布达佩斯开放获取声明 Budapest Open Access Initiative,2002


Translated by Xin BI

Original URL of the BOAI 2002: http://www.budapestopenaccessinitiative.org/read

This translation is an open-access article distributed under the terms of the Creative Commons Attribution  License (https://creativecommons.org/licenses/by/4.0/) which permits unrestricted  distribution, and reproduction in any medium, provided the original work is properly cited.

Read the Budapest Open Access Initiative

An old tradition and a new technology have converged to make possible an unprecedented public good. The old tradition is the willingness of scientists and scholars to publish the fruits of their research in scholarly journals without payment, for the sake of inquiry and knowledge. The new technology is the internet. The public good they make possible is the world-wide electronic distribution of the peer-reviewed journal literature and completely free and unrestricted access to it by all scientists, scholars, teachers, students, and other curious minds. Removing access barriers to this literature will accelerate research, enrich education, share the learning of the rich with the poor and the poor with the rich, make this literature as useful as it can be, and lay the foundation for uniting humanity in a common intellectual conversation and quest for knowledge.

一项历史悠久的传统和新技术汇聚在一起,使得一件史无前例的公共利益成为可能。这一悠久传统就是科学家和学者们由于探究和知识的原因,希望能够在学术刊物上以无需付费的方式发表他们研究成果的的愿望。而这项新技术就是互联网。它们所促成的可能的公共利益就是经过同行评议的期刊文献在全世界范围内以电子形式进行分发,并且所有科学家、学者、教师、学生,以及其他求知的人们都可以完全自由地不受限制地访问这些文献。将置于这些文献之上的访问限制去除,将会促进研究,丰富教育, 在富裕或贫穷的人群之间分享学习,使文献的作用发挥到最大可能,为将人类基于共同的知性对话(common intellectual conversation)和对于知识的诉求的联合打好基础。

For various reasons, this kind of free and unrestricted online availability, which we will call open access, has so far been limited to small portions of the journal literature. But even in these limited collections, many different initiatives have shown that open access is economically feasible, that it gives readers extraordinary power to find and make use of relevant literature, and that it gives authors and their works vast and measurable new visibility, readership, and impact. To secure these benefits for all, we call on all interested institutions and individuals to help open up access to the rest of this literature and remove the barriers, especially the price barriers, that stand in the way. The more who join the effort to advance this cause, the sooner we will all enjoy the benefits of open access.

由于各种原因,这种免费的、无限制的、在线的文献获取形式,我们称之为开放获取(open access),到目前为止只有有限的一小部分的期刊采用。但是即使这些数量有限的期刊所表现出来的多种运行模式,已经展示出开放获取方式从经济的角度来看是切实可行的。这种获取形式给予了读者非凡的能力(extraordinary power),以查找并使用相关文献,并且给予作者和及其作品巨大的、可衡量的、新的可见度、读者和影响力。为了继续为所有人保持这些益处,我们呼吁所有感兴趣的机构和个人帮助开放获取其他还未开放的文献,去除这其中尚存的障碍,特别是价格障碍。参与努力促进开放获取运动的人越多,让所有人能够从开放获取收益的时刻就来临的越快。

The literature that should be freely accessible online is that which scholars give to the world without expectation of payment. Primarily, this category encompasses their peer-reviewed journal articles, but it also includes any unreviewed preprints that they might wish to put online for comment or to alert colleagues to important research findings. There are many degrees and kinds of wider and easier access to this literature. By “open access” to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited.

网络上应该被自由获取的文献是由学者们共享给这个世界的,而且没有要求任何报酬。基本上上述文献类别包括同行评价期刊论文,但是,也应该包括任何作者希望将其放在网络上,以征求意见或者提醒同行有关重要的研究发现的,没有经过同行评价的预印本。文献获取方式的广度和容易程度有着多种程度和类别。文献的开放获取,我们定义为在公共互联网上的免费可用(free availability),允许任何人阅读、下载、复制、分发、打印、检索、或者链接指向文章的全文,或者用于任何其他合法的目的,而没有除了网络本身所带来的无法避免的障碍以外的其他财务、法律、或者技术的障碍。对于复制以及分发的唯一限制,并且是在这一领域的知识版权的唯一作用,应该是给予作者其作品完整性的控制权,以及作者能够被正确的声明致谢并引用。

While the peer-reviewed journal literature should be accessible online without cost to readers, it is not costless to produce. However, experiments show that the overall costs of providing open access to this literature are far lower than the costs of traditional forms of dissemination. With such an opportunity to save money and expand the scope of dissemination at the same time, there is today a strong incentive for professional associations, universities, libraries, foundations, and others to embrace open access as a means of advancing their missions. Achieving open access will require new cost recovery models and financing mechanisms, but the significantly lower overall cost of dissemination is a reason to be confident that the goal is attainable and not merely preferable or utopian.


To achieve open access to scholarly journal literature, we recommend two complementary strategies.


  1. Self-Archiving: First, scholars need the tools and assistance to deposit their refereed journal articles in open electronic archives, a practice commonly called, self-archiving. When these archives conform to standards created by the Open Archives Initiative, then search engines and other tools can treat the separate archives as one. Users then need not know which archives exist or where they are located in order to find and make use of their contents.

