研究解决。 事实上，如前面所述，政府直接投资支持开放存取期刊，也就相当于对开放存取期刊实施国家许可制度。国家把科技学术期刊的出版纳入公益事业管理，通过科技事业经费拨款支持，让期刊内容及时免费全文开放，提供开放访问服务。笔者的问卷调查结果也表明，科研人员很支持（支持率高达86%）通过这种模式实现开放存取［1］。 国家许可制度在全国范围内实施的许可使用，可以避免各地区、各系统的信息资源重复建设，并且有利于缩小国内不同地区之间的信息差距；国家许可的实施可以有效地协调和解决非营利性组织与出版商之间的争议；而且，国家许可对出版商进行合理的经济补偿，保障了出版商的经济利益，能够鼓励信息资源建设与信息服务［11］。如芬兰的FineLIB计划就是由政府出资对ISI等15个数据库实施了国家许可。挪威、瑞典、丹麦、冰岛等国都建立了国家许可证制度。国家许可能够有效地协调好出版商和公众之间的利益，在促进网络信息资源获取尤其是数据库的开放存取，消除数字鸿沟，实现信息平等方面具有深远的意义。 4 建立防止信息垄断的机制 信息垄断有多种形式，如行政垄断、行业垄断、超级企业垄断。信息垄断必然带来信息产品价格垄断，提高公众获取信息的成本。政府部门对信息的行政垄断，例如国家对政府统计信息的垄断与封锁就是阻碍信息开放存取的瓶颈，是防止信息垄断机制的重点之一。 应该公开政府统计信息，让公众免费使用。统计行为虽是政府行为，但统计数据却不能为政府所独享。因为政府利用纳税人的税金生产出来的信息和在政府行政管理过程中产生的信息，都属于全体公民所有，是一种公共产品，除少数涉及国家安全和利益的机密信息外，政府有义务向全体公民提供。而且，统计数据直接关系到老百姓的生活和福利。中国现行的统计法在统计信息产品的归属、统计服务对象等基本问题上，没有明确的规定。在实际统计工作中，实行的是以政府为主、社会为辅的方针，反映到统计设计上主要是考虑政府的需要，而很少研究企业和社会公众的需要，甚至一些统计指标和分组设置是以政府部门的市场开发为目的的；在统计数据披露方面，实行先内后外、内详外略的政府优先政策；与此相适应，制定了过于宽泛和严格的统计数据保密制度，对社会公众获取统计信息设置许多限制。因此，破除统计信息归政府所有的传统观念，打破政府部门统计信息垄断和封锁的局面，树立统计信息是公共产品、归全民所有的新思想，也是当前统计制度改革的核心问题之一［14］。 2004年，科技部率先启动了科学数据共享工程［15］。中国虽已积累了丰富的科学数据资源，但因缺乏开放共享的有效机制，这些基本数据大多数利用率很低，导致国家投入经费重复采集基本数据，造成严重的浪费。因此，实施科学数据共享已成为国家资源有效利用的必要手段和重要途径，必须树立科学数据是国家资源的观念，不得私自占有和封锁。2006年，科技部宣布实施了强制开放存取受公共资金资助研究产出的科学数据，其中80%的科学数据均可提供开放共享［16］。这是政府在消除行政垄断，支持科学数据开放存取方面的重大举措，具有非凡的意义。 欧美大型跨国期刊出版商对科学、技术和医学领域期刊的垄断导致了连续出版物危机和学术交流危机。中国大陆虽没有私营出版商，但行业垄断的情况依然存在。中国内地的出版社和期刊编辑部多为计划经济的产物，表现为在某一政府部门或与政府部门有相似职能的部门主管、主办下，出版与该部门管辖范围有关的出版物，带有比较浓厚的行业垄断特色。应改革准入制度，引入市场竞争机制，打破行业垄断，促使行业出版社和行业期刊在失去行业垄断、行业保护的情况下，依靠自己的特色和品牌做深做新，做大做强。通过建立机制，打破对信息生产和发布的垄断，消除信息壁垒，为科技信息资源的开放存取提供保障。创办开放存取期刊，与传统期刊竞争，也是反垄断的重要措施之一。 5 维系信息网络传播权保护与信息公共获取的平衡 《信息网络传播权保护条例》（以下简称《条例》）［17］的出台，客观上加强了互联网环境下的版权保护，扩大了权利人对作品网络传播的控制权，一定程度上限制了信息的快速传播与广泛共享，但同时也通过合理使用和法定许可对信息网络传播权附加了种种限制［18］。此外，只要获得权利人的授权许可，其个人的作品仍然可以按照其约定的方式（如创作共享许可协议CCAL）传播和使用。而开放存取的信息大都是通过获得著作权人的授权许可提供网络传播和使用的，同时《条理》还提供了相对宽容的避风港条款［19］，因此《条例》对版权的保护不会也不应该束缚包括科技文献在内的作品的创作、传播与共享。但必须明确，作为版权法中最重要的权利人应该是作者和创作者，这就要求在发表作品时作者和创作者应该保留版权，而不应将版权转让给出版商，致使出版商成为了网络传播权的控制者。《信息网络传播权保护条例》解决了权利人与使用者之间的矛盾，保持权利人、网络服务提供者、作品使用者三方之间的利益平衡，充分发挥网络传播作品的潜能，非但不会阻碍科技文献开放存取的发展，还为科技文献的开放存取提供了法律保障。 《条例》是著作权制度在网络环境中的拓展和延伸，其中合理使用制度的规定对信息网络传播权的限制进行了详细界定，是新环境下对著作权法合理使用原则的扩充和调整。《条例》一方面以法律形式对著作权人的信息网络传播权进行规制，限制了著作权人权利在数字环境下的无限度扩张；另一方面详细地规范了作品的传播者和使用者在利用数字化作品方面的权利，保障了社会公众能够广泛地访问网络世界中的作品，协调了作者、传播者与使用者三者之间的利益，体现了著作权法保护个人、保护弱势群体、保护公共利益的立法精神，从而使著作权人与作品使用者之间在数字网络环境下达成新的利益平衡，充分实现网络传播与公共利益的协调，在促进社会信息的广泛交流的同时，增进社会文化产业的整体进步［20］。 《条例》固然有很多进步之处，但也存在不少缺陷，如网络服务提供者难以通过用户注册资料提供涉嫌侵权的服务对象，没有规定著作权人向网络服务提供者的查询权等，难以依据《条例》解决信息网络传播权中的所有问题。这些缺陷不仅会给著作权人维权带来困难，也会给网络服务提供者正确审视自己的商业模式带来困惑。为了促进信息的网络传播与利用，维系网络传播权保护与公共利益的协调，在贯彻执行《条例》时，一方面应充分利用《条例》所规定的避风港条款，另一方面，还应尽可能地扩大合理使用与法定许可的范围，为开放存取出版争取更大的发展空间，实现知识和信息传播的社会效益最大化。《条例》在限制规范信息开放存取的同时，也为开放存取提供了法律依据。 6 结 语 开放存取是一种理想的模式，理论和实践证明，开放存取在法律、技术、经济和商业模式上都切实可行。开放存取在国外发展很快，免费获取与使用学术信息已经部分成为现实。开放存取在世界各国的发展不平衡，而中国的开放存取的发展才刚刚起步，政府主管部门在政策与法规层面的重视与推动十分有利于开放存取的发展。研究表明，可通过修订著作权有关条款，制定版权许可和使用协议，寻求版权保护与广泛传播使用之间的妥协，将开放存取出版置于知识产权法的框架内，消除两者之间的矛盾。法定送存与国家许可制度均有助于信息的开放存取。由于拥有版权，作者的态度至关重要，决定作品是否开放和开放的程度，因此在没有法规限定的情况下，建议元数据生产者、期刊出版者、信息提供商等需要与作者签订版权使用许可协议，明确标示所提供文献的版权状况与使用许可范围，并以机器可读取形式尽可能使之标准化［21］。版权所有者表示支持开放存取的最容易、有效和日益普遍的方式就是创作共享许可协议（Creative Commons licenses）［22］，版权人可根据自己的需要为其作品提供灵活的授权机制。本文在前人研究基础上探索提出的促进科技信息开放存取的法律与制度，可为政府决策部门和立法机构提供参考借鉴，以期推动发展适合中国国情的科技文献开放存取机制和模式。 参考文献 1 王应宽?中国科技学术期刊的开放存取出版研究（博士学位论文）?北京：北京大学信息管理系，2006，12：240 2 刘春田主编?知识产权法?北京: 高等教育出版社,2000：365 3 中华人民共和国著作权法(2001年修正,最新)? ［2006-06-20］? http://www?edu?cn/20011105/3008137?shtml? 4 章忠信? 著作权法关于数位图书馆之营运与修正方向以英国、美国为例?(发表于1993年5月东吴大学数位图书馆研讨会）?［2006-06-20］? http://www?copyrightnote?org/paper/pa0035?doc? 5 Jules Lariviere? Guidelines for Legal Deposit Legislation? ［2006-05-20］? http://www?ifla?org/VII/s1/gnl/legaldep1?htm? 6 History of Legal Deposit? IFLANET? ［2006-05-22］? http://www?ifla?org/VII/s1/gnl/chap2?htm? 7 Jan T Jasion? The International Guide to Legal Deposit? Aldershot, Ashgate, 1991? 18-31? 8 陈昭珍?电子资源的法定寄存政策?［2006-05-21］? http://www?ncl?edu?tw/pub/c_news/92/01?html? 9 李国新?中国图书馆法治若干问题研究（博士学位论文）? 北京:北京大学,2005,5 10 王明玲?《法定送存立法准则修订版》介绍?［2006-05-16］? http://www?ncl?edu?tw/pub/cnews/87/04?html? 11 陈传夫,姚维保?我国信息资源公共获取的差距、障碍与政府策略?图书馆论坛,2004, 24(6):54-57? 12 肖珑,姚晓霞?我国图书馆电子资源集团采购模式研究?中国图书馆学报,2004, 30(5): 31-34? 13 杨毅，周迪，刘玉兰? 集团采购购买电子资源的有效方式?大学图书馆学报,2004, 22(3):6-9? 14 邓聿文? 打破统计信息垄断? 国际金融报, 2003-11-24(3)? ［2006-05-23］? http://people?com?cn/GB/paper66/10714/973966?html? 15 陈建辉?科技部科学数据不得私自占有封锁［N/OL］?经济日报, 2004-06-23? ［2008-02-14］? http://www?sciencedata?cn/news/show?php?id=3044_sid=? 16 Peter Suber? Welcome to the SPARC Open Access Newsletter, issue #105, January 2, 2007? ［2008-02-13］? http://www?earlham?edu/~peters/fos/newsletter/01-02-07?htm? 17 中华人民共和国国务院令第468号?《信息网络传播权保护条例》(2006年5月18日颁布)?国家版权局主页? ［2006-10-01］? http://www?ncac?gov?cn/servlet/servlet?info?InfoTopicServlet?action=topiclistid=30? 18 国务院法制办负责人就《信息网络传播权保护条例》有关问题答中国政府网记者问?［2006-10-05］? http://www?gov?cn/zwhd/2006-05/29/content_294127?htm? 19 THE DIGITAL MILLENNIUM COPYRIGHT ACT OF 1998?［2006-10-18］? http://www?copyright?gov/legislation/dmca?pdf? 20 陈传夫,周淑云? 维系网络传播与公共利益的协调? 图书情报知识, 2006(2):5-9? 21 Bide Mark? Open Archives and Intellectual Property: Incompatible World Views? Bath, UK: Open Archives Forum, 2002? ［2006-05-11］? http://www?oaforum?org/otherfiles/oaf_d42_cser1_bide?pdf? 22 Creative Commons License? ［2006-06-20］? http://creativecommons?org/licenses/? 作者单位：《农业工程学报》编辑部，北京，100125 收稿日期：2008年3月11日 作者简介 : 王应宽(1971-),男,工学硕士，管理学博士（编辑出版学），副编审，《农业工程学报》副主编，《国际农业与生物工程学报》执行主编。