【作者】 武庆圆；

【导师】 邱均平；

【作者基本信息】 华中师范大学 ， 情报学， 2013， 博士

【摘要】 开放获取的理念由来已久,它是一种免费提供全文的信息服务方式。在开放获取的模式下,科研人员可以免费订阅学术信息的全文。近年来,开放获取已得到了广大科研工作者的广泛支持和拥护。从2002年第一届开放获取会议到如今,开放获取的发展已经走过了10多个年头。开放获取期刊作为开放获取学术资源的主体之一,其发展源于当前学术期刊传播存在的两大“危机”,以及计算机和互联网这两大技术的出现。在信息获取途径方面,开放获取期刊的发布与获取主要依托于网络环境,而不采用传统的纸本模式。在获取费用方面,开放获取期刊的出现和发展,使得一部分期刊不需要订购就可以直接获得。在知识交流的效率等方面,开放获取期刊在尊重知识产权的同时扩大了读者对于学术信息的使用权限,极大地提高了知识交流的实效性。开放获取期刊的上述特征,使得现行的知识交流方式发生了较大的变化。开放获取作为新的学术交流理念,对知识交流的形式和内容方面带来了一定的影响。虽然通过纸本期刊文献开展的知识交流形式依然存在,且占据重要的位置,但随着网络和信息技术的发展,知识交流的形式和渠道逐渐多样化。开放获取期刊在知识交流方面时滞短、效率高等特点,使之成为当今知识交流的重要工具和途径之一。开放获取期刊一方面发展迅猛,但是当前国内外对于开放获取期刊内部的结构特征、学科发展、知识交流行为等缺乏系统的分析。为了更好地厘清开放获取期刊的内外部特性,探讨开放获取期刊的学科发展和知识交流规律,本文首先对开放获取期刊的类型、出版机构、应用平台及其分布进行调研与分析。然后论述知识交流研究的基础理论,包括知识交流的内涵、知识交流的分析理论及方法。接着,基于对开放获取期刊的特征分析,采用科学计量学分析方法、聚类分析技术,以及关联规则挖掘技术对开放获取期刊的知识交流行为进行分析研究。最后,在实证研究中,本文对某种具有代表性的开放获取期刊在10年间发表的所有文献,其全部参考文献与被引文献进行分析,以验证上述开放获取期刊的知识交流分析方法的有效性。文章的主要内容如下：第1章：绪论。介绍本文的选题背景、研究意义、国内外研究现状、研究目标、研究内容、创新之处、研究方法、研究工具和技术路线。第2章：开放获取期刊的分布研究。主要包括开放获取期刊的类型、出版机构、应用平台分布,以及DOAJ收录的开放获取期刊分布状况。重点通过统计分析论述开放获取期刊的数量分布、学科分布、地域分布、JCR收录的开放获取期刊分布,以及开放获取期刊的影响因子分布现状。第3章：知识交流研究的理论基础。首先从知识交流的形成机制与类型来论述知识交流的内涵,然后论述科学计量学、聚类分析和关联规则挖掘在知识交流研究中的作用,并详述这三种理论的发展概况、定义、概念及步骤等。第4章：开放获取期刊知识交流方法研究。首先对开放获取期刊的特征进行归纳,包括开放获取期刊的数量及质量特征,以及开放获取期刊在知识交流过程中的特征。然后结合开放获取期刊的独特性,依次阐述基于科学计量学、聚类分析和关联规则挖掘的开放获取期刊知识交流分析方法。第5章：开放获取期刊知识交流实证研究。主要包括数据样本的选取、数据集的下载方法,以及开放获取期刊的知识来源和知识扩散分析。通过多维度的实验对比验证第4章提出的开放获取期刊的知识交流相关分析方法。第6章：总结与研究展望。包括对全文研究的回顾、总结,以及对本文存在的不足进行的说明,最后展望了未来研究的方向与主要思路。本文的创新之处主要体现在以下四个方面：1、系统调研并分析了开放获取期刊的分布现状。从数量、学科、地域、影响因子等多方面进行统计分析,以探讨开放获取期刊的内外部特性及其学科发展。2、系统研究了知识交流的相关理论基础,包括科学计量学、聚类分析和关联规则挖掘。其中,聚类分析通过对知识的来源与扩散的自动划分,能够挖掘隐藏在其中的内在信息或知识,并有助于理解一个知识领域形成与衍生的范式。关联规则挖掘通过对知识交流的关联分析,有助于揭示核心的知识来源与扩散群体。这些跨学科理论的交叉研究有利于开拓知识交流分析研究的新视角。3、结合开放获取期刊的特征,提出了被引频次(CF)和加权被引频次(WCF)两种新颖指标,并将其用于开放获取期刊的知识交流分析方法中。通过CF和WCF对聚类分析算法的改进,能够增强其对开放获取期刊知识交流内涵的代表性,提高类的鉴别力。通过CF和WCF在关联规则挖掘中的应用,能够具体量化核心的知识来源与扩散群体中各项的重要程度。4、自主开发了开放获取期刊目录(Directory of open access,简称DOAJ)中收录的全部开放获取期刊信息的采集工具,以及公共医学中心(PubMed Central,简称PMC)数据库中开放获取期刊的文献全文(包含参考文献)及其全部被引文献的下载分析工具。前者可用于对当前开放获取期刊的学科、影响因子等发展现状进行统计分析；后者为开放获取期刊的知识交流研究提供了实证数据集。更多还原

