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中国开放数字平台的发展(The Evolution of Open Access Practice in China)

文章来源:Electronic Age Librarianship 《电子时代的图书馆工作(论文集)》

 Abstract Since Open Access movement rising in the western society in the last century, it never stops moving and spreading in worldwide scope. China gives initiative reactions from the beginning of this century. Open e-print is the main attempt, and has become the representative of Chinese OA practice through growing for a decade. Based on the objective data and actual practices, the paper explores the evolution of the 3 main Chinese e-prints from the perspectives of collection growing, peer-review, formal approval, and the interaction with the formal publishing, with the discussion  about the potential issues, and concludes that the scholarly communication will evolve into a more open and technological mode, online informal communication platform and traditional publishing will coexist for a period with a tendency of converging into each other, and Chinese open repositories and the similar platforms need to consider more about authors’ interest and quality control, if they want to go further.

 1. Introduction  

  Open Access Movement contributes to the quick distribution and usage of the academic information and research fruits in digital environment, involved in academic community, publishing industry, library and information organizations in worldwide field. Compared to traditional subscription, it aims to use internet to realize quick sharing of the information, in order to increase the operation rate, to cut the costas well as to extend the preservation of the resource. Since 2001, a series of OA initiatives have been launched, bringing “open” and ”share” principal and policy in scholarly communication, which is becoming globally acceptable. More and more academic institutions, learning groups participate in the movement, and gain some progress in practices.

In 2004, the top authoritative academic institution CAS (Chinese Academy of Sciences) and NSFC (National Nature Science Foundation of China) signed Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities(CAS 2004), showing that China officially joined to build up a barrier-free scholarly communication system in worldwide field.

 2. Overview of OA practices in China

BOAI (Budapest Open Access Initiative) proposed OA journals and Self-archiving as tow strategies of scholarly literature (BOAI n.d.). Peter Suber explained into OA journals (gold OA) and OA repositories (green OA) (Peter Suber 2004). And Bo-Christer Bjork concluded into 4 categories, refereed scientific periodicals, research-area-specific archive (e-print) servers, institutional repositories of individual universities, and self-posting on authors' home pages, (Bo-Christer Bjork 2004) which actually have be proved as the most important OA channels in the practice.

OA movement is at the preliminary stage both in theory and practice in China. According to the recent statistics of DOAJ(Directory of Open Access Journal), 16 Chinese journals have been included in up till now (Directory of Open Access Journal 2011).

Learning from Chinese scientific and technological journal report, published by ISTIC (Institute of Scientific and Technical Information of China), OA journals have been up to 167 by January 2006(10.4% of the total), 198 by July 2006(12.3%), and 230 by January 2007(14.3%) (Sciencepaper Online 2009).

Although increasing year by year, Chinese OA journals are very few due to financial deficiency and impercipience. Most traditional academic and information institutions, libraries, and scholarly groups keep wait-and-see attitude. There has been not any university-based OA repository in mainland China, and few independent scholars’ self-archives up till now.

However, during 2003 and 2004, some notable Chinese institutional and privately-run disciple OA repositories appeared. Through development near a decade, 3 open e-prints stand out --- Sciencepaper Online (www.paper.edu.cn), Chinese Preprint Server (www.prep.istic.ac.cn), and Qiji E-print (hwww.qiji.cn), which raised a national upsurge in sharing scientific papers and fruits and could be the seen as the Chinese achievements of present stage in OA attempts.

 3. Growing OA literature in Chinese e-prints

OA repositories give a good try, and more and more academic papers and fruits are shared in the platform, which has been accumulating Chinese open scholarly information resource to be reckoned with. Historically reviewing the resource evolution of the 3 main Chinese e-prints, we could find some characteristics easily, which might help us to see where we would go.

 1) Sciencepaper Online

   Sciencepaper Online is a non-profitable website supervised by Ministry of Education of the People’s Republic of China, and sponsored by its subordinate organization Center for Science and Technology Development. The website starts operating in 15 October 2003, originally aiming to offer a platform for researchers to release the latest ideas while giving publicity to the authorship within the academic community, through the fast exchanges and instant adoption of their new papers. After growing for years, the website has become an interdisciplinary repository, with the biggest Chinese open academic digital collections.

