https://blog.csdn.net/vbskj/article/details/73480224

什么是arXiv.org?

先看看來自wikipedia的定義：ThearXiv(pronounced"archive", as if the "X" were theGreek letterChi, χ) is anarchivefor electronicpreprintsofscientific papersin the fields ofmathematics,physics,computer science, quantitativebiologyandstatisticswhich can be accessed via theInternet. In many fields of mathematics and physics, almost all scientific papers are placed on the arXiv. As of 3 October 2008, arXiv.org passed the half-million article milestone, with roughly five thousand new e-prints added every month.[1]

不難看出arXiv.org是一個收錄科學(xué)文獻(xiàn)預(yù)印本的在線數(shù)據(jù)庫，目前包含了超過50萬篇文章，并且以每個月5000篇的速度增長著。目前，這個數(shù)據(jù)庫包含：數(shù)學(xué)，物理，計(jì)算機(jī)，非線性科學(xué)，定量生物學(xué)，定量財(cái)務(wù)以及統(tǒng)計(jì)學(xué)幾大分類。其最重要的特點(diǎn)就是“開放式獲取”，每個人都可以免費(fèi)地訪問全文數(shù)據(jù)。

arXiv.org的發(fā)展史

[SimuWorld注：本節(jié)引用自小羽毛的痕跡blog，感謝他提供的資源。]

arXiv.org最初創(chuàng)立于1991年，那個時候甚至連萬維網(wǎng)(WWW)都還不存在，但Paul Ginsparg的創(chuàng)造被證明很受他的同行們歡迎，高能物理學(xué)家們很快就接受了這種新的交流方式，并積極地參與進(jìn)來。并很快曼延到天體物理、凝聚態(tài)物理等其他領(lǐng)域。

物理學(xué)家群體之所以如此快地接受arXiv，這與職業(yè)物理學(xué)家一直以來的工作方式有關(guān)的。自從本世紀(jì)初，量子力學(xué)誕生以來，物理學(xué)家就一直處在“亢奮”的狀態(tài)，把新的量子力學(xué)運(yùn)用于更小的亞原子領(lǐng)域，或運(yùn)用于更大的固體物理，乃至整個宇宙被證明是個巨大的科學(xué)淘金運(yùn)動，重要的發(fā)現(xiàn)一個接一個，似乎永遠(yuǎn)不會間斷，因此用最快的速度交流理論和實(shí)驗(yàn)的進(jìn)展就成了大家的需求，而將文章發(fā)表，再從期刊上讀到同行的文章將會耽誤半年到一年的時間，這對工作在第一線的物理學(xué)家來說是不可忍受的，半年時間可能會把本來屬于自己的“光榮”拱手讓給自己的同行，甚至是獲得諾貝爾獎的機(jī)會。因此工作在最前沿的物理學(xué)家習(xí)慣于互相交換自己最新工作的論文預(yù)印本(preprint)，所謂預(yù)印本就是處在投稿前的已完成的科學(xué)論文。

如：我們在閱讀李楊的科學(xué)經(jīng)歷的時候，會發(fā)現(xiàn)早在上世紀(jì)50年代預(yù)印本就很流行，并且確實(shí)起到了促進(jìn)科學(xué)社群交流，加快科學(xué)進(jìn)步的作用。

...1956年 8月楊振寧收到了芝加哥大學(xué)歐米(R.Oehme)的信，此信是歐米看了楊振寧和李政道關(guān)于宇稱不守恒的預(yù)印本后寫的。此信導(dǎo)致了他們?nèi)擞?956年底所寫的一篇文章，文章中將字稱不守恒的考慮推廣到電荷共軛不守恒與時間反演不守恒。這篇文章奠定了以后討論ß衰變中三種不守恒現(xiàn)象的基礎(chǔ)。...

因此工作在最前沿的物理學(xué)家本來就有使用預(yù)印本的習(xí)慣，而Ginsparg工作的真正意義是把它們集中地放到互聯(lián)網(wǎng)上，使每個物理學(xué)家都有機(jī)會接觸到這些本來是私人之間流傳，只有小圈子精英物理學(xué)家才能讀到的預(yù)印本。而有了arXiv之后，每個物理學(xué)家，特別是來自“第三世界”物理學(xué)家在獲取最重要科研動態(tài)的方面，不再那么落后了，時差幾乎不存在了，而從前這個時間差至少是一年，許多最重要的工作已經(jīng)被別人做完了，你才知道一年前的進(jìn)展。

從這個角度arXiv的意義是重大的，它使全世界的物理學(xué)研究“一體化”了，不論你是在英國劍橋、波蘭克拉考或印度加爾各答，你都將有機(jī)會第一時間知道物理學(xué)領(lǐng)域最新的進(jìn)展。而最近物理學(xué)在超弦、超導(dǎo)等熱門領(lǐng)域的巨大進(jìn)展，無不與arXiv聯(lián)系在一起。Ginsparg也因此獲得了2002年的麥克阿瑟獎。

