1. Open Access and Quality Assurance / By Eberhard Bodenschatz, Max Planck Institute for Dynamics
and Self-Organisation, & Ulrich Pöschl, Max Planck Institute for Chemistry
開放近用與品質保證 / 依百克‧波丹奇特, 馬普學會動力與自我組織所 & 烏利胥‧波希爾, 馬普學
會化學所
Introduction•••••••••••••
導論
Publications are the central product and lasting legacy of scientific and scholarly research. They
document and explain discoveries and results in a precise fashion. While specialists are largely in a
position to judge the quality and informative value of publications,this is often difficult or impossible
for less experienced academics and those from outside the field. The quality of a publication lies in its
factual correctness, its reproducibility and in how it relates to the specialist literature.
出版品是科學與學術研究的主要產出和傳世之作, 它以精確的方式記載及解釋發明與結果。專家
很容易判斷出版品的品質和資訊價值, 但是對經驗不足的學者或外行人來說, 卻很困難或不可能
的事。出版品的品質在於事實的正確性、重複性, 以及與專家文獻的關聯。
In traditional academic publishing, quality assurance usually results from anonymous refereeing by
others working in the field (peer review). The editor or the editorial board of the journal or other
medium is responsible for choosing one or more referees and for the final decision on whether to
accept a manuscript for publication. In the course of the review process, manuscripts are usually edited
and improved, and only the revised manuscript is finally published.
傳統的學術出版，由同領域的其他人士以匿名審查方式(同儕評閱)確保其品質。學刊或其他媒
體的主編或編輯委員會負責挑選一個或多個評審, 並且決定接受出版與否。在審查過程中，手稿
通常被編輯和修改，最後, 只出版經過修訂的手稿。
Particularly in the natural sciences peer review is performed mostly electronically, using email and the
Web, including in classical journals. This traditional process can be transferred to Open Access
publications without change. The additional advantage of Open Access is that referees have unlimited
access to other relevant Open Access publications, including those from other academic fields, and that
it offers scope for new interactive approaches to quality assurance involving the whole academic
community(36).

2. 特別是自然科學領域, 包括知名的學刊在內, 多半以電子郵件、網頁等電子方式進行同儕評閱。
這種傳統程序, 可以不經改變地轉移至開放近用的出版品。開放近用還有其他優勢，評審可以無
限制地近用包括其他學術領域的開放近用出版品, 提供新的互動, 確保整個學術社群的品質(註
36)。
註 36: 參見 Baldwin, I., Brammer, M., Newmark, P., Pöschl, U., Schutz, B. & von der Lieth, C.,
‘Quality Assessment Working Group Statement’ [品質評鑑工作組聲明], Open Access Conference,
Berlin, 2003; David, P.A. & Uhlir, P. F., Creating the Information Commons for e-Science, Paris,
2005; Pöschl, U., 'Gemeinschaftliche Begutachtung’ [合作評鑑], in: Wissenschaftsmanagement
Special 1/2006 – Open Access, 6 (2006).
Overview of various quality assurance models•••••••••
品質保證模式概述
The Internet revolutionised scientific and scholarly publishing. For the first time in the history of
mankind, it is now possible for a person, at relatively little expense, to place information at the disposal
of abroad public worldwide, in other words, to publish it. These publications can then be retrieved at no
cost with the aid of a search engine. This process involves no quality assurance of any kind, and the
decision as to the correctness of the information is left to the reader alone. In academics, however,
often only specialists are in a position to judge the quality of a publication. The following list provides
a basic overview of different quality-assurance approaches which are conceivable or already in use for
Open Access publications. It makes no claim to completeness, especially since electronic publishing
allows a whole range of variations.
網際網路帶給科學與學術出版革命性的改變。歷史上的首次，一個人花少許的費用，就可能把
訊息公告在全球的公共區域，換句話說，出版它。經由搜尋引擎, 可以在不費成本的情況, 把這
些出版品找回來。這種程序不涉及任何品質保證，由讀者自行判斷資訊的正確性。在學術界，
祗有專家才有資格判斷出版品的品質。下面列出開放近用出版品準備或已經使用的各種品質保
證程序, 它不是完整的，電子出版本身就是多變的。
1. Peer review
同儕評閱

3. In this well-established model based on editors and anonymous specialist referees, articles are only
published after a non-public specialist review and revision process. Sometimes, however, original
manuscripts are published electronically as so-called ‘preprints’ before the completion of the peer
review process. This classical model is used by most Open Access journals.
在編者和匿名專家評審為基礎的模式下, 經過不公開專家評審及修訂程序後的論文, 才能被出
版。有時, 在完成全部同儕評閱之前, 先將手稿的電子版釋出, 稱為'印前本'; 大部份的開放近用學
刊採用此模式。
2. Collaborative peer review
協力同儕評閱
The publication and review process takes place publicly in two or more stages, starting with the
preprint or discussion stage. While original manuscripts are being reviewed by editors and anonymous
or known referees, readers can offer additional comments. With the editors’ approval, the authors have
the chance to publish improved versions on the basis of these reviews and comments.
從印前本或討論階段開始, 出版和評審的過程以兩階段方式公開進行。在編輯和匿名或具名評審
的審查過程裡，讀者可以同步提供其他的評論。通過編輯的審查後，作者可以根據評審的意見
及讀者的評論, 修改其論文。
3. Moderation
主持
Submitted manuscripts receive only a perfunctory review by a moderator. The original manuscript is
published if it appears not to contain any gross defects. Further revision is in the hands of the authors,
who can submit improved versions if they wish.
提交手稿由主持人概略審查, 祗要沒有嚴重的缺陷, 就可以出版。後續的修訂由作者自行決定。
4. Automatic assessment
自動評價