【Abstract】 The idea of "Open Access" has been around for a long time, which means a new mode of information service by providing the full text for free. In the mode of open access, researchers can subscribe the full text of academic information freely. Recently, open access gets extensive support from various researchers. The development of open access lasts more than ten years, which begins from the first conference on open access in2002. As one of the main academic resources of open access, open access journal also grows. The development of open access journal is mainly caused by the crisis of the existing communication process of the traditional academic journals, as well as the emergence of computer and Internet. In the aspect of information acquisition, the release and acquisition of open access journal is mainly based on Internet, rather than the traditional printed format. In the aspect of acquisition cost, as the existence of open access journal, many journals can be achieved without payment and ordering. In the aspect of the efficiency of knowledge communication, open access journal improves the efficiency of knowledge communication largely, since it extends the authority of researchers on academic information without deteriorating intellectual property.With the characteristics of open access journal described above, the knowledge communication pattern between researchers has been changed a lot. As a new scheme of academic communication, open access changes the form and content of knowledge communication. Knowledge communication with printed journals and literatures still exists and plays an important position. However, with the development of Internet and information technologies, the patterns and channels of knowledge communication has been diversified. Open access journal becomes one of the important tools and ways of knowledge communication for the advantages of short time process, high efficiency and so on.Although the development of open access journal is considerably and dramatically fast, it lacks the systematic analysis of the internal structures, characteristics, subjects and knowledge communication patterns on open access journal. In this study, we aim to clarify the internal and external characteristics, as well as the disciplinary development and knowledge communication patterns of open access journal. Firstly, the distribution of type, publishing agency and application platform of open access journal are investigated and analyzed. Secondly, the basic theory of knowledge communication analysis is studied, which includes the nature of knowledge communication, the relevant theories and methods of knowledge communication analysis. Thirdly, the methods of knowledge communication analysis for open access journal by Scientometrics, Clustering and Association Rule Mining are proposed based on the characteristic of open access journal. Finally, all the literatures, references and cited articles of a representative open access journal in recent ten years are analyzed in the empirical study, so as to evaluate the effectiveness of all the methods of knowledge communication analysis for open access journal described above. The main content of this dissertation is as follows:Chapter1:Introduction. The research background, research significance, research status, research objectives, research contents, innovations, research methods, tools and technical route of this dissertation are introduced in this chapter.Chapter2:The general distribution of open access journal. In this chapter, the distribution of type, publishing agency and application platform of open access journal, as well as the distribution of open access journals in the Directory of open access (DOA J) are studied. The latter is mainly researched by statistical analysis from the perspective of amount, subject and location. The distribution of open access journals in the Journal Citation Reports (JCR) and their impact factors are also analyzed.Chapter3:The basic theory of research on knowledge communication. In this chapter, the nature of knowledge communication is firstly studied from the aspect of formation mechanism and type. Then, the effect of three theories, i.e., Scientometrics, Clustering and Association Rule Mining on knowledge communication is analyzed. Finally, the development, definition, concept and general process of those three theories are reviewed in detail.Chapter4:The methods of knowledge communication analysis for open access journal. In this chapter, the characteristic of open access journal is summarized firstly, which includes the amount and quality of open access journal, and the characteristic of open access journal in the process of knowledge communication. Then, the methods of knowledge communication analysis for open access journal based on Scientometrics, Clustering and Association Rule Mining are proposed by exploiting the characteristic of open access journal.Chapter5:The empirical study of knowledge communication analysis for open access journal. In this chapter, the selection criterion of research object and the method of downloading the data set are firstly introduced. Then, the experimental results of the sources of knowledge and knowledge diffusion of open access journal are analyzed, in which all the methods of knowledge communication analysis for open access journal proposed in chapter4are compared and evaluated by multiple experiments.Chapter6:Summary and Prospects. In this chapter, the research results are reviewed and summarized firstly, and then the shortcomings are illustrated. Finally, the directions and topics of our future research are discussed.The innovation of this study includes four aspects, as follows: Firstly, the distribution status of open access journal is systematic researched. Statistical analysis is conducted from the perspective of amount, subject, location, impact factor and so on, which can help to clarify the internal and external characteristics, as well as the disciplinary development of open access journal.Secondly, the relevant theory of knowledge communication analysis is investigated and analyzed, which includes Scientometrics, Clustering and Association Rule Mining. The sources of knowledge and knowledge diffusion are automatically classified by Clustering, which can be used to mine the internal information and knowledge, as well as to understand the formation and derivation pattern of a knowledge area. The association analysis of knowledge communication is conducted by Association Rule Mining, which can be used to discover the pivotal sources and diffusion groups of knowledge. It is helpful to extend the perspective of the study on knowledge communication analysis by exploiting the above cross-interdisciplinary theory.Thirdly, two new indicators (i.e., CF and WCF) are proposed based on the characteristic of open access journal, which are applied to the methods of knowledge communication analysis for open access journal. The algorithm of Clustering is improved by CF and WCF, from which we can get a better representative of the intrinsic knowledge communication for open access journal, and increase the discrimination of each cluster. Those indicators are also applied to improve the algorithm of Association Rule Mining, from which we can quantify the importance of each item in the pivotal sources and diffusion groups of knowledge.Finally, a tool of collecting all information of open access journal from the Directory of open access (DOAJ) is developed, which can be used to analyze the distribution status of open access journal from the aspects of subject, impact factor and so on. We also develop a tool of collecting and analyzing the full text of literatures, references and cited articles from the database of PubMed Central. The tool can be used to provide the data set of knowledge communication analysis for open access journal.更多还原