從以上敘述，我們可看出來Ginsparg的工作可以說是在無意識中就改變了物理學(xué)家交流的方式，并一舉獲得成功。當(dāng)然隨著互聯(lián)網(wǎng)的普及，預(yù)印本文庫也逐漸開始碰到新問題，拋開版權(quán)等問題不說，我們主要討論預(yù)印本文庫的“質(zhì)量控制”問題。

在arXiv的誕生之初，“質(zhì)量控制”并不是問題，因?yàn)樗墓芾碚吆褪褂谜呷渴且涣鞯母吣芪锢韺W(xué)家。預(yù)印本的上傳、批準(zhǔn)等全部是自動完成的。甚至它的讀者也全部是高能物理學(xué)家或未來的高能物理學(xué)家。但隨著arXiv的知名度越來越大，可以使用互聯(lián)網(wǎng)的普通用戶越來越多，這種狀況也在逐漸改變。但arXiv的調(diào)整仍然不是很大，如果你有一個合法的所屬科研單位（通過Email地址判斷）即可。即arXiv不是一個向大眾完全開放的社區(qū)，如果你要發(fā)言，必須證明你是來自學(xué)術(shù)科研機(jī)構(gòu)的，需要有個.edu后綴Email地址做為注冊地址。其他則依然照舊，自動提交，自動批準(zhǔn)，沒有人去審核提交文章的質(zhì)量和相關(guān)度。這種“無為而治”的方法還是頗為成功的，雖然存在少數(shù)垃圾文章，但我們極少碰到。

只到2004年1月，隨著越來越多的預(yù)印本被提交，arXiv才逐步引入審核機(jī)制，要求不活躍的研究者在提交預(yù)印本時需得到該領(lǐng)域活躍研究者的認(rèn)可。arXiv這樣做的主要目的是為了保持預(yù)印本文庫對該領(lǐng)域科學(xué)家的可用性，保證文章的相關(guān)度和基本的質(zhì)量。arXiv從誕生之日起，其定位就是為職業(yè)科學(xué)工作者服務(wù)的，因此arXiv“封殺業(yè)余研究者”也就顯得可以理解了。

arXiv.org的前身是xxx.lanl.gov，堪稱是開放獲?。∣pen Access）運(yùn)動的先驅(qū)，其創(chuàng)始人是Paul Ginsparg，關(guān)于Ginsparg與arXiv.org的故事可以從下面這個網(wǎng)址讀到：

http://www.qiji.cn/news/open/2003/11/28/20031128232449.htm

附預(yù)印本說明：

預(yù)印本（Preprint）是指科研工作者的研究成果還未在正式出版物上發(fā)表，而出于和同行交流目的自愿先在學(xué)術(shù)會議上或通過互聯(lián)網(wǎng)發(fā)布的科研論文、科技報(bào)告等文章。與刊物發(fā)表的文章以及網(wǎng)頁發(fā)布的文章比，預(yù)印本具有交流速度快、利于學(xué)術(shù)爭鳴、可靠性高的特點(diǎn)。

訪問arXiv.org的途徑

arXiv.org在全球有許多鏡像站，可以方便身處世界各地的科研工作者下載文獻(xiàn)。此外，有很多文獻(xiàn)檢索服務(wù)都是基于arXiv的數(shù)據(jù)的，如CiteBase。在中國中科院理論所也擁有一個鏡像(cn.arxiv.org)。海外的鏡像可以從下面的wikipedia引用文字看到一些。當(dāng)然一個更方便的方法也是存在的，那就是使用google來直接檢索（google可以指定檢索網(wǎng)站）。很多時候，當(dāng)你在google搜索中直接輸入論文的關(guān)鍵詞或標(biāo)題，arXiv數(shù)據(jù)庫中的條目也會出現(xiàn)，這也恰恰反映了arXiv的流行程度。The standard access route is through the arXiv.org website or one of several mirrors. Several other interfaces and access routes have also been created by other un-associated organisations. These include theUniversity of California, Davis'sfront, aweb portalthat offers additional search functions and a more self-explanatory interface for arXiv.org, and is referred to by some mathematicians as (the) Front.[8]A similar function is offered by eprintweb.org, launched in September 2006 by theInstitute of Physics.Google ScholarandWindows Live Academiccan also be used to search for items in arXiv.[9]Finally, researchers can select sub-fields and receive daily e-mailings orrss feedsof all submissions in them.