Email: wangyingkuan@163.com . Law and institutional system for promoting open access to scientific literature and information in China Wang Yingkuan Abstract: As open access to scientific literature and information is greatly affected by related law and institutional systems, reducing the strict restriction of existing laws and rules and seeking legal protection are necessary in order to implement open access to scholarly literature. Law and institutional systems for promoting open access to scientific literature and information in China were studied in this paper. The system should be perfected, including amending and modifying concerned clauses of Copyright Law of China for expanding the scope of Fair Use to non-commercial use, extending the right for network communication, providing lawful guarantee for openly and equally accessing information resources; formulating and implementing legal depositing system for publications with Chinese characteristics; constituting China national license system; setting up antitrust system against illegal information monopoly; protecting the Right of Communication of Information through Network, expanding the range of fair use (fair dealing) and legal permission, keeping and the balance between the protection of the right of communication via network and public benefit, for which larger space for open access development can be assured and the maximization of the benefits of information communication can be reached. Keywords:Open Access; Law and Institutional System; Copyright Law; Fair Use; Legal Permission 附PDF全文 促进中国科技文献信息开放存取的法律与制度研究
开放存取学术出版协会于开放存取日成立 2008 年 10 月 14 日 被确定为世界第一个开放存取日（ Open Access Day ）。世界各地同期举行了各种有关开放存取的活动。由英国最大的慈善机构卫尔康基金会（ Wellcome Trust ）发起，就在开放存取日在伦敦成立了开放存取学术出版协会（ Open Access Scholarly Publishers Association, OASPA ），并从即日起开始招收会员。 OASPA 的宗旨是支持和代表全球科学、技术和各学科领域的开放存取期刊出版者的利益，通过信息交流、制定行业标准、开发商业模式和出版模型，倡导金色之路 - 出版开放存取期刊，促进教育发展，激励创新。 OASPA 的创始会员来自开放存取的先驱，包括英国的生物医学中心（ BioMed Central ） , 美国的科学公共图书馆（ Public Library of Science ， PLoS), 辛迪维出版公司（ Hindawi Publishing Corporation ） , 共同出版社（ Co-Action Publishing ） , 哥白尼（ Copernicus ） , 医学教育在线 Medical Education Online (David Solomon), SAGE, SPARC Europe and Utrecht University Library (Igitur) ， Journal of Medical Internet Research (Gunther Eysenbach) ，等。 OASPA 的会员将对学术出版者与专业出版机构开放，包括大学出版社、盈利性出版机构和非盈利性出版机构。会员应真正对开放存取期刊的出版感兴趣，签署柏林宣言或布达佩斯宣言，必须出版过至少一种全文开放存取期刊。也欢迎其他支持 OA 期刊出版或对发展开放存取有兴趣的个人和机构。会员资格及申请表可通过 OASPA 网站获取。详情请参阅网站： http://www.oaspa.org 。 资料链接：The full press release is below: ANNOUNCING THE LAUNCH OF THE OPEN ACCESS SCHOLARLY PUBLISHERS ASSOCIATION,OASPA 14 October 2008, London. The Open Access Scholarly Publishers Association, OASPA, announces its official launch today in conjunction with an OA Day celebration hosted by the Wellcome Trust in London.The mission of OASPA is to support and represent the interests of Open Access (OA) journals publishers globally in all scientific, technical, and scholarly disciplines through an exchange of information, setting of industry standards, advancing business and publishing models, advocating for gold OA journals publishing, education and the promotion of innovation. From having first emerged as a new publishing model over a decade ago, OA publishing has become an embedded feature of the scholarly publishing landscape: The Directory of Open Access Journals (DOAJ) lists over 3500 peer-reviewed journals; a growing number of professional organizations offer OA publications; university libraries increasingly support OA publishing services; funding organizations support and encourage OA publishing; and a long tail of independent editorial teams and societies now publish their titles OA. Professional OA publishers such as BioMed Central and the Public Library of Science (PLoS) have been in business for over five years, while some scientist/scholar publishers (editorial teams operating independently of a professional publisher) have published their OA journals for a decade or more. Moreover, a number of traditional publishing houses are now engaging in Open Access activities, the recent acquisition of BioMed Central by Springer and the SAGE-Hindawi partnership being two cases in point. By bringing together those who share an interest in developing appropriate business models, tools and standards to support OA journals publishing, it is hoped that success in these areas can be achieved more quickly to the benefit of not only OASPA members, but more importantly, for the scholarly community that OA publishers serve. Membership in OASPA is open to both scholar publishers and professional publishing organizations, including university presses and for profit and non-profit organizations. Members are expected to demonstrate a genuine interest in OA journals publishing by having signed either the Berlin or Budapest Declarations and must publish at least one full OA journal. Other individuals and organizations who support OA journals publishing or who are interested in exploring opportunities are also welcome. Membership criteria and an application form can be found on the OASPA website, www.oaspa.org. The founding members of OASPA represent a broad spectrum of OA publishers and include: BioMedCentral, Co-Action Publishing, Copernicus, Hindawi Publishing Corporation, Journal of Medical Internet Research (Gunther Eysenbach), Medical Education Online (David