   From the statistics in the table, the Sciencepaper Online shows to be an institutional repository with multi-category open collections including online-publication, journal preprints, and self-archive. Under the supports of the government in technique, fund and administrative power, it tries to absorb in the existing Chinese resource scattered in academic and educational community as much as possible, and swiftly grows into the leading Chinese e-print. The sub-collection of the preprint occupies the biggest part, reflecting its unparalleled influential power in domestic universities.

The amount of the papers in digital collection of Sciencepaper Online

                          

    Sub-collection

 

Year

Online-

Publication

Elite scholars’ self-archive

Volunteer scholars’ self-archive

Preprint of national university journals

National conference proceedings.

Annual sum

2010

10037

7190

4618

144675

0

166520

2009

10739

13331

10612

155043

256

189981

2008

9509

13641

5638

55224

0

84012

2007

6934

11836

676

24271

126

43843

2006

5698

7296

0

7149

422

20565

2005

3387

19217

0

0

0

22604

2004

1280

1377

0

8185

0

10842

2003

116

0

0

0

0

116

Sum of sub-collections

47700

73888

21544

394547

804

538483

(source: data stated from the website )

  2) Chinese Preprint Server

Chinese Preprint Server, also called Preprint, is co-organized by ISTIC and NSTL(National Science and Technology digital Library) and considered to be a research fruit of technical platform project of Ministry of Science and Technology of the People’s Republic of China, aiming to provide an instant scholarly communication platform to the Chinese scientists. ISTIC mainly carries out business of collection, storage and service of scientific and technological documents, database building, information analysis and research, information service network infrastructure construction, information professionals training and media publishing etc (Preprint n.d.). Thus OA collection building is not within the focus, that from the beginning of operation in 2004, the collection increases slowly year by year. The papers published amount to only 3099 in total (761 in 2010, 855 in 2009, 258 in 2008, 297 in 2007, 274 in 2006, 312 in 2005, and 342 in 2004).

  3) Qiji E-print

Qiji e-print could be considered as the only Chinese OA repository by disciple, collecting papers, thesis, handouts, e-books, or any academic writings and its chapters mainly in physics. Without any governmental background, it is built up by a group of Chinese young scholars, educators and technicians in August 2004, aspired after establishing an ideal community of “open” and “share” for scholarship in digital environment, and funded only from personal donations voluntarily (Qiji E-print n.d.). As the Statistics from the website, by 29 January 2001, it has the user accounts of 23033 and the digital collection of 3724 items. In spite of the small amount, it always functions as a free platform of scholarly communication and serves Chinese scientists of small group in several target disciples.

 4. Quality Control: Peer Review

With the information increasing, quality control gains more and more attention in OA movement. The 3 Chinese e-prints exert reviewing process in different extent, to deal with the probable quality degradation of the open digital collection.

Sciencepaper online starts to take peer-review process to the sub-collection of online publication from 21 November 2005. The website adopts the “publication before peer-review” principle, publishing the qualified manuscripts within one week, then proceeds them with academic peer-review by 1 or 2 peer experts in 3 weeks, and finally scored and graded the papers in stars.

According to Mr. Li Zhiming, the chief editor of the website, paper could be accepted and published in a week, as long as it reaches the basic criterion like being proper in academic scope and without illegal and vicious content (Sciencepaper Online 2007). And then, peer-review process would be taken that the papers published have to be strictly reviewed by 1 or 2 peer experts from the expert tank of the Special Funding for Scientific Research for Doctoral Degree Program.[1] This tank recruits more than 57,000 incumbent experts from near 300 well-known universities, 95%of which are professors.

The reviewing process includes content review and comprehensive suggestion. The reviewer will examine the manuscript from title, abstract, innovation, methodology, data processing, literal expression, reference, and academic value before scoring. The system will mark the paper reviewed with 1 to 5 stars according to the given score, which corresponds to 5 levels from bad (0-40 points), ordinary (★★40-60 points), qualified (★★★60-70 points), good (★★★★70-85 points), and excellent (★★★★★85-100 points). The author could make amendments as the comments offered by the reviewers. The “star mark” proves to be effective method of the quality assessment, and the peer-review undoubtedly helps control the quality of the collection, which gains the public trust and is widely accepted by domestic scholars and universities.