I.自行存档(Self-Archiving):首先,学者们需要工具和协助将已评阅过的前文章保存在开放的电子存储库中,这是一种通常称之为自行存档的做法。如果这些文档符合开放文库计划(Open Archives Initiative)制定的标准,那么搜寻引擎和其他工具就可以将独立的文库作为一个整体来处理。用户不需要知道有哪些文库以及其存贮位置就可以使用其内容。

  1. Open-access Journals: Second, scholars need the means to launch a new generation of journals committed to open access, and to help existing journals that elect to make the transition to open access. Because journal articles should be disseminated as widely as possible, these new journals will no longer invoke copyright to restrict access to and use of the material they publish. Instead they will use copyright and other tools to ensure permanent open access to all the articles they publish. Because price is a barrier to access, these new journals will not charge subscription or access fees, and will turn to other methods for covering their expenses. There are many alternative sources of funds for this purpose, including the foundations and governments that fund research, the universities and laboratories that employ researchers, endowments set up by discipline or institution, friends of the cause of open access, profits from the sale of add-ons to the basic texts, funds freed up by the demise or cancellation of journals charging traditional subscription or access fees, or even contributions from the researchers themselves. There is no need to favor one of these solutions over the others for all disciplines or nations, and no need to stop looking for other, creative alternatives.

II.开放获取期刊(Open-access Journals):其次,学者们需要创办新一代开放获取期刊的方法,并且帮助现有的期刊完成面向开放获取的转变。由于期刊论文应该被尽可能广泛传播,这些新期刊将不再援引版权对于其发表的资料进行限制访问获取和使用。对已经出版的资料的存取不再有版权方面的限制。相反,他们将会使用版权和其他的工具来确保他们出版的所有论文可以永久地开放获取。因为价格是期刊获取的障碍,这些新期刊将不再收取订阅或者获取费用,将会转向其他方法来解决费用问题,在此方面有多种可替代的资助来源,包括基金会、资助研究的政府、雇用研究人员的大学和实验室、由学科或者协会设立的捐赠基金、开放获取事业的友人、对基本文本的附件销售的获益、也包括收取传统订阅费用或者存取费用的期刊的终止或者取消所释放出来的资金,甚至来源于研究人员自己。对于这些方案,对于所有学科和国家来说,没有必要一定要说那一个方案更好,也应该不断寻找其他的创新的选择。
Open access to peer-reviewed journal literature is the goal. Self-archiving (I.) and a new generation of open-access journals (II.) are the ways to attain this goal. They are not only direct and effective means to this end, they are within the reach of scholars themselves, immediately, and need not wait on changes brought about by markets or legislation. While we endorse the two strategies just outlined, we also encourage experimentation with further ways to make the transition from the present methods of dissemination to open access. Flexibility, experimentation, and adaptation to local circumstances are the best ways to assure that progress in diverse settings will be rapid, secure, and long-lived.


The Open Society Institute, the foundation network founded by philanthropist George Soros, is committed to providing initial help and funding to realize this goal. It will use its resources and influence to extend and promote institutional self-archiving, to launch new open-access journals, and to help an open-access journal system become economically self-sustaining. While the Open Society Institute’s commitment and resources are substantial, this initiative is very much in need of other organizations to lend their effort and resources.

由慈善家George Soros创建的基金网络开放社会研究所,承诺为实现这一目标提供初始帮助和资金。该基金将会运用其资源和影响来扩展并推广机构自行存档,创办新的开放获取期刊,并帮助开放获取期刊系统实现经济可持续发展。尽管开放社会研究所提供的资源和承担的义务是实质性的,这一计划也非常需要借力于其他组织的努力和资源。

We invite governments, universities, libraries, journal editors, publishers, foundations, learned societies, professional associations, and individual scholars who share our vision to join us in the task of removing the barriers to open access and building a future in which research and education in every part of the world are that much more free to flourish.


February 14, 2002
Budapest, Hungary

Leslie Chan: Bioline International
Darius Cuplinskas
: Director, Information Program, Open Society Institute
Michael Eisen
: Public Library of Science
Fred Friend
: Director Scholarly Communication, University College London
Yana Genova
: Next Page Foundation
Jean-Claude Guédon: University of Montreal
Melissa Hagemann
: Program Officer, Information Program, Open Society Institute
Stevan Harnad: Professor of Cognitive Science, University of Southampton, Universite du Quebec a Montreal
Rick Johnson
: Director, Scholarly Publishing and Academic Resources Coalition (SPARC)
Rima Kupryte: Open Society Institute
Manfredi La Manna
: Electronic Society for Social Scientists
István Rév: Open Society Institute, Open Society Archives
Monika Segbert: eIFL Project consultant
Sidnei de Souza
: Informatics Director at CRIA, Bioline International
Peter Suber
: Professor of Philosophy, Earlham College & The Free Online Scholarship Newsletter
Jan Velterop
: Publisher, BioMed Central

作者: Xin BI

University Librarian (BEng, Msc, Ph.D, FHEA)


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