Solomon), the Public Library of Science (PLoS), SAGE, SPARC Europe and Utrecht University Library (Igitur). Representatives from each of these publishers will form an interim board until a first General Meeting is held during 2009. Open Access Scholarly Publishers Association, OASPA, is launched today 14 October 2008 in response to long-time informal discussions among Open Access publishers, and aims to represent the interests of OA journals publishers globally. For more information about the organization, visit the OASPA website at: www.oaspa.org. The Wellcome Trust is the largest charity in the UK. It funds innovative biomedical research, in the UK and internationally, spending over 600 million each year to support the brightest scientists with the best ideas. The Wellcome Trust supports public debate about biomedical research and its impact on health and wellbeing. Open Access (OA) scholarly publication refers to the dissemination of peer-reviewed manuscripts containing original research or scholarship immediately upon publication, at no charge to user groups, without requiring registration or other restrictions to access.OA publications also allow users 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.... Press Contact: Caroline Sutton Tel/skype: +46 (0)18 495 1126 Cell: +47 90 69 05 06 Caroline.Sutton@co-action.net
源自维客 (Wiki) 的自我存档 (Self-archiving) 文献 国外关于开放存取的研究比较丰富，维客搜集有关开放存档的网址链接和相关文献近 50 篇，涉及有关开放存档的综合论述、政策建议、模型研究、同行评审、版权策略、对比分析、调查报告等。博主整理转贴于此供需要者分享。 以下资料来自 : http://www.wiki.cn/wiki/Self-archiving Jump to: navigation , search Self-archiving involves depositing a free copy of a digital document on the World WideWeb in order to provide open access to it. The term usually refers to the self-archiving of peer reviewed research journal and conference articles as well as theses, deposited in the author's own institutional repository or open archive for the purpose of maximizing its accessibility, usage and citation impact . Self-archiving is one of two general methods for providing open access. The other is open access publishing in an open access journal . The former is sometimes called the green and the latter the golden road to open access. Self-archiving was first explicitly proposed as a universal practice by Stevan Harnad in his 1994 posting Subversive Proposal , although computer scientists had been doing it spontaneously in anonymous FTP archives since at least the 1980s (see CiteSeer ) and physicists since the early 1990s on the web (see arXiv ). About 94% of peer-reviewed journals already endorse authors self-archiving preprint and/or postprint versions of their papers. Whereas the right to self-archive postprints is a copyright matter, the right to self-archive preprints is merely a question of journal policy . See also Berlin Declaration Budapest Open Access Initiative Subversive Proposal External links A Subversive Proposal by S. Harnad , (1995), in Okerson, A. and O'Donnell, J., Eds. Scholarly Journals at the Crossroads: A Subversive Proposal for Electronic Publishing Association of Research Libraries Self Archiving FAQ : Answers to most of the questions you might have about self-archiving. There is also a Glossary of Terms in case you find yourself wading in jargon. Publisher copyright policies self-archiving SelfArchive.org : a self-archiving wiki Registry of Open Access Repository Material Archiving Policy (ROARMAP) Open Access News by Peter Suber science-advisor.net Openarchives.eu - The European Guide to OAI-PMH Digital Repositories in the World References Berners-Lee, T., De Roure, D., Harnad, S. and Shadbolt, N. (2005) Journal publishing and author self-archiving: Peaceful Co-Existence and Fruitful Collaboration. http://eprints.ecs.soton.ac.uk/11160/ Brody T, Harnad, S. (2004) Using Web Statistics as a Predictor of Citation Impact. http://www.ecs.soton.ac.uk/~harnad/Temp/timcorr.doc Hajjem, C., Harnad, S. and Gingras, Y. (2005) Ten-Year Cross-Disciplinary Comparison of the Growth of Open Access and How it Increases Research Citation Impact. IEEE Data Engineering Bulletin 28(4) pp. 39-47. http://eprints.ecs.soton.ac.uk/11688/ Harnad, Stevan (1990). Scholarly Skywriting and the Prepublication Continuum of Scientific Inquiry. Psychological Science 1, no. 6: 342-344. http://cogprints.ecs.soton.ac.uk/archive/00001581/index.html Harnad, Stevan (1991). Post-Gutenberg Galaxy: The Fourth Revolution in the Means of Production of Knowledge. The Public-Access Computer Systems Review 2, no. 1: 39-53. http://info.lib.uh.edu/pr/v2/n1/harnad.2n1 Harnad, Stevan (1992). Interactive Publication: Extending the American Physical Society's Discipline-Specific Model for Electronic Publishing. Serials Review 18, no. 1/2: 58-61. http://www.ecs.soton.ac.uk/~harnad/Papers/Harnad/harnad92.interactivpub.html Harnad, Stevan (1995). The Post-Gutenberg Galaxy: How to Get There from Here. The Information Society 11, no. 4: 285-291. http://cogprints.ecs.soton.ac.uk/archive/00001689/00/thes.html --- 1996. Implementing Peer Review on the Net: Scientific Quality Control in Scholarly Electronic Journals. 