Qiji E-print does not take peer-review to the whole collection, and just try it out in the papers of physics and mathematics. The website would send the submitted papers to no less than 2 volunteer scholars majoring the proper disciples, and only publish those with the approval from at least one reviewer, or will be laid aside till the cows come home. Since the reviewing process is taken before the publication, it is understandable that the e-print with only thousands of items in its collection still gains popularity in scholarly community for years.

Chinese Preprint Server only takes cursory censoring before publication, only to remove those including illegal, vicious, obscenity, threatening, harassing, calumniatory, denigrating, racism, and any inappropriate information, without academic reviewing.

Although OA repository follows the rule of “easy publication” without rigorous academic review, the qualification should not be sacrificed for the quantity, even for the information circulating in the open and informal scholarly communication system.

 5. Approval issues

OA repositories popularize the quick online sharing of academic fruits, and bring new scholarly communication trend in digital context. However, online publication has still been excluded outside the formal approval system due to lacking rigorous reviewing institutions for in guarantee of the quality, which is the key factor of differentiating the informal scholarly communication from the formal publishing.

Although the open-access distribution method has gained scholars’ recognition, much more Chinese authors still show their unwillingness to publish their papers of great efforts in these websites without any academic trait guarantee and official approval. Thus, some Chinese e-prints realize universities and academic institutions become another big client to win over.

Sciencepaper Online take the move of acquiring approval of universities and colleges through series of promotion activities. From 2005, some universities started to recognize the merit of online publication in the website, and promulgated policy of approving the validity of the papers published or graded in certain levels for applying for the master degree, or title promotion. Up till now, 31 universities have made related regulations, of which 25 are about the approval of the postgraduates’ graduation. And most of them regulate 3-star paper or the above are qualified, and just a few do not make any requirements of the papers’ level.

According to the latest statistical data from the official website of Ministry of Education of the People’s Republic of China, there are 1,983 public universities in China. Less than 2% of all the universities give positive reaction to the online publication of the website, which seems too negative. However, all these universities are not in top prestigious position in China. Among 31 schools, 19 are ministerial-level, 8 are provincial-level, and 3 are city-level. Particularly, 17 belong to the National 211 Project.[2] And the other 2 Chinese e-prints are not that ambitious and just stand where they are.

Obviously open e-print has acquired some attention of domestic universities more or less, and might gain more approval in the future. But it is clear that the online publication Chinese e-prints is informal communication substantially, lacking evaluation mechanism of the papers’ impact and incentives to the scholars in formal scholarly publishing, still far away from being approved by the Chinese mainstream academia and the government.

 6. Online publication vs. formal publishing

As mentioned before, online publication predominates in the “quick-share” and “open” ideal, while formal publishing in serious quality control and the official approval of the scholarly community and the government. These 2 scholarly communication systems are complementary to each other, and will coexist in a long period. All the 3 Chinese e-prints make public statement of granting copyright to the authors, and encouraged the papers released in official journals after online publication in the website. In the practice of Sciencepaper Online, further interaction appears between the 2 communication systems, and seems to go toward convergence.

With the increasing publication and the adoption of peer-review, more and more star papers are produced. Based on its collection resource, the website starts tow academic journals. One is a paper-print monthly journal named “Sciencepaper Online” (starting in December 2006), and the other is a semi-monthly electronic journal named “Highlights of Sciencepaper Online” (starting in May 2008). Both follow the traditional rigorous peer-review process, and could be accessed on the website immediately after formally released, and be within the retrieval service of the whole collection. And the paper journal charges authors of 100 Chinese Yuan per page with 1-2 month review period, and has been already included in several well-known databases, such as CNKI, Wangfang, IC, UPD, CA, and CSA, while the electronic one is totally free.

Although the 2 journals have relatively low impact, compared to those traditional prestigious academic journals, more significantly, they give a good try in integrating the advantages of both the informal and the formal communication to improve the scholarly information circulation. This combined model is advisable because it is under the consideration of the both interests of the users’ and the authors’. The papers could be cited and approved after formally released, which could spur more scholars to quickly share their new academic fruits in the open space.