論文提交程序

研究者按照一定的格式將論文進(jìn)行排版后，通過E-mail、FTP等方式、按學(xué)科類別上傳至相應(yīng)的數(shù)據(jù)庫中。要說明的是，送入預(yù)印本庫中的論文均未經(jīng)過任何審核，也沒有任何先決條件決定哪些論文可以送入e-print arXiv數(shù)據(jù)庫中，實(shí)際上這是默認(rèn)了文責(zé)自負(fù)的原則。收入該數(shù)據(jù)庫中的論文可以隨時受到同行的評論，論文作者也可以對這種評論進(jìn)行反駁。論文作者在將論文提交e-print arXiv的同時，也可以將論文提交學(xué)術(shù)期刊正式發(fā)表。論文一旦在某種期刊上發(fā)表，在e-print arXiv的該論文記錄中將加入正式發(fā)表期刊的有關(guān)信息。

版權(quán)和授權(quán)

arXiv.org本身開放式獲取的特點(diǎn)決定了它和商業(yè)出版社之間的對立或競爭關(guān)系。因此，為了存在它不可避免地要明確版權(quán)問題。官方網(wǎng)站上對此做了明確說明：

arXiv License Information

arXiv is a repository for scholarly material, and perpetual access is necessary to maintain the scholarly record. As such, arXiv keeps a permanent record of every submission and replacement announced.

arXiv does not ask that copyright be transferred. However, we require sufficient rights to allow us to distribute submitted articles in perpetuity. In order to submit an article to arXiv, the submitter must either:

grantarXiv.org a non-exclusive and irrevocable license to distribute the article, and certify that they have the right to grant this license,

certify that the work is available under either theCreative Commons Attribution license, or theCreative Commons Attribution-Noncommercial-ShareAlike license, and that they have the right to grant this license, or

certify that the work is in the public domain (we will store this information by associating theCreate Commons Public Domain Declarationwith the submission)

In the most common case authors have the right to grant these licenses because they hold copyright in their own work. We currently support only two of theCreative Commons licenses. If you wish to use another license then it is appropriate to indicate a more restrictive version for arXiv records (both of the licenses we support give us sufficient rights to distribute articles) and then indicate the more permissive license in the actual article.

Notethat if you intend to submit, or have submitted, your article to a journal then you should verify that the license you intend to select does not conflict with the journal license or copyright transfer agreement. Many journal agreements permit submission to arXiv with thenon-exclusive license to distributewhich arXiv has used since 2004. TheCreative Commons Attribution licensein particular, permits commercial reuse and thus conflicts with many journal agreements.

可以看出，arXiv基本上遵循CC版權(quán)聲明，也就是你可以自由分享，自由改動但是你必須提供按原作者指定方式的署名并且同樣遵循CC協(xié)議。事實(shí)上這極大地鼓勵了科研領(lǐng)域知識的分享。但是需要注意的是，CC署名授權(quán)并不排斥作品的商業(yè)使用，因此arXiv上的某些文章也可以被用于商業(yè)用途，但是如果這些文章的作者還需要在一些出版社發(fā)表的話，就可能有潛在的協(xié)議沖突。

arXiv.org存在的意義和價(jià)值

這也是Simuworld.linkka.com編寫本文時最想討論的話題?；蚨嗷蛏?，arXiv.org在哲學(xué)高度上代表了當(dāng)代社會的一種不可阻擋的趨勢。讓我們來看看arXiv.org的創(chuàng)建者和維護(hù)者的想法吧（引文來自康奈爾大學(xué)計(jì)算機(jī)科學(xué)系的主頁）：

A crisis has been evolving in the past few years in the realm of scholarly publishing because commercial journals have raised their prices substantially without a proportional benefit to the community of authors or readers. For example, the EMPS (Engineering, Math and Physical Sciences) library at Cornell has seen a 9% subscription increase in just the past year. The worst offender seems to be Elsevier, which publishes many CS journals.

首先，知名了商業(yè)出版社“唯利是圖”的本質(zhì)。這一定程度地阻礙了科研領(lǐng)域傳統(tǒng)的開放的交流方式。

A second looming concern with scholarly publishing is that commercial publishers are using pricing policies to push libraries into switching to all-electronic subscription. All-electronic subscription gives the commercial publisher unprecedented control over who can read articles and for what purposes those articles are used. Furthermore, an electronic subscription means that the publisher expands its role to become also the archivist of the material. There is no reason to believe that a company like Elsevier is qualified to usurp the role traditionally filled by libraries as the archivist of scholarly work over a period of decades or centuries. For more information about the problems faced by university libraries, please visit thehome pageof the SPARC project of the Association of Research Libraries.

哈，這里提及了arXiv項(xiàng)目誕生的深層本質(zhì)，那就是當(dāng)代出版商利用價(jià)格和其擁有的電子資源做“武器”，“入侵”了傳統(tǒng)圖書館的領(lǐng)域。而圖書館作為傳統(tǒng)的大眾知識集散地，正在受到威脅和制約。因此，決定了arXiv是維護(hù)圖書館功能的“反擊武器”。

An obvious solution to these problems is for the academic community as a whole to create its own archive under the control of scholars rather than a corporate board of directors. This is the goal behind arxiv.org. We believe that all academics ought to include their publications in this kind of archive. Therefore, we are establishing this as a departmental policy. We would like to establish it as a policy for the whole world, but we have to start somewhere!