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D-Lib Magazine 5, no. 12 http://www.dlib.org/dlib/december99/12harnad.html --- (2000). Freeing the Refereed Journal Corpus Online. Computer Law Security Report 16, no. 2: 78-87. http://cogprints.ecs.soton.ac.uk/archive/00001701/index.html --- (2001). Minotaur: Six Proposals for Freeing the Refereed Literature Online: A Comparison. Ariadne, no. 28. http://www.ariadne.ac.uk/issue28/minotaur/ --- (2001/3). For Whom the Gate Tolls? Open Access to Peer-Reviewed Research Through Author/Institution Self-Archiving: Maximizing Research Impact by Maximizing Online Access. In: Law, Derek Judith Andrews, Eds. Digital Libraries: Policy Planning and Practice. Ashgate Publishing 2003. http://cogprints.soton.ac.uk/documents/disk0/00/00/16/39/index.html --- (2003). Open Access to Peer-Reviewed Research through Author/Institution Self-Archiving: Maximizing Research Impact by Maximizing Online Access. Journal of Postgraduate Medicine 49, no. 4: 337-342. http://www.jpgmonline.com/article.asp?issn=0022-3859;year=2003;volume=49;issue=4;spage=337;epage=342;aulast=Harnad --- (2003). Maximizing University Research Impact through Self-Archiving. JCOM: Journal of Science Communication 2, no. 4. http://jcom.sissa.it/article/art020401.html --- (2003). The Research-Impact Cycle. Information Services Use 23, no. 2-3: 139-142. --- (2003). Self-Archive Unto Others as Ye Would Have Them Self-Archive Unto You. JCOM: Journal of Science Communication 2, no. 3. http://jcom.sissa.it/focus/foc020303.html --- (2003). Electronic Preprints and Postprints. Encyclopedia of Library and Information Science Marcel Dekker, Inc. http://www.ecs.soton.ac.uk/~harnad/Temp/eprints.htm --- (2003). Online Archives for Peer-Reviewed Journal Publications. International Encyclopedia of Library and Information Science. John Feather Paul Sturges (eds). Routledge. http://www.ecs.soton.ac.uk/~harnad/Temp/archives.htm --- (2003). Back to the Oral Tradition Through Skywriting at the Speed of Thought. Interdisciplines. http://www.interdisciplines.org/defispublicationweb/papers/6 --- (2005) Fast-Forward on the Green Road to Open Access: The Case Against Mixing Up Green and Gold. Ariadne 42. http://www.ariadne.ac.uk/issue42/harnad/ --- (2006) Publish or Perish Self-Archive to Flourish: The Green Route to Open Access. ERCIM News 64. http://eprints.ecs.soton.ac.uk/11715/ --- (2006) Maximizing Research Impact Through Institutional and National Open-Access Self-Archiving Mandates. In Proceedings of CRIS2006. Current Research Information Systems: Open Access Institutional Repositories (in press), Bergen , Norway . Jeffrey, K., Eds. http://eprints.ecs.soton.ac.uk/12093/ --- (2006) Opening Access by Overcoming Zeno's Paralysis, in Jacobs, N., Eds. Open Access: Key Strategic, Technical and Economic Aspects, chapter 8. Chandos. http://eprints.ecs.soton.ac.uk/12094/ Harnad, Stevan, Les Carr, and Tim Brody. How and Why to Free All Refereed Research from Access- and Impact-Barriers Online, Now. High Energy Physics Libraries Webzine, no. 4 (2001). http://library.cern.ch/HEPLW/4/papers/1/ Harnad, Stevan, and Matt Hemus. All or None: No Stable Hybrid or Half-Way Solutions for Launching the Learned Periodical Literature into the Post-Gutenberg Galaxy. In The Impact of Electronic Publishing on the Academic Community: An International Workshop Organized by the Academia Europaea and the Wenner-Gren Foundation, dited by I. Butterworth. London : Portland Press, 1998. http://www.portlandpress.com/pp/books/online/tiepac/session1/ch5.htm Harnad, S., Carr, L., Brody, T. Oppenheim, C. (2003) Mandated online RAE CVs Linked to University Eprint Archives: Improving the UK Research Assessment Exercise whilst making it cheaper and easier. Ariadne. http://www.ecs.soton.ac.uk/~harnad/Temp/Ariadne-RAE.htm Harnad, S., Brody, T., Vallieres, F., Carr, L., Hitchcock, S., Gingras, Y, Oppenheim, C., Stamerjohanns, H., Hilf, E. (2004) The Access/Impact Problem and the Green and Gold Roads to Open Access. Serials Review 30. http://www.ecs.soton.ac.uk/~harnad/Temp/impact.html Harnad, S. Brody, T. (2004) Comparing the Impact of Open Access (OA) vs. Non-OA Articles in the Same Journals, D-Lib Magazine 10 (6) June http://www.dlib.org/dlib/june04/harnad/06harnad.html Japanese translation http://www.nii.ac.jp/metadata/irp/harnad/ Sale , Arthur (2006) Researchers and institutional repositories, in Jacobs, Neil, Eds. Open Access: Key Strategic, Technical and Economic Aspects, chapter 9, pages 87-100. Chandos Publishing ( Oxford ) Limited. http://eprints.comp.utas.edu.au:81/archive/00000257/ Sale , Arthur (2006) Comparison of IR content policies in Australia . First Monday 11(4). http://eprints.comp.utas.edu.au:81/archive/00000264/ Sale , Arthur (2006) The impact of mandatory policies on ETD acquisition. D-Lib Magazine 12(4). http://eprints.comp.utas.edu.au:81/archive/00000267/ Sale , Arthur (2006) Generic Risk Analysis - Open Access for your institution. Technical Report, School of Computing, University of Tasmania . http://eprints.comp.utas.edu.au:81/archive/00000266/ Sale , Arthur (2006) Maximizing the research impact of your publications. Technical Report, School of Computing, University of Tasmania . http://eprints.comp.utas.edu.au:81/archive/00000279/ Shadbolt, N., Brody, T., Carr, L. and Harnad, S. (2006) The Open Research Web: A Preview of the Optimal and the Inevitable, in Jacobs, N., Eds. Open Access: Key Strategic, Technical and Economic Aspects, chapter 21. Chandos. http://eprints.ecs.soton.ac.uk/12453/ Swan, A. (2005) JISC Open Access Briefing Paper. Technical Report, JISC, HEFCE. http://eprints.ecs.soton.ac.uk/11005/ Swan, A. (2005) Open access self-archiving: An Introduction. Technical Report, JISC, HEFCE. http://eprints.ecs.soton.ac.uk/11006/ Swan, A. (2006) Overview of scholarly communication, in Jacobs, N., Eds. Open Access: Key Strategic, Technical and Economic Aspects, chapter 1. Chandos. http://eprints.ecs.soton.ac.uk/12427/ Swan, A. (2006) The culture of Open Access: researchers views and responses, in Jacobs, N., Eds. Open Access: Key Strategic, Technical and Economic Aspects, chapter 7. Chandos. http://eprints.ecs.soton.ac.uk/12428/ Swan, A. and Brown, S. (2004) ISC/OSI JOURNAL AUTHORS SURVEY Report. Technical Report, JISC, HEFCE. http://eprints.ecs.soton.ac.uk/11002/ Swan, A. and Brown, S. (2004) Authors and open access publishing. Learned Publishing 17(3) pp. 219-224. http://eprints.ecs.soton.ac.uk/11003/ Swan, A. and Brown, S. (2005) Open access self-archiving: An author study. Technical Report, External Collaborators, Key Perspectives Inc. http://eprints.ecs.soton.ac.uk/10999/ Swan, A., Needham, P., Probets, S., Muir, A., Oppenheim, C., OBrien, A., Hardy, R., Rowland, F. and Brown, S. (2005) Developing a model for e-prints and open access journal content in UK further and higher education. Learned Publishing 18(1) pp. 25-40. http://eprints.ecs.soton.ac.uk/11000/ Swan, A., Needham, P., Probets, S., Muir, A., Oppenheim, C., OBrien, A., Hardy, R. and Rowland, F. (2005) Delivery, Management and Access Model for E-prints and Open Access Journals within Further and Higher Education. Technical Report, JISC, HEFCE. http://eprints.ecs.soton.ac.uk/11001/ 取自 http://www.wiki.cn/wiki/Self-archiving
隆重推荐：带注解的灰色文献目录 灰色文献是指未正式出版的材料，主要是由政府部门、研究院所、商业机构、产业部门等发布的印刷版和电子版形式的各类报告和材料。实际上，我们读到的除期刊和图书以外的一切文献都可看作是灰色文献。在网络信息时代，灰色文献的数量和作用与日俱增。灰色文献可以填补读者的知识空隙，为读者提供某个主题更多相关的详细背景材料，扩大视野。灰色文献十分有用，但往往难以获取。本文搜集介绍的网站包括大量关于灰色文献的目录信息，既有纸质文献又有电子文档。该网页还提供通过因特网获取不同学科领域灰色文献的科学站点，涉及学科领域包括农业、生物、生物技术、化学、物理学、工程、环境、能源及能源政策、综合科学、人类基因组计划、医学、气象学、营养与饮食、野生动植物、动物学，等等。而且，该网站仍在逐步完善中，不断更新增加许多新的内容。 网址： http://personal.ecu.edu/cooninb/greyliterature.htm Grey Literature: an annotated bibliography prepared by the STS Subject Bibliographic Access Committee June 2003 (a work in progress) I. Introduction 2. Bibliography 3. Selected Grey Literature Science Sites on the World Wide Web 4. Members of the Committee
什么是灰色文献（ Grey Literature ）？ 关于灰色文献的定义很多，但许多定义都没有全面概括灰色文献的特点。综合已有文献，笔者归纳出灰色文献的定义并做出相关阐释。 灰色文献通常指不经赢利性出版商控制，而由各级政府、科研院所、学术机构、工商业界等所发布的非秘密的、不作为正常商业性出版物出售而又难以获取的各类印刷版与电子版文献资料。 灰色文献（ Grey literature ）是相对于白色文献（ White literature ）和黑色文献（ Black literature ）而言的。 白色文献 通常是指公开出版发行且具有国际标准刊号（ ISSN ）或国际标准书号（ ISBN ）的正式出版物。黑色文献是指不对外公开、具有完全 保密性 质的文献。而灰色文献是指介于白色文献与黑色文献之间的文献，虽然已经发行但很难从一般图书销售渠道和常规方式获得。 灰色 文献是一类内容复杂、报道迅速、信息量大、流通范围却较狭窄的情报资料。通常也指一些非公开发表的内部资料，如学术研讨会论文、 会议记录 科技报告、内部刊物、科研成果等。灰色文献还指一些短暂存留用完后一段时间内就销毁的文献。 灰色文献包括预印本、工作论文、专题论文与学位论文、研究与技术报告、会议论文集、部门及研究中心的时事通讯与公告、基金申请报告、提交给基金机构的反映项目进展的阶段性报告、委员会报告与备忘录、统计报告、技术文件、调查报告、工具手册及宣传册等。 资料链接：关于灰色文献的几个英文定义 The Fourth International Conference on Grey Literature in Washington, DC, in October 1999 defined grey literature as follows: That which is produced on all levels of government, academics, business and industry in print and electronic formats, but which is not controlled by commercial publishers. In general, grey literature publications are non-conventional, fugitive, and sometimes ephemeral publications. They may include: non-commercial translations, unauthorized copies of works and unauthorized facsimiles of works. Grey literature is generally produced for the purpose of the dissemination of information; it is extremely rare that such material commands a purchase price, except when arriving at second hand dealers. 1 Material that is not commercially published is often referred to as grey literature: Publications produced at all levels by government both in print and electronic formats, but which are not controlled by commercial publishing interests, and where publishing is not the primary business activity of the organization . Grey Literature 99 Conference. Washington DC (1999). http://www.istl.org/99-fall/conf2.html . 2 Grey literature was for many years synonymous with 'reports literature'. At the turn of the century, documents evolving out of research and development, particularly from the aircraft and aeronautics industries were a very important means of communicating the results of research testing (Augur 1989, 12). One such report from 1915 was called The Behaviour of Aeroplanes in Gusts, the first report written by NASA (Augur 1989, 13). However, it was the onslaught of World War Two which had the greatest impact on report literature, transforming it into a major means of communication (Augur 1989, 12). 3 McKimmie, Tim and Joanna Szurmak. 2002. Beyond grey literature: how grey questions can drive research. Journal of Agricultultural and Food Information 4(2):71-79. The authors define grey literature as materials not identifiable through a traditional index or database. This includes clippings, reports, newsletters, personal files, listserv queries, consultations and personal contacts, and periodicals not cited in databases. Grey literature is an important component of most disciplines and often raise grey questions that offer additional approaches to a research agenda. Grey literature fills the information or knowledge gaps that readers do not get from a narrowly focused journal article. 4 Grey literature is literature that has not been formally published.
