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Scholarly Communication Changing the Implications of Open Access Faber Frandsen, Tove

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Scholarly Communication Changing the Implications of Open Access Faber Frandsen, Tove Scholarly communication changing The Implications of open access Faber Frandsen, Tove Publication date: 2009 Document version Early version, also known as pre-print Citation for published version (APA): Faber Frandsen, T. (2009). Scholarly communication changing: The Implications of open access. Download date: 04. Oct. 2021 Scholarly communication changing: The implications of open access Tove Faber Frandsen PhD thesis from the Research Programme of Knowledge Culture and Knowledge Media, Royal School of Library and Information Science, Denmark Scholarly communication changing: The implications of open access Tove Faber Frandsen PhD thesis from the Research Programme of Knowledge Culture and Knowledge Media, Royal School of Library and Information Science, Denmark CIP – Cataloguing in Publication Frandsen, Tove Faber Scholarly communication changing: The implications of open access / Tove Faber Frandsen. – Copenhagen, Denmark: Royal School of Library and Information Science, 2009. – VIII, 272. ISBN 9788774153122 ISBN 9788774153122 © Copyright Tove Faber Frandsen 2009 All rights reserved Videnskabelig kommunikation i forandring: Implikationerne af open access Tove Faber Frandsen Ph.d.-afhandling fra Forskningsprogram for Videnskultur og vidensmedier, Danmarks Biblioteksskole Acknowledgements It is a pleasure to thank all the people who have helped and inspired me during my doctoral study. I would like to state my gratitude to my PhD supervisors, professor Birger Hjørland and associate professor Jeppe Nicolaisen. I gratefully acknowledge the support of both of these great scholars. You have provided the knowledgeable and stimulating discussions needed to challenge my work. I also thank you for being there when good friends were needed. I would also like to thank Denmark's Electronic Research Library, particularly Hanne Marie Kværndrup and Lise Mikkelsen, for opening doors for me to the Danish open access community and for your enthusiastic involvement in this project. This research also benefited tremendously from many colleagues at the Royal School of Library and Information Science. I would like to express my gratitude to all the members of the research programme, Knowledge Culture and Knowledge Media, for your warm welcome. I value your insightful comments and the friendly atmosphere in which we can discuss research. I am especially grateful to Gitte, Jack, Laura, Lise, Mikkel and Nanna. I would also like to thank the library and the research administration for assisting me in many different ways. Jan Idor Jacobsen and Anders Eckmann deserve special mention. I would like to take this opportunity to thank Paul Wouters, Programme Leader Virtual Knowledge Studio and Professor of Knowledge Dynamics. I am grateful to you and all the members of the Virtual Knowledge Studio for your hospitality and thoughtful comments regarding my work. Last but not least, I am greatly indebted to Rasmus. I owe my every achievement to you. I Abstract The dissertation aims at investigating the changing scholarly communication in general and more specifically the implications of open access on scholarly communication. The overall research question is: What are the effects of open access on scholarly communication? The dissertation consists of five empirical studies of various aspects of the implications of open access on scholarly communication. The five studies, published as journal articles, are bibliometric studies conducted on three different levels. The first level consists of two studies of a general, more explorative character. The first general study analyses the coverage of open access base resources and the second the use of open access journals in the sciences. The next level of analysis consists of two specific studies that look into two widespread assumptions of the implications of open access. The first is the assumption that the developing countries are great beneficiaries of open access and the second is the belief that open access causes more citations. The third level consists of a concluding, perspectival study. The levels in the thesis to some extent also follow the chronological order of the studies. Furthermore, the dissertation includes a chapter that presents and discusses the research findings in a theoretical framework. Initially the chapter presents and discusses terminology needed for analysing open access and scholarly communication. Following the necessary definitions and clarifications the theoretical and empirical work of particular interest is presented. The theoretical framework can be divided into two: mappings of scholarly communication and theories of citing. The research findings are