 7. Conclusion

As we all see, the boost of Chinese OA repositories gives new direction in information communication, and poses new issues as well. Although Chinese scholars has gained cognition to the OA archiving and the OA publishing more or less, and generally accepted the online informal communication to a certain extent, the absence of rewarding and evaluation mechanism disincentives them, and especially makes those top scholars reluctant to share the fruits before publishing formally. Thus it is unavoidable for these open repositories or the similar platforms to consider the issues like scholars’ evaluation, journals’ impact, and universities’ competitiveness, if they want to go further. However, one thing has been clear that online informal communication platform and traditional publishing will coexist for a period, and scholarly communication will evolve into a more open and technological mode.

Reference

1. Bo-Christer Bjork 2004, Open access to scientific publications - an analysis of the barriers to change?, viewed 5 January 2011, http://informationr.net/ir/9-2/paper170.html.

2. Budapest Open Access Initiative n.d., Budapest Open Access Initiative, viewed 12 January 2011,  http://www.soros.org/openaccess/read.shtml.

3. Chinese Academy of Sciences 2004, CAS and NSFC signed Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities , Chinese Academy of Sciences, viewed 12 January 2011, http://www.cas.cn/jzd/jgjjl/gjjlzt/zgkxy/xwbd/200405/t20040524_1714458.shtml.

4. Directory of Open Access Journal 2011, DOAJ by country, viewed 20 January 2011,  http://www.doaj.org/doaj?func=byCountry.

5. Peter Suber 2004, Open Access Overview: Focusing on open access to peer-reviewed research articles and their preprints, viewed 5 January 2011, http://www.earlham.edu/~peters/fos/overview.htm#green/gold.

6. Preprint n.d., system introductioin, viewed 5 January 2011, http://prep.istic.ac.cn/main. html?action=intro.

7. Qiji E-print n.d., About us, viewed 5 January 2011, http://www.qiji.cn/eprint/help/about-us.html.

8. Sciencepaper Online 2007, Building up information communication platform and creating ecological scholarly environment, viewed 5 January 2011,  http://www.paper.edu.cn/index.php/default/info/info_detail/2831.

9. Sciencepaper Online 2009, The state quo of Chinese OA scientific and technological journals publishing, viewed 15 January 2011, http://oa.paper.edu.cn/xw_05.jsp.

10. Wang Xue-qin 2006, ‘The Situation of Open Access and the Inspiration to China’, Information Science, vol.24, no.9, pp.1425-1429.

11. Wu Changzheng 2009, ‘Discussion on Quality Evaluation of Open Access Resources: Taking Science Paper Online and Preprint Service System of China as an Example’, Journal of Guizhou Library Society, no.2, pp.7-9.

12.Yu xinguo 2008, ‘The free full-text database of Sciencepaper Online and its resource exploitation’, Library and Information Forum, vol.77, no.1, pp.39-42.

Acknowledgements

The author would like to thank Prof. Li Jianmin for her assistance in statistical work and comments of the paper.

Authors’ information

Li Xiao, Doctor,faculty of China Archive of Publications(Barcode Center of GAPP)

Email: sherglee@126.com



[1] The Funding is granted by Ministry of Finance of People’s Republic of China, to sponsor the research specially for doctoral degree program.

[2] “211 Project” is an important project launched by Chinese government in 1995, aiming to construct 100 or so key universities and a group of key disciplines in the 21st century, and there are 112 universities in the project right now.

 

        文摘:在数字技术和网络技术发展的背景下,“中国科技论文在线”以其快捷、公开、免费的特点,对新型学术交流模式进行了有效的尝试。它通过建立首发平台、学报预印文库和学者专栏等积累了大量科技学术论文资源,并尝试出版OA期刊,为广大学者提供学术信息交流的平台。

      关键词:科技论文  在线发表 信息交流模式

      1.时代背景

        在数字技术和网络技术发展的背景下,全球的学术信息交流正在实现从基于印刷出版体系的传统型交流模型向数字网络的现代型交流模型转变。尤其西方开放存取运动的兴起,各国学术界都在努力为实现在线数字科技文献资料免费和快速使用,排除价格和许可两方面的障碍,使科技资源在全世界范围内自由充分的传播和利用。在中国虽然没有发生“学术期刊价格危机”,但传统学术出版生产力严重滞后于目前高速增长的学术信息交流需求,存在出版周期过长、学术交流不畅的问题,导致最新的研究成果无法及时转化为科技生产力,造成学术信息供需失衡。2004年,中国科学院和中国自然科学基金签署了《开放存取柏林宣言》,正式加入了这项科技信息快速共享的全球性运动,与世界各国共同建立一种基于网络的学术无障碍交流体系。

