1. Open Access in Higher Education, Science and Scholarship
高等教育、科学与学术的开放获取
Open Access in the Natural Sciences / By Wolfgang Voges, Max Planck
Institute for Extraterrestrial Physics
自然科学的开放获取 / 沃夫冈·欧格（马普地外物理研究所）
Owing to the large number of disciplines and the extremely varied
ways of handling scientific knowledge, the willingness of scientists
to grant Open Access to research results is not uniform. The
arguments for and against the Open Access movement are complex and
sometimes controversial. Therefore a description and evaluation
granting every aspect of the argument the attention it deserves
cannot be given in this brief contribution. For example, there are
several fields where commercial considerations regarding inventions
and patent rights play such a large role that we cannot expect cost-
free access to research results and data, either now or in the
future.
由于学科数极多、处理科学知识的方法差异甚大，科学家对于将研究成果开放获取的意愿
并不一致，对开放获取运动赞成或是反对，情况相当复杂，有时还引起争议。因此，无法在此
短文中，对各个方面的论点给予描述和评论。例如，有几个领域，涉及发明和专利权，其商业
考虑起着很大的作用，因而我们不能指望在现在或未来能够免费获取其研究成果和数据。
I will limit myself to a rough description of the situation in the
fields of astronomy and astrophysics in which a differentiated but
predominantly positive attitude towards Open Access prevails.
Research results in publications are generally handled quite
liberally. Scientists wish to have their findings disseminated
quickly and widely in order to allow global discussion and thus
growth in knowledge. Electronic distribution and availability lend
themselves to this objective. In many areas of physics it has been
possible for years to make new publications awaiting peer review
available for free on an electronic pre-print server
(http://lanl.arXiv.org). So far, more than 415 000 e-prints have been
deposited there, and the much discussed problem of quality control
also seems to have been solved satisfactorily on this server.
我将只概略地谈谈天文学和天体物理学领域的情况，虽然两者对开放获取潮流的态度有所不
同，但总体上都采取积极的态度，通常对出版的研究成果，可以相当自由地处理。科学家希望
他们的发现能够快速且广泛的传播，引起全球的讨论，促进知识成长。电子传播与获取使他们
的目标容易达成。在物理学的许多领域，多年来一直可以在出版物于同行评审的同时，放在电
子预印本服务器（http://arxiv.org）供自由获取。至今已有超过 41.5 万件电子印本放置
于此服务器上，广受关注的质量控制问题，似乎也已获得圆满解决。
Particularly in the field of astronomy, every 10-15 years a new
generation of instruments provides more detailed data, permitting new
approaches and insights. This rapid turnover causes ‘old’ data to
lose some of their value. Their short lifespan requires research
results to be published quickly, to be freely accessible, and to be
speedily discussed.

2. 特别是天文学的领域，每 10-15 年，新一代工具提供更详细的数据，要求新的方法和见解。这
种快速的转换，导致“旧”数据失去既有的价值。这种短命现象，要求研究成果快速出版，可自
由获取，并迅速地讨论。
In my opinion, it is imperative to apply the Open Access philosophy
not just to publications but also to primary data. This includes, for
example, the provision of tools for data analysis, data mining and
for the presentation of data and results. However, the willingness to
make these data available at an early stage varies. While scientists
involved in space research have always ensured the early availability
and longterm safeguarding of their recorded data, this is not yet the
case for earth-bound observations. A frequent line of argument is
that financial means are only provided for the science itself and not
for services such as archiving data. The solution here is to change
the funders’ way of thinking, and to accustom scientists with the
need to take into account the cost of publishing data when planning
grant applications.
在我看来，当务之急不仅是将开放获取哲学应用至出版物，而且应用至原始数据，包括如提供
数据分析、数据挖掘及呈现数据和成果所需的工具。然而，对在研究过程的初期阶段就公开这
些数据的意愿各不相同。太空研究科学家总想确保尽早取得资料，并长期保护其记录下来的数
据，而观察地球的科学家就不同了。常见的争论是，财务手段只能提供科学本身所需，无法顾
及数据存档服务。这里提出的解决方案，是改变赞助者的思维方式及科学家的习惯，在申请资
助时，就考虑出版数据的费用需求。
A much-discussed issue in this context is the necessity for a certain
‘embargo period’ during which scientists would have the exclusive
right to evaluate ‘their’ data. Many publishers incorporate this type
of embargo period into copyright agreements. In this context,
scientists would favour a standardised and uncomplicated form that
they can fill out quickly.
讨论较多的议题是一定“禁锢期”的必要性，在此期间内，科学家有专属权以评估“他们的”数
据。许多出版社把这类“禁锢期”纳入版权合约里。在这方面，科学家倾向于有个标准化的简单
表格，让他们可以快速地填写。
There are already some examples of excellent Open Access journals
that can boast considerable impact factors (e.g. New Journal of
Physics, Journal of Cosmology and Astroparticle Physics, as well as
the Open Access journals of the European Geosciences Union). However,
their acceptance amongst scientists is still relatively low. At the
moment, traditional methods of publication are still preferred, since
some fear that otherwise their colleagues would not find and quote
their article. There is still much convincing to be done here and
incentives have to be created to promote the submission of
works to Open Access journals. Thus the Max Planck Society takes
responsibility for the fees required to publish work in the New
Journal of Physics. Traditional publishers should also examine the
various opportunities created by the electronic age in order to
introduce future products to the market that will appeal to the

3. scientific community and guarantee their survival. Together with the
scientists, the challenge should be accepted and new forms of
publication should be developed.
若干杰出的开放获取期刊已经拥有相当高的影响因子（如《新物理学杂志》、《宇宙论与天体
物理学学报》，以及欧洲地球科学联盟的开放获取期刊）。不过，它们在科学家中的接受度仍
相对较低。目前，传统出版方法仍更受亲睐，因为某些科学家担心，他们的同行可能找不到以
至不引用他们的文章。为了让科学家投稿给开放获取期刊，还要做许多令人信服的工作，并创
造一些激励机制。因此，马普学会承担在《新物理学杂志》出版作品所需的费用。传统的出版
商也应当考查电子时代创造的各种机会，把未来的产品介绍给市场，才能获得科学界的青睬，
并保证其生存。出版社应与科学家一起接受挑战，开发新的出版形式。
p. 80-81
开放获取 : 机会及挑战, http://tinyurl.com/dck7v9
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 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/Handbuc
h_Open_Access.pdf