【新语丝电子文库(www.xys.org)(www.xys2.org)】 ———————————————— 关于“一稿多投”问题的部分结论 李树钧 西安交通大学 在网上找了一下,发现国外有相当多的杂志(典型的如IEEE Trans. on Professional Communications)专门致力于学术道德问题的讨论,有相当多的 文章非常详细地论述了“what it can do and what it can't”这个问题。这里 根据我找到的两篇非常精彩的文章(文献[1]的论述全面,文献[2]的文采独到), 对我上次提到的几个“一稿多投”的问题做一个初步结论。欢迎大家讨论! [1] Harold S. Stone, "Copyrights and Author Responsibilities," IEEE Computer, vol. 25, no. 12, Dec. 1992, pp. 46-51, [2] Herbert Michaelson,"How An Author Can Avoid the Pitfalls of Practical Ethics," IEEE Trans. Professional Communication, vol. 33, no. 2, June 1990, pp. 58-61 1、同时向多家杂志(或者会议)投稿:基本上,不向杂志社和会议组织者声明 自己的文章也同时投向其他地方,就是不道德的学术行为,属于学术欺诈。在某 些非常“特殊”的场合下,“公开”地重复投稿也可能是允许的(如某个杂志在 征稿启事中特别声明也接受已出版的文章)。 “For a variety of reasons, some authors still submit their papers to multiple places concurrently without notifying the editors or conference organizers, and without indicating that the material may appear elsewhere. Many transgressions of this type are discovered accidentally in the referring process. The normal reaction is to have the author withdraw the material. Conference organizers and referees do not like to be surprised by the discovery of duplicate submissions. Michaelson labels duplicate journal submissions as a "questionable practice." The author must inform the editors involved of an intention to have a paper submitted concurrently to more than one places. Although this practice is not condoned by most conferences and journals, it might be permitted in particular instances if done openly.”[1] 2、关于会议文章和杂志文章的“一稿多投”:发表在会议上的文章不允许未经 实质性修改就直接转投杂志,对会议文章进行增强或者扩充、添加新的内容等进 一步的文字和分析工作是必须的,而且杂志文章必须引用会议文章,作者在投稿 时需要向编辑部声明该文章的某个早期版本曾经在会议上出现过,如果可能,附 上自己的会议文章作为投稿文章的附录。这里的“实质性”修改可以只是文字上 的,但是引用会议文章和向编辑部声明该文曾有事先出版的事实,这应该是“学 术道德”的核心理念。另外,有一点需要注意的是,不同的杂志和会议在处理这 个问题会有不同的细节,在发表文章时仔细阅读版权转让书和投稿时仔细阅读征 稿启事是必须的。 “If an author wants to republish a conference paper in a journal, the following guidelines could result in a successful submission: (1) The conference paper should be enhanced or enlarged in some fashion before it is submitted to the journal. Also, it can omit some details that appear in the conference paper, including them only by means of summary. If the revisions to a conference paper are substantial, the revised paper may be considered as a new work with new and assignable copyrights of its own. If it is essentially the same as the conference paper (possibly with limited, nonsubstantive changes), it has no new rights. Republication is then controlled by the copyright owner of the original paper. (2) The journal paper should cite the original conference paper as the source of the ideas. (3) If material from the conference paper is used verbatim, this material must be delineated. If the reused material exceeds what can be reasonably viewed as fair use, the reuse requires permission from the copyright owner. (4) The author should notify the journal editor at the time of submission that the material in the paper has appeared earlier at a conference. The author may optionally submit a copy of the conference paper for the referees to examine and compare to the journal version of the paper. This process assumes sequential submission of the conference paper and journal paper. The author should know the details of the copyright transfer at the point of acceptance of the conference paper. These details will determine how the author should proceed with the journal paper. The guidelines printed here vary from journal to journal. ACM published a blanket policy for such submissions that applies to its conferences and journals, and follows the spirit of the guidelines above.4 The main thrust is to ensure that the journal paper show the original source and the extent of the reused material. It is equally important that the journal editor be fully informed.”[1] 3、“一中一洋”问题:关于不同语言版本对“重复投稿”的限定,我还没有找 到论述的文献,基本上,这类投稿仍然应该遵从1、2、中提到的基本原则,即: 作“足够”的修改和扩充,投稿时向编辑部声明文章事先出版的事实。 4、“本质不同”问题:没有明显的地方提到“重复投稿”中如何阐述“本质不 同”问题,但是文献[1]从版权法的角度详细分析了“fair use of published materials”这个问题,应该可以用来解释这里的“本质不同”:少量的重复自 己以往文献中的子句基本上是free的,但是逐字逐句重复成段的文字(一般来说, 多个较长的句子即可构成这种情况),将引起“unfair reuse of copyright-protected sources”,这可能构成剽窃(plagiarism)或者自我剽 窃(self-plagiarism),同一个idea使用了完全不同的文字来表述,在一定的 场合下可以认为是具有新的版权的文字;如果确实需要成段引用自己以前发表文 章的内容,需要向出版商请求许可,这种许可在绝大多数情况下都是没有任何费 用的。虽然“本质不同”主要是指文字上的异同,但是发表idea没有变化的文章, 向杂志社声明文章的事先出版仍然是需要的,这符合学术道德诚信(不隐瞒对自 己可能不利的信息)的原则。 5、关于“invited paper”问题:这个问题过于具体,在相关文献中也没有提到。 但是我们可以从文献[1]、[2]全文提供的professional ethics的基本原则出发 进行如下推断:从版权保护角度出发,只要被邀请的文章的多次发表经过了相关 出版商的许可,就不存在版权问题;从学术道德的角度出发,只要作者没有将事 实上多次被邀请出版的文章作为多个单独的学术成果向学术界进行欺诈,即可认 为没有违反学术道德。 ———————————————— 【新语丝电子文库(www.xys.org)(www.xys2.org)】