开放存取的理论基础—兼论许可协议
摘要
为了打破商业出版者对学术信息的垄断和暴利经营,缓解期刊价格危机、许可危机给学术交流和学术传播所带来的不利影响,近年来开放存取获得了蓬勃的发展。开放存取是通往乌托邦之路的梦想,这个梦想便是只要有网络就可以免费利用全世界的学术文献。然而在严酷的现实面前,这条路并不平坦,而是布满了礁石,险象环生。这些礁石的其中一块就是开放存取所面临的著作权问题。解决著作权问题是开放存取由理念走向现实的关键之一。本文主要从著作权利益平衡和著作权许可协议两个方面探讨了开放存取的哲学基础及其具体操作和实现,旨在对开放存取的合理性与合法性展开论证。
本文通过对传统学术交流系统中各方利益相关者现有利益的深入分析,认为传统学术交流模式中著作权的保护对作者和使用者(公众)都已产生了非常不利的影响,利益的天平已经严重向作为传播者的出版商倾斜,著作权保护的平衡状态被打破。为了重新达到作者、出版者和使用者之间的利益平衡状态,国际学术界、出版界和图书情报界发起了开放存取运动。开放存取的出现并不是要完全取代传统学术交流系统的出版模式,其目的只在于打破商业出版的垄断,为作者和使用者提供一些权利选择的新的可能,为三者之间著作权利益的平衡创造新的条件,从而促进社会文化和科学的发展与进步。
虽然开放存取的兴起是为了重新达到学术交流系统中各方利益相关者之著作权利益的平衡状态,但这并不意味着开放存取要彻底推翻现有的著作权制度。事实上,开放存取亦尊重著作权,是在现行的著作权制度框架内运行的。开放存取的法律基础,一则是著作权人的许可,二则是公共领域作品,且通常都是前者。所以,从法律上看,开放存取所涉及的各方利益相关者之间的著作权许可协议就成了实现开放存取的关键所在。
本文共分四个部分:第一部分是绪论,包括:本文将论述之问题的提出、开放存取和著作权这两个概念的界定以及当前国内外关于本文论题的研究现状。第二部分从著作权利益平衡的角度论述了开放存取的哲学基础,包括:著作权利益平衡原理、传统学术交流系统中著作权利益的失衡以及开放存取对学术交流系统著作权利益的平衡。第三部分从著作权许可协议的角度论述了开放存取的具体实现,包括:著作权许可使用制度基本理论以及在作者和使用者之间、作者和出版者之间、作者和知识库之间的开放存取著作权许可协议。第四部分是结束语,总结了本文的研究内容,并对研究中存在的问题以及本文的后续研究作出了说明。
Open Access (OA) is a response to the problems that publishers have caused libraries and researchers by escalating journal prices. The pricing crisis means that libraries must pay intolerable prices for journals. And in these two decades, there is a second crisis - the permission crisis. This crisis means that, even when they pay, libraries are hamstrung by licensing terms and software locks that prevent them from using electronic journals in the same full and free way that they may now use print journals. Together the two crises mean that libraries are paying much more in order to get much less. Together the two crises severely impede research. This is not just a problem for libraries and researchers. When research is impeded, so are all the benefits of research from medicines and technologies to environmental health, economic prosperity, and public safety. OA offers the dream of a "road to Utopia" with access to all of the world's scientific literature, free of charge to anyone with an internet connection. However, in the harsh light of reality, this road is rough, littered with sharp rocks, and is not clearly marked. Thus one of these rocks is the copyright.
The legal basis of OA is either the consent of the copyright holder or the public domain, usually the former. So OA does not require the abolition, reform, or infringement of copyright law. Nor does it require that copyright holders waive all the rights that run to them under copyright law and assign their work to the public domain. One easy, effective, and increasingly common way for copyright holders to manifest their consent to OA is to use one of the Creative Commons licenses. Many other open-content licenses will also work. Copyright holders could also compose their own licenses or permission statements and attach them to their works. When copyright holders consent to OA, usually they consent in advance to the unrestricted reading, downloading, copying, sharing, storing, printing, searching, linking, and crawling of the full-text of the work. Most authors choose to retain the right to block the distribution of mangled or misattributed copies. Some choose to block commercial re-use of the work. Essentially, these conditions block plagiarism, misrepresentation, and sometimes commercial re-use, and authorize all the uses required by legitimate scholarship, including those required by the technologies that facilitate online scholarly research.