       “中国科技论文在线”是经教育部批准,由教育部科技发展中心主办的科技论文网站。它于2003年10月15日开通运行,旨在搭建一个论文发表的平台,能够使新的科技成果和新的学术思想得到及时的交流,同时又有效地防止论文在发表过程中的种种学风不正行为的发生,保护作者的知识产权。经过5年多的运行,“科技论文在线”由最初较为单一的论文发表平台逐渐发展成集论文首发平台、高校学报预印本数据库、国内优秀学者自存档、和其他类型的开放存取数据库于一体的综合型学术仓储。它是中国最早一批的真正意义上的开放电子印本文库之一,加上独一无二的官方背景,致使它的发展远远快于国内其他同类文库。

        2.文库结构

      “中国科技论文在线”的文库资源主要来自“论文首发平台”、“学者专栏”和“科技期刊”3个栏目,他们分别涵盖了国内最新的学术论文、国内优秀学者代表成果,和近几年的高校学报刊载论文,成为“中国科技论文在线”最重要的核心栏目,为丰富网站的文库藏量提供数量保证。

        2.1论文首发平台

        论文首发平台是网站资源库的原始积累,自开通以来一直为用户提供在线快速发表学术论文的服务。注册用户只要根据注册——登陆——呈递——待审——打印刊载证明的发表流程,一周内就可完成论文的发表。根据网站提供的相关数据显示,论文的发表数量和涉及的学科数量都呈现逐年递增的趋势。(图表一)截止2008年12月31日,该平台共发表28073篇论文,日发表量从03年日平均发表不足2篇增长到08年日平均发表29篇。所涉及的学科共42个,其中38个属于自然科学类,4个属于社会科学类。在所有的学科中,论文发表量过千的有11个学科。数量最多的几个是电子通信与自动控制技术(3485篇)、计算机科学技术(2848篇),和管理学(1804篇),论文数量最少的有天文学(32篇)、核科学技术(53篇)。这反映了学术界对网络发表的认知度和信任度逐渐增加。

图一 首发平台发表论文统计

 

 

2003

2004

2005

2006

2007

2008

总计

 

116

1304

3405

5644

7051

10553

28073

 

84

353

989

1826

1827

1794

6873

 

20

39

41

41

42

42

图二  作者学历背景统计

 

 

2003

2004

2005

2006

2007

2008

总计

博士或博士在读

46

174

354

383

426

426

1809

硕 士 在 读

32

139

509

1155

1235

1150

4220

本 科 在 读

4

38

121

280

153

203

799

 

2

2

5

8

13

15

45

        网站对已发表论文的作者的学历情况进行统计。(图表二)从数据可看出,主要的作者群大多属于高等学历,其中硕士学历(或在读)占62%。从增长趋势来看,网站在开通头两年以博士学历的作者居多,从2005年起,硕士学历的发表者迅速增长,这与网站的宣传和国内部分高校认可在校研究生在该网站发表论文为毕业达标的相关文件有关。

         2.2学者专栏

         网站除了为终端用户提供发表平台,也为国内的学者打开了自我宣传和相互学习的窗口。“优秀学者”和“学者自荐”就是该网站颇具特色的两个学者专栏。

        “优秀学者”是为我国优秀学者免费建立的个人学术专栏。网站成立初期就开设此专栏,旨在介绍国内优秀学者的主要学术成就,为年轻学者了解本学科的优秀学者及其研究方向提供指导。学者们在属于各自的栏目中可以提供10多个最具代表性的研究成果链接,并可随时更新。

        根据网站工作人员介绍,优秀学者的基本遴选条件是具备教授、博导以上的职称,在各自领域内已取得较高的学术建树,成果显著,最好具有一定的学术头衔,如院士、杰出青年、长江学者、973/863首席科学家等。人数没有上限,不存在淘汰机制。优秀学者的数量每年都有所增长,据统计,截止2008年12月31日,已有5073位优秀学者入户该专栏,53139篇优秀学者的研究论文收录在库。大多学者来自科学技术领域,只有272名来自自然科学领域。

