【作者】 李爱群；

【导师】 邱均平；

【作者基本信息】 武汉大学 ， 情报学， 2009， 博士

【摘要】 从文献计量学的视角观察,期刊评价就是通过对反映期刊内在价值的客观指标进行文献计量统计,根据分析的结果对期刊进行排序和评价。相对于对国家和省市的宏观层次评价,对大学和研究所的中观层次评价,期刊评价与对研究人员的评价一样,属于微观层次的评价。但正是在微观层次上,出现的问题也较多。目前,国内期刊评价理论发展较完善,评价对象在自然科学和社会科学期刊上各有侧重,评价实践也呈现出多元化的发展态势,但仍有一些不足或欠缺之处。而美国的科学技术及学术期刊的发展总体上居于世界领先地位,美国科学情报研究所(ISI)开发的SCI、SSCI、A&HCI及JCR等对来源期刊的选择和评价受到了国际的广泛关注和认可,它虽然是美国的评价机构,但来源期刊来自世界各地,没有语种和地域的限制,并且其完善和成熟的评价体系代表了世界最权威的期刊评价水平,其期刊评价的理论与实践也已成为世界各国效仿的标杆。因此,在回溯中、美期刊评价历史的基础上,了解中、美期刊评价现状及未来的发展趋势,有助于更好地认识我国的期刊评价理论与实践发展现状,以取长补短,完善和规范期刊评价工作,促进我国期刊的良性竞争与健康发展。本文除“引言”和第7章“结论与展望”外,论文主体部分共5章,主要包含理论和实证研究两大部分。其中理论部分为第1-4章,实证部分为5-6章。论文第1章回溯了期刊评价的起源、理论基础与演变。核心期刊(Core Joumal)的概念最早产生于20世纪30年代的英国,发达于70年代的美国。布拉德福定律、加菲尔德定律、普赖斯的文献增长规律与文献老化指数,成为核心期刊遴选的三大理论基础。最初的核心期刊是为了揭示文献集中与离散的分布规律,那些刊登本学科较多论文的期刊就是核心期刊,它实际上只是一种基于论文数量统计的评价。引文分析法的出现和引文索引工具的使用,使人们对核心期刊概念的理解发生了根本转变。核心期刊不再是最初揭示文献集中与离散的分布规律,而是通过文献的被使用揭示其学术价值,核心期刊也由对论文数量的评价转变为对文献质量和学术影响力的评价。论文第2章是美国与中国学术期刊评价的基本概括。详细介绍了美国学术期刊评价体系的构成,并对其评价体系进行了述评。我国学术期刊评价经历了中国遴选国外科技期刊、中国遴选国内科技期刊两个阶段,其中详细介绍了《中文核心期刊要目总览》、《中国人文社会科学核心期刊要览》、《中文社会科学引文索引》、《中国科技期刊引证报告》、《中国科学引文数据库》和《中国学术期刊综合引证报告》6家核心期刊或来源期刊遴选单位及其研究成果,并介绍了对我国出版的英文期刊的评价现状。论文第3章是中、美两国学术期刊评价的比较。重点从评价目的与评价功能,评价主体与评价对象,期刊评价中的学科分类,整个评价过程中的各个环节,定性与定量的评价方法,核心区的划分与核心期刊数量的界定,学术期刊评价社会价值与影响力,学术期刊评价的外部环境,学术期刊评价中两组概念等9个方面进行比较,找出中、美两国在期刊评价中的异同之处,以及美国学术期刊评价对我国的启示。论文第4章分析了中、美两国学术期刊评价中存在的主要问题。美国学术期刊评价存在的主要问题是：以商业化经营为导向,在地域、语种方面的偏见,收录期刊学科分布不均,在收录人文社会科学期刊时,存在着意识形态的偏见。我国学术期刊评价存在的主要问题是：功利性导向使期刊评价成为科研管理与绩效评价的工具；过于看重文献计量的定量评价方法；期刊评价指标的数据客观性差,在发展性与国际化方面不足；引文不规范和统一引文数据库的缺乏直接影响评价结果的准确性；综合性期刊(含大学学报)的学科归类不准确；评价的时滞与监‘督机制的缺乏；我国人文社会科学类期刊评价的本土化问题。论文第5章是新形势下学术期刊分类分级评价理论模型的构建。在新的学术环境下,学术期刊评价呈现出国际化的趋势。评价对象的多元化,使仅有的印刷版期刊评价发展为印刷版、电子版、网络版评价并存的格局,而开放存取期刊也将是今后期刊评价的重要对象。5年影响因子、web即年下载率和h指数等新兴的评价指标开始被应用到期刊评价实践,纳入到期刊评价指标体系中去。信息技术和计算机的广泛应用,使评价方法和手段发生改变,通过采用各种软件技术进行统计和测评,将人们从以往繁重的人工手动检索、统计和计算的评价过程中解放出来。从文献计量学的角度来看,期刊按其刊载某学科专业论文的数量多少,可分为学科的核心区、相关区和非相关区。据此也可以假设,在庞大的学术期刊群中也一定也存在着某些层级。对学术期刊进行分类分级排序,能为学术期刊找准自己的定位,为科研评价和管理提供科学的依据,有利于国家对学术期刊的管理。在评价原则与评价方法上继承了武汉大学中国科学评价研究中心的教育评价体系,确定了期刊分等级评价的原则、评价标准,将学术期刊按照学科划分为5个等级,分别进行了较为全面、系统的综合评价。论文第6章是我国学术期刊分类分级评价的实证研究。详细说明了中国学术期刊评价的具体做法；公布了哲、经、法、教育、文、史、理、工、农、医、管理等11个学科以及本研究所属的图书馆、情报与文献学专业,共12个分学科的排行榜和所有4种分高校学报类型的排行榜；分析了我国核心期刊的学科分布、地区分布、自然科学类核心期刊被国外重要数据库收录情况、综合性核心期刊的核心效应、中国英文学术期刊的国际学术影响力和地区分布等评价结果。本文系武汉大学中国科学评价研究中心主持的“中国学术期刊评价研究”项目的研究成果之一。更多还原