4. Publication of the manuscript goes ahead without any kind of quality assurance. An automatic
assessment on the basis of quality criteria comes later, e.g. number of citations, number of links to the
page, number of downloads, historical assessment of the authors, etc.
沒有經過品質保證, 就將手稿出版。經由自動評價基礎, 於出版後再加入評價，例如：引用次
數、連結次數、下載次數、作者的評價等。
5. Assessment by readers
讀者評價
Publication of the manuscript goes ahead without any kind of quality assurance; it is followed by an
assessment by readers, who can also make comments. These are published with the manuscript.
未經任何品質保證程序就出版, 接著才接受讀者的評價, 以及評論。直接把原來的手稿出版。
In practice, a whole variety of combinations of the above models is used. For example, traditional peer
review is used in the Open Access New Journal of Physics (NJP, www.njp.org), while the Open Access
journal Atmospheric Chemistry and Physics (ACP, www.atmos-chem-phys.org) combines
collaborative peer review with public discussion. This approach is presented in greater detail below.
實務上，多半係多種模式的組合。例如，新物理學刊採用傳統的同儕評閱制度, 大氣化學與物理
學刊則採用協力同儕評閱加公開評論, 詳細的做法如下。
Interactive Open Access publishing combined with collaborative peer review•••
互動式開放近用出版模式加上協力同儕評閱
The Open Access journal ACP and a growing number of sister journals of the European Geosciences
Union (EGU, www.egu.eu) practise a two-stage publication process comprising public peer review and
interactive discussion. In the first stage, manuscripts which have passed a rapid pre-selection procedure
by the editors known as ‘access review’ are published as discussion papers in the journal’s online
discussion forum (ACP Discussions, ACPD). The comments of referees commissioned by the editors
and additional comments by interested readers are published here together with the authors’ responses.

5. The specialist referees have the option of remaining anonymous. In the second stage, the revision and
refereeing of the manuscripts are completed as in the traditional peer-review process, if need be with
further revision and review. An article is not published in the journal as a final paper until the editors
have accepted a revised version of the manuscript. For the purposes of lasting documentation of
academic discourse, the discussion forum is also ISSN-registered, and all discussion papers and
comments are ermanently archived and individually quotable, regardless of whether or not they result
in final papers published in the journal(37).
開放近用的大氣化學與物理學刊和歐洲地球科學聯盟(EGU, www.egu.eu)的若干姐妹學刊, 採取
二階段出版程序; 首先, 由編者進行'近用評審'的快速預審程序, 通過預審的稿件被張貼在學刊的
網上論壇, 評審及讀者的意見都會被貼出來, 作者可以回應這些意見, 專家評審可以匿名或具名。
第二階段時, 再進行必要的傳統同儕評閱, 修改後的文稿必須被編者認可, 才會出版; 基於學術揭
露的原則, 論壇已取得國際標準期刊號, 所有討論的文章及評論都永久保存, 並可單獨被引用; 而
且, 論文登載與否都不影響論壇的內容(註 37)。
註 37 : Koop, T. & Pöschl, U., ‘An open, two-stage peer review journal’, Nature Web Debate on Peer
Review, 2006; Pöschl, U., ‘Interactive journal concept for improved scientific publishing and quality
assurance’, in: Learned Publishing 17 (2004), pp 105–113; Pöschl, U., ‘Open Access & Collaborative
Peer Review: Öffentliche Begutachtung und interaktive Diskussion zur Verbesserung von
Kommunikation und Qualitätssicherung in Wissenschaft und Gesellschaft’, in: iFQ Working Paper
No.1. 2006, pp 43–46.
The interactive two-stage process allows a combination of rapid communication and thorough quality
control, in addition to promoting academic discussion:
互動式的兩階段, 在推動學術討論之外, 還結合快速溝通和完整的品質控制:
1. Discussion papers allow authors to disseminate new results quickly. Readers can obtain up-to-date
information and opinions almost directly from the source.
將文稿交付討論，使作者得以快速傳播最新的成果。讀者亦可從源頭取得最新的資訊和意見。
2. Comments, suggestions and criticisms made by specialist referees are available to the whole
academic community and not just to authors and editors.