       “学者自荐”栏目于2007年9月30日开通,为致力于科学研究且已取得一定科研成绩的年轻学者免费建立个人学术专栏,为年轻学者展示、交流标志性成果和优秀论文提供一个便捷的网上平台,以提高年轻学者在学术界的影响力,促进学术交流与发展。学者们也可在相应的专栏中提供10个左右的具代表性的研究论文链接。据网站提供的数据,2008年12月31日,自荐学者的人数已达1072位,已收录论文6240篇。这个数字还在继续增长。

         2.3预印本文库

        “科技期刊”栏目开设于2005年底,集合了目前国内多所高校学报近几年刊发的论文预印本。该预印文库收录了313种学术期刊的论文预印本,其中286种来自179所高校主办的学报或学术期刊,27种来自10多家学会及研究所。所有期刊按照名称、学科分类编排,既方便科研人员查阅又扩大了学报的影响,提高论文的引用率和期刊的影响因子。截止2008年12月31日,收录的文章总数高达100984篇。这类集大多数国内高校学报的预印文库绝无仅有,很大程度上依赖教育部的官方背景。虽然国内3大期刊全文数据库中国知网、万方和维普已囊括了全国绝大多数的学术期刊,并且在所有高校和学术图书馆都可以进行信息检索,但学报预印本库更大意义上丰富了“科技论文在线”的数字资源,普及开放共享的理念传递。

         3.质量控制

       “中国科技论文在线”对首发论文采取的是“先发表后审评”的评定方式,经过一年多的发展,为了进一步加强文库的质量控制,于2005年增加同行评议的制度。

        先发表后审评。据网站主编李志民介绍,根据文责自负的原则,只要作者所投论文遵守国家相关法律,为学术范围内的讨论,有一定学术水平,且符合“中国科技论文在线”的基本投稿要求,可在一周内发布。由于将论文较复杂的专业评审程序放在发表之后,因此与传统期刊相比,论文的发表速度要平均提前近一年的时间,比预印文库的发表也要快捷。此外,网站声明论文的著作权属作者本人所有,并且鼓励论文作者同时向其他学术刊物投稿,不影响作者在现存的评价体系中的任何利益诉求,从而实现最新的科技研究成果,以最快速度在国内交流,力求改变现在中国人研究出的成果争先恐后地拿到国外去评价的状况。

        同行综合评议。是该网站进行文章质量评审的工具。论文在线公布后3周内,由1-2名同行专家进行评审。评审专家主要来源于教育部博士点专项科研基金的评审专家库,该专家库由科技发展中心向国内近300所知名度较高的大学征集了57000余名在职专家,其中教授占95%,另外部分来源于特聘专家,聘用专家全部是在该学科领域内较有影响的、具有较高学术地位的学者,并且每年都有一定程度的人员调整。

        评审内容包含两部分,第一部分包含论文审查的内容和综合评价意见,内容审查分别从论文题目、中文摘要、英文摘要、科学创新、研究方案、数据处理、文字表达、参考文献、学术价值9项进行打分,综合评价部分由专家对论文的整体情况进行打分,给出综合的评审意见。内容审查占总分值的40%,综合意见占总分值的60%;第二部分为专家详细修改意见,作者可根据专家的详细意见进行修改。在线评审系统根据专家打出的分值对应不同的星级,85分(包含85分)至100分对应5星,表示同行专家对该论文的综合评价为优秀;70分(包含70分)至85对应4星,表示同行专家对该论文的综合评价为良好;60分(包含60分)至70分对应3星,表示同行专家对该论文的综合评价为较好;40分(包含40分)至60分对应2星,表示同行专家对该论文的综合评价为一般;0分至40分对应1星,表示同行专家对该论文的综合评价为较差。

图三  星级论文占评审论文的比重(%

 

2005

2006

2007

2008

4

13

19

19

★★

13

20

19

18

★★★

14

15

20

20

★★★★

32

30

33

34

★★★★★

37

22

9

9

        同行评审制度加强了网站的首发论文的质量控制,增加了评审的透明度和公信度,赢得广大学者的支持和部分高校的认可。根据网站提供的相关数据,截止2008年12月31日,已有19005篇论文被评定,占首发论文总量的58%。图表三显示,2005年至2008年已评定的论文中,3星以上的论文占大多数,其中4星论文所占比重最多,证明首发论文库的整体质量保持良好。然而,5星论文的减少和1星论文的增多也预示着最优等的论文流失和论文整体质量的下降。这种变化在2007年尤为明显,这多少与当年国内15所高校出台关于认可首发论文为研究生申请学位以及教职工工作计量有效地政策有关。同时,也充分说明在线发表论文的学术交流形式远没有获得主流学术界的认可,由此导致高质量的研究成果的流失。

