Open Access Scholarly Communication in South Africa: Current Status, Significance, and the Role for National Information Policy in the National System of Innovation
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View metadata, citation and similar papers at core.ac.uk brought to you by CORE provided by E-LIS Open Access scholarly communication in South Africa: current status, significance, and the role for National Information Policy in the National System of Innovation Jennifer Anne De Beer Thesis submitted in partial fulfilment of the requirements for the degree of Master of Philosophy (Information and Knowledge Management) at the University of Stellenbosch Supervisor: Dr Hans P Müller April 2005 Title page Declaration I, the undersigned, hereby declare that the work contained in this thesis is my own original work and that I have not previously, in its entirety or in part, submitted it at any university for a degree. Signature: ………………………………………….. Date: ………………………….. ii Abstract South African science shows a decline in its global competitiveness in that its scholarly publication rate has not kept pace with that of other countries, both developed and developing. This, together with a decline in publication rate especially among junior South African scholars, suggests a structural problem in the South African national system of innovation. A declining publication rate indicates a problem of knowledge diffusion for South Africa, and hints at a possible knowledge generation problem. This thesis limits itself to the dynamics of knowledge diffusion with specific reference to Open Access scholarly communication. Open Access scholarly communication is an overt intervention regarding knowledge diffusion. The marginalisation of science in and of developing countries, leading to a state of knowledge imperialism and knowledge dependence, is addressed, and it is argued that knowledge diffusion and generation are at the heart of long-term economic growth. This thesis has been structured around two core sections, a theoretical framework based in the literature, and empirical study. The central concepts of scholarly communication and Open Access, national information policy (NIP), and national system of innovation (NSI) are elaborated upon in the theoretical framework (Chapters 2 and 3). The empirical part of this study (Chapters 4 and 5) in turn consist of two parts. Both parts used the survey method, however the first part made use of a questionnaire instrument, and the second part made use of a structured record review. Both empirical studies were used to assess levels of activity and extent of adoption of Open Access within a defined South African scholarly community, one discipline-based, the other institution-based. The aims of this study were two-fold: to assess levels of awareness of and investment in Open Access modes of scholarly communication within defined scholarly communities; and to create a benchmark document of South Africa’s involvement to date in various Open Access initiatives. The argument is made for the openness of scholarly systems, and furthermore that the disparate and uncoordinated nature of Open Access in South Africa needs a policy intervention. The policy intervention so identified would exist within an enabling policy environment and would be minimally disruptive to the South African science system. Said policy intervention would constitute a National Information Policy since it would address the storage, dissemination, and retrieval of scholarly research output. iii This thesis recommends the amendment of the current statutory reporting mechanism - used by scholars to report and obtain publication rate subsidies – which would require that scholars make their research available via an Open Access mode of scholarly communication, and moreover, would require scholars to report on having done so. iv Opsomming Die wetenskap as praktyk in Suid-Afrika toon ’n afname in internasionale mededingendheid. Laasgenoemde is sigbaar in die tempo waarteen Suid-Afrikaanse vakpublikasies nie tred hou met dié van ander nasies nie, beide ontwikkelde en ontwikkelende lande. Hierdie afname, gepaardgaande met ’n afname in publikasiegetalle van veral junior navorsers, sou kon dui op ’n strukturele probleem in Suid-Afrika se nasionale innovasiestelsel. ’n Afname in die vakpublikasietempo dui daarop dat Suid Afrika ’n probleem het ten opsigte van die distribusie van kennis. Hierdie werkstuk is beperk tot die dinamiek van kennisdistribusie met spesifieke verwysing na ‘Open Access’ wetenskaplike kommunikasie. ‘Open Access’ wetenskaplike kommunikasie is ’n eksplisiete intervensie gemik op kennisdistribusie. Wetenskap binne en vanuit ontwikkelende lande word alhoemeer onbelangrik geag en kennis-imperialisme and kennis-afhanklikheid neem toe. Aan hierdie laasgenoemde aspekte word ook aandag geskenk. ’n Deel van die argument wat