6. 專家評審給的意見、建議和批評, 可以讓整個學術社群看到, 不祗是給作者或編者參考。
3. The transparency of the review process deters the submission of poor-quality original manuscripts.
The resulting reduction in the number of rejected manuscripts and in the need for correction helps
relieve the pressure on available referee resources.
透明的評閱過程阻絕品質較差的稿件, 進而減少需要改正的稿件量, 減輕評審的壓力。
4. For interested readers, the setting out and documentation of controversial issues and supplementary
comments in the interactive discussion is often just as informative as the original article.
互動式討論對爭議問題的討論及補充意見, 對有興趣的讀者而言，與論文本身同樣具有資訊意
義。
5. The combination of traditional peer review with interactive public discussion leads to high quality
assurance and information density in the final papers.
結合傳統的同儕評閱和互動式的公開討論, 對於定稿的品質及資訊密度有相當幫助。
The practical feasibility of the interactive Open Access publishing concept is confirmed by the rapidly
growing number of articles and by citation statistics. Within five years, ACP achieved the highest
impact factor of any journal in the field of atmospheric research, as well as one of the highest in the
fields of earth and environmental sciences (ISI Journal Citation Report 2005).
從快速增長的論文數及引證統計資訊裡, 證實互動式開放近用出版概念是可行的。五年內，影響
係數最高的大氣研究論文落在大氣化學與物理學刊裡; 地球與環境科學領域內, 大氣化學與物理
學刊的論文也是影響係數較高的一群(ISI 學刊引文報告 2005)。
Initial doubts about the technical feasibility and academic value of the two-stage Open Access
publication process have been dispelled by its results. Many scientists working in the aforementioned
fields in Germany and worldwide are prepared to implement Open Access and collaborative peer
review, and in some cases are already actively involved. As with other innovative Open Access
publications, financial barriers were the major obstacle to establishing the ACP and its sister journals.
Because of the lack of availability of Open Access grants, the publication costs for the first few years
had to be borne from the EGU’s own funds. Most of the authors were not accustomed to the payment
of publication fees, which continue to constitute a competitive disadvantage vis-à-vis subscription-
financed journals.
這個結果, 打消對兩階段開放近用出版程序的懷疑, 不僅在技術上可行且具有學術價值。許多科
學家在德國和世界各地參與上述領域的工作, 準備把開放近用和協力同儕評閱付諸實現, 有些案

7. 子已經開始執行。其他新辦的開放近用出版品，財務是主要的障礙，大氣化學與物理學刊及其
姊妹刊物, 沒有這個困擾。不過, 由於缺乏開放近用的贊助, 開放近用學刊在創辦的前幾年都需要
歐洲地理科學聯盟的支持。大部分作者還不習慣的作者付費的模式，相對於付費學刊, 居於不利
的競爭地位。
Even so, the interactive Open Access publishing concept has since moved into other academic fields. It
can be applied to existing academic journals and to large-scale Open Access publishing systems. The
ACP approach has been adopted largely unchanged by, for example, the journal Economics
(www.economics-ejournal.org). Publishing forums that apply modified approaches to public peer
review and interactive discussion include PLoS One (www.plosone.org) and Biology Direct
(www.biology-direct.com) in the life sciences.
即便如此，互動式開放近用出版的概念，已經進入其他的學術領域。它適用於現有的學術期刊,
以及大型的開放近用出版系統。大氣化學與物理學刊的做法, 被經濟學家等學刊(www.economics
- ejournal.org)全盤照抄。生命科學領域的 PLoS One(www.plosone.org)和 Biology
Direct(www.biology-direct.com)學刊, 採用公開同儕評閱及互動式討論。
Conclusions•••••••••••••
結論
Open Access allows both the retention of traditional quality assurance by peer review and the
development and deployment of a whole variety of supplementary or alternative quality assurance
procedures. New approaches, such as the combination of collaborative peer review and public
discussion, can enhance the efficiency of quality assurance. These approaches would in principle also
be possible for articles published in traditional printed form, albeit at considerable financial and
technical outlay. Their practical implementation and dissemination is really only made practical by
electronic publishing and Open Access. Sometimes, the opinion is expressed that peer review is no
longer necessary in the age of the Internet and electronic publishing. However, experience shows that,
without peer review, the quality of publications varies considerably. Traditional or modified forms of
peer review therefore still seem to be necessary for the efficient quality assurance of Open Access
publications.
開放近用允許保留品質保證的傳統與同儕評閱制度, 也可以發展另一個補充或替代的品質保證程
序。結合協力同儕評閱和公開討論等方式的新辦法，可以強化品質保證的效率。原則上, 印本形
式的傳統學刊論文也可以採用這種辦法, 不過需要思考財務上和技術上變動。因為, 祗有在電子
出版及開放近用的前提下, 才能有這種作為。在網際網路和電了出版的時代, 有時公開的討論，
顯得同儕評閱是多餘的。然而，經驗顯示，沒有同儕評閱，出版品的品質差異很大。傳統或改
良後的同儕評閱, 似乎還是開近用出版物品質保證的有效方法。

8. p. 54-57
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