       4.高校认可

      随着广大科研人员逐渐认同网站的学术价值,越来越多的高校将在中国科技论文在线发表的论文认可为符合研究生毕业,或职称评定要求的成果。在2005至2008年间,有31所高校明文规定了关于在“中国科技论文在线”发表论文的认可文件。有25所高校认定为硕士研究生毕业合格成果,其中16所高校要求在线发表的论文等级必须达3星或以上为合格,1所高校规定达2星以上,5所高校不做星级要求。

        根据教育部最近统计数据,目前我国有1983所普通高等院校。因此,只有不到2%的国内高校对网站首发平台表示一定程度的认可。虽然认可的学校在数量上十分有限,然而在已认可的31所高校中,有12所为教育部认定的全国“211工程”学校。这无疑说明该网站已获得国内一些较有影响力的高校一定程度的认可,相信随着网站的发展,会获取更多高校的认可。但是,在线论文发表在本质上仍属非正式学术交流,它缺乏正式学术出版里对发表论文影响因子的评估机制和与作者利益相关的激励机制。因此,多数高校都将在线发表当作缓解研究生毕业成果问题的补充,而不会视其为替代正式出版的捷径。

        5. 延伸出版

        随着首发论文不断增多以及评审制度的引入,产生越来越多高质量的论文,网站以在线论文进行同行专家评审后,以评出的优秀论文作为主要稿源,开办了两种连续出版物。一种是纸质的月刊《中国科技论文在线》(创刊于2006年12月),另一种是半月电子期刊《中国科技论文在线精品论文》(创刊于2008年5月)。这两种刊均由教育部主管,教育部科技发展中心主办,具有一套严格的评审程序。前一种纸质期刊与其他学术期刊基本没有差别,审稿期1-2个月,并收取版面费100元/页,现已被国内外几种知名数据库收录,如中国知网、万方数据、波兰的《哥白尼索引》(IC)、美国《乌利希期刊指南》(UPD)、美国《化学文摘》(CA),以及美国《剑桥科学文摘》(CSA)。电子期刊实行完全免费,每期的论文将在网站中分学科全文展示,并可在中国科技论文在线网站中全文检索。

        这两种期刊属于新创办的学术期刊,影响力与其他传统型学术期刊相比尚显不足。但它们的意义并非在此。这两种刊是国内极少数真正意义上的开放存取学术期刊,它们和网站密不可分,网站为期刊提供稿源和全文检索服务,期刊为网站的学术价值争取合法的认可,使发表的论文能被引用,可谓相互补充,共同服务于学术信息交流活动。这种融合正式出版和非正式在线发表的交流模式,是学术交流处于变革时期,顺应潮流而诞生的产物,它给技术变革带来的传播方式的转变提供了缓冲期,避免造成传统学术出版由于技术和传播方式的骤然改变造成断裂,也给学者们改变交流观念和使用习惯提供了适应空间,更为传统期刊的网络化开放化提供基本模版。

         6. 结语

         中国科技论文在线5年多的发展历程,使中国学术界对开放存取的各种学术交流模式有了一定程度的认识。它强大的官方背景使其具有不可比拟的政治资本和经济资本,可以迅速吸收国内各种优势资源,开展各种形式的开放存取活动,以致发展为集首发平台、预印文库、学者自存档,和开放存取期刊为一体的“百货商店”式开放文库。在这一过程中,虽然各种网络非正式交流的公开和快捷的特点受到学者们的赞誉,但它始终无法替代正式出版的合法化。这种合法化基于严格的评审程序和影响力评估机制,与学者的成果肯定、期刊的影响力、高校的竞争力息息相关。因此各种开放存取的学术交流形式的要想从非正式转为正式,这两个问题不可回避。但可以肯定的是,学术交流模式的发展日趋开放化、数字化,两种交流形式将长期并存。传播技术改变的不仅仅是学术交流的速度和效率,更坚持了对“学术自由”和“开放科学”传统的追求。

        作者:李 霄

        作者单位:中国版本图书馆  出版物标识部

     
 

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