這里，終于明確了arXiv的目標(biāo)：“學(xué)者自治”。因?yàn)榭蒲泄ぷ髡呤菍W(xué)術(shù)文章的原始版權(quán)擁有者，他們有能力自己決定自己作品的命運(yùn)。

Naturally, a member of the department could easily follow this policy on his or her own initiative without the existence of a departmentwide policy. Indeed, several of us already archive our papers as a matter of course because archiving brings several benefits to the author including enhanced visibility of the result and proof of precedence of discovery. But we believe there are three reasons why it is useful to make archiving an official policy of the department.

By making it a policy, we are making a public statement in favor of open archiving.

There is clearly a snowball effect at work: the more computer scientists who archive, the more useful the archive becomes, and hence more people will archive, etc.

If archiving becomes a policy, then the University Library, which has considerable expertise in the copyright issues involved, can help us to make sure that we protect our right to archive and distribute our materials when we sign journal copyright transfer agreements.

arXiv和科學(xué)雜志出版商的版權(quán)政策有抵觸嗎？

這是一個很值得考慮的問題。因?yàn)?，很多科研工作者仍然認(rèn)為，他們的論文被一些公認(rèn)的商業(yè)刊物發(fā)表是傳播其影響力的最有效途徑。但是，在一篇作品發(fā)表之前，出版商會要求作者同意他們制定的版權(quán)轉(zhuǎn)讓協(xié)議。這些協(xié)議有可能和arXiv的做法相抵觸，無論你是在文章發(fā)表以前還是以后，要想也在arXiv上登錄，必須考慮這些法律問題。前面也說過arXiv倡導(dǎo)的這種自由分享的精神已經(jīng)形成一種潮流，以至于越來越多的出版商逐漸接受了和自由分享共存的價(jià)值觀。正如下文中所說，已經(jīng)有很多出版商在他們的版權(quán)協(xié)議中支持或不反對作者也提交其文章到arXiv。

Doesn't archiving violate a journal's copyright policy?

First, note that you can alter copyright transfer agreements to preserve more rights for yourself. Naturally, a journal might reject the paper if it disagrees with your alterations to the agreement, but we have heard that many people have successfully altered these agreements without adverse consequences. Later, we will post some possible alterations that people have successfully used on copyright transfer agreements.

Assuming you don't alter the agreement, you are subject to the terms of it. Here are the policies of some of the larger CS publishers.

ACM.Therelevant ACM policystates that, prior to acceptance you can post the preprint version of the paper anywhere, but that after acceptance you should add an ACM copyright note to the posted version. After acceptance, you can post the accepted paper on your home page but not on a server like arxiv.org unless you first obtain ACM permission. In the case of Cornell University employees, an author-prepared version of the paper can be posted to arxiv.org even after acceptance because ACM allows posting on a "publicly accessible server of their employer". For Cornell employees, arxiv.org counts as an employer's server.

There is a potential difficulty with ACM conferences that use blind reviewing. See further remarks below.

SIAM.The SIAMcopyright transfer agreement?allows you to post the preprint version anywhere including arxiv.org, and allows you to post the final version on your personal home page but not on a server like arxiv.org.

IEEE.Therelevant IEEE policystates that you can post the preprint version of the paper anywhere including arxiv.org, but, upon acceptance, you are required to replace it with the accepted version that includes the IEEE copyright notice.

Elsevier.Therelevant Elsevier policystates that you can post a preprint version of the paper anywhere including arxiv.org, and you can post the final version on your home page (but not arxiv.org). You are allowed to post revised versions made during the refereeing process on an employer website. For Cornell University employees, this includes arxiv.org.

Springer.Therelevant Springer policystates that you can post a preprint version of the paper anywhere including arxiv.org but not the final version. Springer also has a program calledOpen Choicein which you pay Springer $3000, and in return, they will make the final PDF version of your paper available on their server for free for anyone with web access.

Wiley.I have not been able to figure out theWiley copyright transfer policy. I sent email to Wiley in January, 2005 to request clarification but have not yet received a definitive answer.

SimuWorld編寫這篇文章的目的是希望我們中國的科研工作者可以善用arXiv這個文獻(xiàn)資源。同時，我們很欣賞這樣一股新鮮的“開放”精神。因?yàn)橹R的分享將會極大地促進(jìn)人類進(jìn)步，而科學(xué)研究本身更是需要交流。我們中國的成語早就表明這種潮流的重要性，希望每一個人都不要“閉門造車”，“固步自封”。

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