美国 NIH 公共存取政策自 4 月 7 日 开始强制实施 2008 年 4 月 7 日 ，美国国家卫生研究院（ US National Institutes of Health ， NIH ）强制性实施的公共存取政策 ( Public Access Policy ) 正式生效。该政策要求受 NIH 资助开展研究而产出的经同行评审的最终版本论文均应开放存档到指定的开放存取的文档库 PubMed Central 中，并使之在发表后至多 12 个月内可供公众免费获取。 附：公共存取政策 Revised Policy on Enhancing Public Access to Archived Publications Resulting from NIH-Funded Research Notice Number: NOT-OD-08-033 - (See Notice NOT-OD-08-057 ) Key Dates Release Date: January 11, 2008 Effective Date: April 7, 2008 Issued by National Institutes of Health (NIH), ( http://www.nih.gov/ ) Department of Health and Human Services Action Notice; Revised Policy Statement Summary In accordance with Division G, Title II,Section 218 of PL 110-161 (Consolidated Appropriations Act, 2008), the NIH voluntary Public Access Policy ( NOT-OD-05-022 ) is now mandatory. The law states: The Director of the National Institutes of Health shall require that all investigators funded by the NIH submit or have submitted for them to the National Library of Medicines PubMed Central an electronic version of their final, peer-reviewed manuscripts upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication: Provided, That the NIH shall implement the public access policy in a manner consistent with copyright law. Specifics The NIH Public Access Policy applies to all peer-reviewed articles that arise, in whole or in part, from direct costs funded by NIH, or from NIH staff, that are accepted for publication on or after April 7, 2008. Institutions and investigators are responsible for ensuring that any publishing or copyright agreements concerning submitted articles fully comply with this Policy. PubMed Central (PMC) is the NIH digital archive of full-text, peer-reviewed journal articles. Its content is publicly accessible and integrated with other databases (see: http://www.pubmedcentral.nih.gov/ ). The final, peer-reviewed manuscript includes all graphics and supplemental materials that are associated with the article. Beginning May 25, 2008, anyone submitting an application, proposal or progress report to the NIH must include the PMC or NIH Manuscript Submission reference number when citing applicable articles that arise from their NIH funded research. This policy includes applications submitted to the NIH for the May 25, 2008 due date and subsequent due dates. Compliance Compliance with this Policy is a statutory requirement and a term and condition of the grant award and cooperative agreement, in accordance with the NIH Grants Policy Statement For contracts, NIH includes this requirement in all RD solicitations and awards under Section H, Special Contract Requirements, in accordance with the Uniform Contract Format. 更多详情请参阅NIH网站的FAQ： http://publicaccess.nih.gov/FAQ.htm
推荐新书：既是 OA 的，又可 OA 的 由印度人 Anup Kumar Das 编著，联合国教科文组织 UNESCO 出版的关于开放存取（ Open access ）的专著 《知识与信息的开放存取：学术文献与数字图书馆首倡 - 南亚背景》 （博主拙译，请以原著为准）已经正式出版。兹提供书目信息、序言、目录如下。该书内容是关于开放存取的，其全文也是可以免费开放获取的。感兴趣的朋友可以免费下载全文。下载地址： http://openmed.nic.in/2789/ . Open Access to Knowledge and Information: Scholarly Literature and Digital Library Initiatives The South Asian Scenario Anup Kumar Das Edited by: Bimal Kanti Sen and Jocelyne Josiah UNESCO 2008 ISBN 978-81-89218-21-8 This publication may be reproduced in any media appropriately acknowledging UNESCO and the authors. Design, Typesetting Graphics: Nikhil Offset Printers, New Delhi Published by: The United Nations Educational Scientific Cultural Organization (UNESCO) UNESCO House B-5/29, Safdarjung Enclave New Delhi 110029 India Phone: +91-11-26713000 Fax: +91-11-26713001/2 Email: newdelhi@unesco.org Disclaimer The authors are responsible for the choice and the presentation of the facts contained in this publication and for the opinions expressed therein, which are not necessarily those of UNESCO and do not commit the Organization. The designations employed and the presentation of materials throughout the publication do not imply the expression of any opinion whatsoever on the part of UNESCO concerning the legal status of any county, territory, city or area or of its frontiers or boundaries. Foreword Universal access to information and knowledge lies UNESCO's overall mandate to promote the free flow of information by word and by image and thus to place information and knowledge at the doorsteps of communities. UNESCO strives to forge an enabling environment to facilitate and open up avenues for universal access to information and knowledge. Open Access to information and knowledge is an innovative mode of scholarly communication within the digital environment aimed at achievement of universal access to information and knowledge. While Open Access helps digital inclusion of citizens in developing countries by bringing within easy reach full-text contents of scholarly works, documentary heritage collections and development-related literature, the Digital Library remains a knowledge repository of such citizens, indigenous people, communities and institutions. Open Access to knowledge is a model adopted by many international and intergovernmental fora, such as the World Summit on the information Society (WSIS), for disseminating full-text contents to online communities. The South Asia sub-region is now in the forefront of the Open Access movement within developing countries in the world, with India being the most prominent partner in terms of its successful Open Access and Digital Library initiatives. Institutional and policy frameworks in India also facilitate innovative solutions for increasing international visibility and accessibility of scholarly literature and documentary heritage in this country. This publication has its genesis in the recommendations and proceedings of UNESCO-supported international conferences and workshops including the 4th International Conference of Asian Digital Libraries (ICADL2001, Bangalore); the International Conferences on Digital Libraries (ICDL2004 ICDL2006, New Delhi); and the International Workshop on Greenstone Digital Library software (2006, Kozhikode), where many information professionals of this sub-region demonstrated their Digital Library and Open Access Initiatives. It discusses successful activities in the South Asia subregion bringing closer to the worldwide audience, the subject of access to scholarly literature and documentary heritage. This may thus be considered an authoritative source-book on Open Access Development in this sub-region. Jocelyne Josiah Adviser in communication and information for Asia UNESCO New Delhi Contents Introduction 1 Digital Library Initiatives 7 Open Courseware Initiatives 43 Open Access Journals 56 Metadata Harvesting Services 69 National-Level Open Access Repositories 83 Institutional Repositories 96 Conclusion 128 References 129 Annexure 130 Book Chapters Index 133 Other Useful Open Access Resources and Knowledge Portals 136