summarised in relation to both the overall research question and the theoretical framework. The implications of the research and suggestions for future research are discussed. III Resumé Denne afhandling undersøger et aspekt af den videnskabelige kommunikation i forandring og fokuserer på implikationerne af, at en voksende andel af den videnskabelige litteratur er frit tilgængelig (også kaldet open access). Det overordnede forskningsspørgsmål er: hvilke effekter er der af denne udvikling for den videnskabelige kommunikation? Afhandlingen består af fem empiriske studier af forskellige aspekter af effekter af open access for videnskabelig kommunikation. De fem studier er alle publiceret i videnskabelige tidsskrifter og er bibliometriske studier foretaget på tre forskellige niveauer. De tre niveauer afspejler desuden kronologien i arbejdet med det overordnede forskningsspørgsmål. Det første niveau udgøres af to studier, der har generel, mere eksplorativ karakter. Det næste niveau udgøres af to studier af mere specifik karakter, der begge nærmere empirisk belyser to udbredte antagelser om effekten af open access. Den første er antagelsen om, at en af de store effekter af open access er udviklingslandenes større mulighed for synlighed i de videnskabelige samfund. Den anden er antagelsen om, at publikationer, der er frit tilgængelige, bliver læst mere og dernæst brugt mere (målt på antal citationer) end tilsvarende publikationer, der ikke er frit tilgængelige. Endelig består det tredje niveau af et konkluderende og perspektiverende studie, der undersøger forskningspotentialet for videnskabsstudier med den øgede mængde frit tilgængelig videnskabelig litteratur. Derudover indeholder afhandlingen et sammenskrivningskapitel, der præsenterer og diskuterer resultaterne præsenteret i de fem artikler i en teoretisk ramme. Indledningsvist præsenteres og diskuteres den terminologi, der er nødvendig for at analysere open access og videnskabelig kommunikation. Dernæst præsenteres den eksisterende teoretiske og empiriske litteratur af særlig interesse for denne afhandling. Den teoretiske ramme kan opdeles i forskning vedrørende kortlægninger af den videnskabelige kommunikation samt citationsteorier. Resultaterne fra de fem studier resumeres i relation til både det overordnede forskningsspørgsmål og den teoretiske ramme. Implikationerne af afhandlingen og forslag til fremtidig forskning diskuteres afslutningsvis. IV Table of contents 1. Introduction 1 1.1. Changes in scholarly communication 1 1.2. Open access as a cause 4 1.3. Motivation and objective 8 1.4. Research questions 9 1.5. Data and methods 10 1.6. The structure of the dissertation 12 2. Open access 13 2.1. The open access movement 13 2.2. Open access as principle 17 2.3. Open access models 18 2.4. Defining a scholarly publication 24 2.5. Defining access 26 3. Scholarly communication 29 3.1. Defining scholarly communication 30 3.2. Studying scholarly communication 31 3.2.1. Process and structure 32 3.2.2. Sociology of science and sociology of knowledge 34 3.2.3. Four research traditions 36 3.2.4. Schema for studying social and cognitive processes in science 37 3.2.5. Theoretical framework for the dissertation 39 3.3. Citation theories 41 3.3.1. The normative theory of citing 42 3.3.2. The handicap principle as theory of citing 44 V 3.3.3. Social constructivist theory of citing 48 3.3.4. Summing up 51 3.4. Mappings of communicative processes 52 3.4.1. The Information chain 52 3.4.2. The Garvey and Griffith model of scholarly communication 54 3.4.3. Summing up 63 3.5. Scholarly communication and open access 63 4. Summary of the articles 65 4.1. Intra-disciplinary differences in database coverage 66 4.2. The integration of open access journals in the scholarly communication system 68 4.3. Attracted to open access journals 70 4.4. The effects of open access on un-published documents 72 4.5. Turning working papers into articles: An exercise in micro-bibliometrics 73 5. Conclusions 77 5.1. Research findings in light of the theoretical framework 79 5.1.1. Citation theories 79 5.1.2. Mappings of scholarly communication 83 5.2. Research implications and future investigation 85 6. Literature 89 7. Appendix 113 7. 1. Appendix 1. The data material in the APA-PSIEP Reports 113 8. Intra-disciplinary differences in database coverage and the consequences for bibliometric research 121 9. The integration of open access journals in the scholarly communication system: Three science fields 155 10. Attracted to open access journals 179 VI 11. The effects of open access on un-published documents 215 12. Turning working papers into journal articles 243 VII The attached articles 1. Frandsen, T.F. & Nicolaisen, J. (2008). Intra-disciplinary differences in database coverage and the consequences for bibliometric research. Journal of the American Society for Information Science and Technology, 59(10): 1570-1581.
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