geopper word is dat kennisdistribusie en kennis-generering kern aspekte van lang- termyn ekonomiese groei is. Hierdie werkstuk bestaan uit twee kern afdelings: ’n teoretiese raamwerk gebaseer op ’n literatuuroorsig, en ’n empiriese studie. Die sentrale konsepte van wetenskaplike kommunikasie en ‘Open Access’, nasionale inligtingsbeleid, en nasionale innovasiestelsels word beskryf in die teoretiese raamwerk (Hoofstukke 2 en 3). Die empiriese deel van hierdie studie (Hoofstukke 4 en 5) bestaan uit twee dele. Beide laasgenoemde dele maak gebruik van ’n opname as metodiek, maar die eerste deel het gebruik gemaak van ’n vraelys, en die tweede deel het gebruik gemaak van gestruktureerde studie van rekords (in die vorm van Webtuistes). Albei empiriese studies was gebruik om die vlak en mate van aktiwiteit rondom ‘Open Access’ binne ’n beperkte Suid-Afrikaanse wetenskaplike gemeenskap vas te stel. Hierdie gemeenskappe is gedefinieer óf volgens dissipline óf volgens instansie. Die doel van hierdie werkstuk was veelvoudig: om die vlak van kennis van en betrokkenheid by ‘Open Access’ inisiatiewe vas te stel binne Suid-Afrika; sowel as om ’n basis-dokument te skep insake Suid-Afrika se betrokkenheid tot op hede by verskeie ‘Open Access’ inisiatiewe. v Die argument vir ‘n oop wetenskaplike stelsel word gestel. Verder word geargumenteer dat die lukrake en ongekoördineerde manier waarop ‘Open Access’ tot dusver in Suid-Afrika bevorder is, daarop dui dat ’n intervensie op die vlak van beleid benodig word. Laasgenoemde beleid sou binne die bestaande beleidsomgewing geformuleer word, en sou relatief min ontwrigting meebring in die huidige Suid-Afrikaanse navorsingsopset. Die spesifieke beleid wat ter sprake is, is die nasionale inligtingsbeleid aangesien dit regulasies daarstel ten opsigte van die berging, distribusie, en herwinning van navorsingsuitsette. Hierdie werkstuk stel voor ’n verandering van die huidige statutêre verslagdoeningsmeganisme – wat gebruik word deur wetenskaplikes om verslag te doen oor hul gepubliseerde navorsing om navorsingsubsidie te kry – wat sou vereis dat wetenskaplikes hul navorsingsuitsette beskikbaar stel via ’n ‘Open Access’ kanaal, en verder, dat navorsers verslag doen oor laasgenoemde. vi Dedication In memory of John M Richardson, consummate educator and mentor, who passed away prematurely 20 March 2003. He believed in a 15 year old me and gave me a chance at a better education in the then apartheid South Africa. Acknowledgements It has been a stellar year marked by my feeling for the very first time that I had become part of a scholarly community. This thesis stands on the shoulders of many giants. I would hope that it sets some benchmark for future studies on Open Access scholarly communication in South Africa, and that it marks an interstice (one of many, to be sure) of a long and fruitful process of the evolution of scholarly communication in South Africa. Before thanking the persons who contributed in a concrete fashion to this thesis, with feedback, information, etc., I would firstly like to thank the two persons who contributed at an idea-level, as precursors, seven years ago, when I regarded myself more of a linguist than information scientist. They were the first persons with whom I had had online and offline conversations about the serials crisis, pre-prints, and ETDs (in effect conversations around ‘Open Access’, but the term had not been coined yet, then). Herbert Van de Sompel (BE + USA), good friend and colleague, I thank for listening, and for being there. Ann Okerson (USA) I thank for her different perspective which always makes me reconsider my position on a matter. Thanks to Raf Dekeyser (BE), who through his kind words, letters of recommendation and invitation, facilitated my attendance of the OAI3 workshop in Geneva in February 2004, and which, as a consequence, really fast-tracked this thesis process. Thanks also to Hennie Viljoen (SA), who was amenable to my involvement in the Stellenbosch annual library symposium in October 2003, in chairing a session on Open Access. During that session, as I argued a point with regard to the SAPSE system, I was reminded of how important this area of investigation was/is to me. It was then, that first weekend of November 2003, that I decided to abandon my then thesis topic for the one presented here. vii Words of thanks are due to my supervisor (and colleagues) in the Dept. of Information Science at Stellenbosch University. Thanks to Martin Van der Walt for his feedback during the proposal stage of this thesis. Hans Müller, my thesis supervisor, I thank for critiques during the remainder of the process and expert guidance through to its completion. Thanks to both of them for their spirited support. Though not officially a supervisor, I have to thank Ashraf Kagee (Dept. of Psychology, Stellenbosch University) for fielding my many questions around