摘 要 ：对世界上第一个独立的基于赢利模式的开放存取期刊出版商 BioMed Central 进行了案例研究。具体介绍和分析了 BioMed Central 的产生背景，所创办的开放存取期刊的特点、对作者的要求、被 Thompson ISI 收录情况及影响、运营模式与质量控制措施。最后总结了 BioMed Central 的成功经验及对中国科技学术期刊的启示，提出了中国科技学术期刊实现开放存取出版的政策建议。 关键词 ：开放存取；开放存取期刊； BioMed Central ； 赢利模式；科技学术期刊 PDF 全文开放存取 -Open access to Full-text PDF 基于赢利模式的开放存取期刊出版：BioMed Central案例研究
摘要：随着开放存取（ Open Access ，简称 OA ）运动的发展，产生了许多实现开放存取的模式和途径。开放存取期刊是实现开放存取的金色之路，文章重点研究了中国科技学术期刊实现开放存取出版的模式。借鉴国外的研究成果，探索总结出中国科技学术期刊实现开放存取出版 3 大类模式共计 11 种具体模型：第一类为传统印刷期刊 + 后印本存档模式，具体包括 个人主页开放存取、个人博客开放存取、网络集成代理开放存取和电子印本开放存取仓储 4 种模型；第二类为 混合型 OA 期刊模式，包括双重模式开放存取、延迟开放存取、部分开放存取、开放存取索引 4 种模型；第三类为创建型 OA 期刊模式，具体包括基于作者付费的开放存取、受资助的开放存取和多元融资模式的开放存取期刊 3 种模型。 关键词 ： 开放存取；开放存取期刊；开放存取模式 ； 科技学术期刊；混合型 OA 期刊； 创建型 OA 期刊 PDF 全文开放存取 -Open Access to Full-text PDF 中国科技学术期刊的开放存取出版模式研究
笔者研究开放存取，在北大完成关于开放存取的博士论文时，搜集整理了可开放获取的免费学术资源，包括开放存取期刊、学科仓储、机构仓储、合作与竞争性电子出版资源、开放存取仓储搜索以及其他开放存取资源。今提供与各位学人分享，以期为缓解从事研究的研究生和科研人员获取资料之难提供一些线索。PDF版在附件中。 可开放获取的免费学术资源 I 开放存取期刊（ Open Access Journals ） 1 BioMed Central 系列期刊（ 180余 种） . http://www.biomedcentral.com/ . 2 PLoS 系列期刊（7 种）。 http://www.plos.org/journals/index.html . 3 Hindawi Publishing Corporation （115 种） . http://www.hindawi.com/index.html . 4 Directory of Open Access Journals(约3300 种 ). http://www.doaj.org . 5 Open J-Gate( 由印度信息公司 2006 年创建的开放存取期刊门户，收录44 00 多种开放存取期刊，其中23 00 多种是同行评审期刊，可以浏览 100 多万篇期刊论文的全文，每年以 30 万篇论文的速度更新 ). http://www.openj-gate.com/ . http://j-gate.informindia.co.in/ （还包括 14000 多种研究与专业电子期刊 ). 6 HINARI-Health InterNetwork Access to Research Initiative. http://www.who.int/hinari/en/ . HINARI 项目由世界卫生组织与主要出版商建立的向发展中国家（人均 GDP $100-3000 ）提供生物医学与卫生文献的项目，包括 3280 种期刊。 7 Health InterNetwork: http://www.healthinternetwork.org/scipub.php . Health InterNetwork 由联合国秘书长发起，世界卫生作之领导的旨在跨越健康领域数字鸿沟的项目，推动卫生信息与技术的广泛传播与利用。 8 SciELO: http://www.scielo.br/ . 科学电子图书馆提供拉美国家科技期刊的开放访问。 9 FreeMedicalJournals.com: http://www.freemedicaljournals.com/ . 致力于通过因特网免费获取医学期刊论文的全文。已有 70 多种期刊，大多为延迟 OA 期刊。 II 开放存取仓储库（ OA Repositories or Archives ） 1 学科仓储（ Subject Repositories ） E-LIS - http://eprints.rclis.org/ (library and information science) ArXiv- http://xxx.arxiv.cornell.edu/ (physics, mathematics, non-linear and computer science) Cogprints- http://cogprints.ecs.soton.ac.uk/ (Cognitive sciences including psychology, neuroscience, linguistics and other related areas) CiteSeer - http://citeseer.ist.psu.edu/ (computer science) HTP Prints - http://htpprints.yorku.ca/ (History and theory of psychology) PubMedCentral - http://www.pubmedcentral.nih.gov/ (US National Library of Medicine's digital archive of life sciences journal literature. PhilSci Archive - http://philsci-archive.pitt.edu/ (philosophy of science) RePEc (Research Papers in Economics) Behavioral and Brain Sciences - An free open archive for papers in biology, neuroscience, computer science, psychology, linguistics, philosophy. Computing Research Repository (CoRR) - An open computer science repository, for preprints and papers that are not published elsewhere. IDEAS - IDEAS (Internet Documents in Economics Access Service) is an archive of working papers, journal articles, and software components in economics. The NASA Astrophysics Data System - http://adswww.harvard.edu/ .(300,000 free full-text articles). Preprint and Working Papers Archive - A listing of preprint and e-print archives for astronomy and astrophysics, chemistry, physics, computation and language, economics, nonlinear sciences and mathematics. Maintained by Stanford University . Psycoloquy - An Open Archive of refereed reprints of all target articles, commentaries and responses from Psycoloquy, a peer-reviewed journal of Open Peer Commentary, sponsored by the American Psychological Association , indexed in PsycINFO , and published since 1990. 2 机构仓储（ Institutional Repositories ） Digital Libraries and Archives Project - A digital library and archive for Virginia Tech, including electronic journals, images, and special collections. DSpace - Developed by MIT, DSpace is repository software designed to capture the intellectual output of an institution; available for free (currently) download and implementation by any library. rudit - A repository of prepublications, review articles, and theses, operated by three Quebec universities. eScholarship - The University of California 's repository of institutional publications, including digital journals, books, and working papers, organized by discipline. NELLCO - A legal scholarship repository from a group of 25 academic institutions in the U.S. , including the U.S. University of California system (Bepress) University of Connecticut (Digital Commons) Cornell (Dspace) Georgia Tech (Dspace) MIT (Dspace) University of Toronto (Dspace) Florida State University (BePress) University of Southampton (E prints) III 其他开放存取资源 FreeFullText.com. http://www.freefulltext.com/ . 提供 7000 多种学术期刊的直接链接，可以免费获取期刊论文的全文，有的可能需要免费注册。 Centers for Disease Control and Prevention (CDC) - The CDC Web site provides access to the full text of MMWR and other CDC publications and data archives. Publications are searchable through CDC Wonder. DOE Information Bridge -The Information Bridge provides an open source to full-text and bibliographic records of United States Department of Energy (DOE) research and development reports in physics, chemistry, materials, biology, environmental sciences, energy technologies, engineering, computer and information science, renewable energy, and other topics. The Information Bridge consists of full-text documents produced and made available by the Department of Energy National Laboratories and grantees from 1995 forward. GPO Access - The United States Government Printing Office offers free access to the United States Constitution, the Code of Federal Regulations, the Federal Register, Congressional documents, U.S. Supreme Court decisions, and other documents. GPO also provides links to other U.S. government Web sites that offer full text resources. Inter-university Consortium for Political and Social Research (ICPSR) -ICPSR is the world's largest archive of computerized social science data. Data files are available to researchers at member institutions. National Academy Press - Reports from the National Academy of Sciences, the National Academy of Engineering, the Institute of Medicine, and the National Research Council are available online free for the reading from the National Academy Press. National Center for Health Statistics (NCHS) - NCHS publishes statistical reports on health related issues and is a major source of health statistics. Hundreds of publications, including the full text of Health United States, are available through the Web site. National Environmental Publications Internet Site (NEPIS) -The National Environmental Publications Information System began in 1997, to offer over 9,000 full