【Abstract】 From the view of bibliometrics, journal evaluation is taking subjective indexes counts and then ranking and evaluating the journals. Comparing to the country, province and city evaluation at macro level, to the university and research institute at the middle level, journal evaluation and researcher evaluation belongs to evaluations at the micro level. But just at this level there are much more problems. Currently, Chinese journal evaluation is developing better in theories, with different emphasis on natural sciences and social sciences, with multi developing trend in practice. However, there are still some shortcomings. America stands out in science and academic journals and its theories and practice in journal evaluation have been the milestone in the world. SCI, SSCI, A&HCI and JCR set up by ISI, which is an American evaluation institute though, their source journals is distributed in the whole world and they have been widely accepted in the world. The mature theories and practice of ISI stand for the most authority level of the journal evaluation in the world. Therefore, on the basis of retrospecting the journal evaluation history, the author tends to know the status quo and the future trend between America and China. It is aiming at better understanding Chinese journal evaluation theories and practice, making up for the deficiency by learning from America’s strong points, making the evaluation perfect and standard, promoting the reasonable competition and healthy development of Chinese journals. Besides the first chapter "Introduction" and the last chapter "Conclusion and forecast", the main body of the dissertation consists of six chapters, which are divided into two parts:the theoretical part from chapter 2 to chapter 4 and the empirical part from chapter 5 to chapter 6.Chapter 1 retrospects the origin, theoretical basis and evolution of journal evaluation. The concept of core journals came up in England in the 1930s and was popular in America in the 1970s. Law of Bradford, Law of Garfiled, Price’s document increase law and obsolescence index make up the theoretical basis of core journal selection. The original core journals was to reveal the distribution rules of document concentrating and scattering and those journals that publish more documents in the field are the core journals. It actually is a statistical evaluation based on the article counts. The emergence of the citation analysis and the use of citation index totally change the understanding of the concept of core journals. The core journals, no more the document distribution rule, but the revelation of the academic value through the cited documents. Hence, the core journals transform from the evaluation on article counts to the evaluation on document quality and academic impact.Chapter 2 introduces the status quo of journal evaluation both in America and China. American journal evaluation system is introduced in details and the comments are given. Chinese academic journal evaluation has experienced the phases of the selection of science journals abroad and the selection of science journals at home, among which, A Guide to the Core Journals of China, A Guide to the Humanities & Social Science Core Journals in China, Chinese Social Science Citation Index, Chinese Science Journal Citation Report, Chinese Science Citation Database, Chinese Academic Journal Citation Report are core journal or source journal selection reports and are expounded. Evaluation on English journals published in China is introduced.Chapter 3 compares the journal evaluation between America and China from the aspects of purpose and function of evaluation, evaluation organization and evaluation object, discipline classification, the evaluation process, qualitative evaluation and quantitative evaluation, core area division and definition of core journal amount, social value and impact, outside environment,2 pairs of concepts comparison. The differences, similarities and the inspiration are studied and discovered.Chapter 4 analyzes the main problems exist in America’s and China’s journal evaluation. The main problems of America’s show as the following: commercialization-oriented; the prejudice toward region and language; imbalance in discipline distribution; prejudice toward ideology in inclusion of humanities and social science. The main problems in China shows as the following: utilitarian-orientation makes the journal evaluation the tool as science management and scientific performance evaluation; over-emphasizing the bibliometrical evaluation method; the evaluation indexes are not so subjective and not keeping close up with the global trend; inaccurate discipline division of the comprehensive journals (including university journals); time lag of evaluation and lack of supervision mechanics; the localization of the evaluation of Chinese humanities and social science journals.Chapter 5 is the construction of discipline classification and grading evaluation of academic journals in the new environment. Evaluation journal displays the international trend in the new academic era. The evaluation object consists of the print journals, e-journals, web journals and the open access journals as well in the near future. The new-emerging indexes of 5-year impact factor, web downloading rate and h-index began to be taken into the evaluation index system. The widespread application of information technology and computer makes the evaluation method and means big change. By the software’s, the researchers can be set free from the arduous search, statistics and computation by hand.From the aspect of bibliometrics, the journals can be divided into the core region, relative region and non-relative region of the specific discipline, according to the amount of articles of the discipline. So the hypothesis can be proposed as:there must be some different grades in the large amount of journals. The discipline division and grading of academic journals can help them locate their position in the discipline and provide reference for the science evaluation and management. The evaluation principle and method is inheriting the education evaluation system by Research Center of Chinese Science Evaluation of Wuhan University (RCCSE). The evaluation standard is formulated and the 5 grades are divided.Chapter 6 is the empirical study of discipline division and grading evaluation of Chinese academic journals. The evaluation process is explained in details. The 12 evaluation journal rankings of disciplines of philosophy, economics, law, education, literature, history, maths, engineering, agriculture, medicine, management and information and library science, the 4 rankings of university journals are listed in the appendix. The discipline distribution, area distribution of Chinese core journals, the inclusion of journals from natural sciences by the important foreign databases, the core impact of comprehensive core journals, the international academic impact and area distribution of English journals published by China have been analyzed respectively.This dissertation is one part of the project of "Chinese academic journal evaluation research" carried out by RCCSE of Wuhan University.更多还原