本文通过对传统学术交流系统中各方利益相关者现有利益的深入分析,认为传统学术交流模式中著作权的保护对作者和使用者(公众)都已产生了非常不利的影响,利益的天平已经严重向作为传播者的出版商倾斜,著作权保护的平衡状态被打破。为了重新达到作者、出版者和使用者之间的利益平衡状态,国际学术界、出版界和图书情报界发起了开放存取运动。开放存取的出现并不是要完全取代传统学术交流系统的出版模式,其目的只在于打破商业出版的垄断,为作者和使用者提供一些权利选择的新的可能,为三者之间著作权利益的平衡创造新的条件,从而促进社会文化和科学的发展与进步。
虽然开放存取的兴起是为了重新达到学术交流系统中各方利益相关者之著作权利益的平衡状态,但这并不意味着开放存取要彻底推翻现有的著作权制度。事实上,开放存取亦尊重著作权,是在现行的著作权制度框架内运行的。开放存取的法律基础,一则是著作权人的许可,二则是公共领域作品,且通常都是前者。所以,从法律上看,开放存取所涉及的各方利益相关者之间的著作权许可协议就成了实现开放存取的关键所在。
本文共分四个部分:第一部分是绪论,包括:本文将论述之问题的提出、开放存取和著作权这两个概念的界定以及当前国内外关于本文论题的研究现状。第二部分从著作权利益平衡的角度论述了开放存取的哲学基础,包括:著作权利益平衡原理、传统学术交流系统中著作权利益的失衡以及开放存取对学术交流系统著作权利益的平衡。第三部分从著作权许可协议的角度论述了开放存取的具体实现,包括:著作权许可使用制度基本理论以及在作者和使用者之间、作者和出版者之间、作者和知识库之间的开放存取著作权许可协议。第四部分是结束语,总结了本文的研究内容,并对研究中存在的问题以及本文的后续研究作出了说明。
Open Access (OA) is a response to the problems that publishers have caused libraries and researchers by escalating journal prices. The pricing crisis means that libraries must pay intolerable prices for journals. And in these two decades, there is a second crisis - the permission crisis. This crisis means that, even when they pay, libraries are hamstrung by licensing terms and software locks that prevent them from using electronic journals in the same full and free way that they may now use print journals. Together the two crises mean that libraries are paying much more in order to get much less. Together the two crises severely impede research. This is not just a problem for libraries and researchers. When research is impeded, so are all the benefits of research from medicines and technologies to environmental health, economic prosperity, and public safety. OA offers the dream of a "road to Utopia" with access to all of the world's scientific literature, free of charge to anyone with an internet connection. However, in the harsh light of reality, this road is rough, littered with sharp rocks, and is not clearly marked. Thus one of these rocks is the copyright.
The legal basis of OA is either the consent of the copyright holder or the public domain, usually the former. So OA does not require the abolition, reform, or infringement of copyright law. Nor does it require that copyright holders waive all the rights that run to them under copyright law and assign their work to the public domain. One easy, effective, and increasingly common way for copyright holders to manifest their consent to OA is to use one of the Creative Commons licenses. Many other open-content licenses will also work. Copyright holders could also compose their own licenses or permission statements and attach them to their works. When copyright holders consent to OA, usually they consent in advance to the unrestricted reading, downloading, copying, sharing, storing, printing, searching, linking, and crawling of the full-text of the work. Most authors choose to retain the right to block the distribution of mangled or misattributed copies. Some choose to block commercial re-use of the work. Essentially, these conditions block plagiarism, misrepresentation, and sometimes commercial re-use, and authorize all the uses required by legitimate scholarship, including those required by the technologies that facilitate online scholarly research.
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