text, online documents of the United States Environmental Protection Agency. The National Science, Mathematics, Engineering, and Technology Education Digital Library (NSDL) - This site is now under construction with funding from the National Science Foundation. The NSDL will offer high-quality materials for science, mathematics, engineering and technology education. Its initial release is scheduled for the fall of 2002. The NSDL is likely to be the largest and most heterogeneous digital library yet built. NCSTRL -NCSTRL is an international collection of computer science research reports and papers made available for non-commercial use from a number of participating institutions and archives. NCSTRL provides access to over 20,000 technical reports in computer science. Project Gutenberg Electronic Public Library - Project Gutenberg produces electronic versions of texts in the public domain, mainly classic books. The project adds over 1,000 books per year. ResearchIndex - The NECI scientific literature digital library offers five million citations and over 400,000 full-text documents. Papers are derived from proceedings of symposia, journals, books, and other sources. Links to cited works and to comments from readers are available. Thomas Legislative Information on the Internet -Through Thomas, the Library of Congress offers the text of bills in the United States Congress, the full text of the Congressional Record, House and Senate committee reports, and historical documents. UNESCO -The UNESCO catalog lists 100,000 UNESCO documents and provides access to the full text of many of these. United States Geological Survey -Reports and other publications of the United States Geological Survey are available through the USGS Web site. World Bank Group Documents Reports -The World Bank Group makes more than 14,000 documents available through the Documents Reports website. Documents include Project appraisal reports, Economic and Sector Works, Evaluation reports and studies and working papers. IV 合作与竞争性电子出版 (Collaborative Competitive E-Publishing) BioOne -An aggregation of full text online bioscience journals published by small societies and non-commercial publishers. BioOne is the brainchild of five collaborating organizations: The American Institute of Biological Sciences (AIBS), SPARC (the Scholarly Publishing Academic Resources Coalition), The University of Kansas, Greater Western Library Alliance (formerly Big 12 Plus Libraries Consortium), and Allen Press, Inc. HighWire Press - HighWire, founded by Stanford University , ensures that scientific societies and responsible publishers will remain strong and able to lead the transition toward use of new technologies for scientific communication. HighWire assists in collaborating publishers and societies in the online publishing of scholarly journals so that the electronic versions provide added dimensions to the information provided in the printed journals. History E-Book Project - An electronic publishing initiative from the American Council of Learned Societies for books of high quality in the field of history. This project is a collaboration of learned societies and university presses to assist scholars in the electronic publishing of high-quality works in history, to explore the intellectual possibilities of new technologies, and to help assure the continued viability of the history writing in today's changing publishing environment. J-Stage - Collaborative effort to make available online the journals and research findings of scientific societies in Japan . Over 50 journals and conference papers and proceedings are available. For the journals, there is a variable time lag (embargo) from time of publication to availability free online. JSTOR - A digitized full text archive of scholarly journals starting with the very first issues up until 2-5 years previous to the present. JSTOR's mission is to help the scholarly community take advantage of advances in information technologies and to build a reliable and comprehensive archive of important scholarly journal literature. A collaborative effort funded by its participants, both academic institutions and publishers. Project Euclid - An initiative from Cornell University Library, in partnership with SPARC, to advance effective and affordable scholarly communication in theoretical and applied mathematics and statistics. Project Euclid partners with low-cost independent and society journals to provide online access to independent and society journals. Project Muse - Project Muse offers nearly 200 quality journal titles from some 30 scholarly publishers in the fields of literature and criticism, history, the visual and performing arts, cultural studies, education, political science, gender studies, economics, etc. Project Muse was launched by Johns Hopkins University Press and currently partners with not-for-profit publishers. SPARC - The Scholarly Publishing and Academic Resources Coalition is made up of over 180 member libraries whose goal is to foster competition in scientific communication. SPARC encourages publishers, including scholarly societies, to produce cost-conscious, high-quality journals that directly compete with existing high-cost titles. V 开放存取仓储搜索 ( Open Access Repository Searching) ARC: Cross Archive Searching Service - Arc is a unified search interface providing access to many OAI compliant archives. It is an experimental research service of Digital Library Research group at Old Dominion University . Department of Energy Preprint Network - The Department of Energy's PrePRINT Network is a searchable gateway to preprint servers with scientific and technical disciplines of concern to DOE. Directory of Open Access Repositories (DOAR) - aims to list and categorize academic open access research repositories. http://www.opendoar.org/ . Registry of Open Access Repositories (ROAR) - http://archives.eprints.org/ . E-Prints -Dedicated to the freeing of the refereed research literature online through author/institution self-archiving. Self-archiving software provided for free for individual or institutional use. This site is part of the Open Citation Project. Institutional Archives Registry - An effort to track the number and size of open-access eprint archives, from Tim Brody at the University of Southampton . MetaList of Open Access Eprint Archives - A broad overview of the structure, size and progress of full-text open access e-print archives, from Steve Hitchcock of Southampton University . OAIster - One of the most complete search engines of Open Access literature, from the University of Michigan . Open Citation Project - A NSF - JISC jointly funded project to investigate and improve citation linking and reference analysis for online scholarly literature; the 3year project ended in 2002. 可开放获取的免费学术资源
标签: 开放存取
