【作者】 袁顺波；

【导师】 华薇娜；

【作者基本信息】 南京大学 ， 情报学， 2013， 博士

【摘要】 随着网络技术的发展以及科研人员对学术信息自由交流呼声的日益高涨,传统学术交流体系已不能完全适应科研发展的要求,学术交流危机出现并日益严重,在此背景下,图书馆、科研人员开始思考新的学术交流途径。作为一种新型的学术交流方式,开放存取(Open Access,OA)被学术界提出并从上世纪90年代开始得到了快速发展,一般而言,实现OA可通过名为“绿色通道”(Green Road)的自存储和“黄金途径”(Gold Road)的OA期刊等两种途径。然而,与图书馆、出版界、学科库与机构库建设者的热情相比,OA运动遭遇到了来自科研人员的“寒流”,在实际发展过程中普遍遇到了科研人员难以认同、不情愿或不积极主动提供研究成果的境况,资源建设与利用成为了制约OA运动进一步发展的瓶颈问题。科研人员是关系到OA资源建设成功与否的关键要素,他们既是资源提供者,也是资源利用者。本文从科研人员在OA运动中的双重角色入手,对科研人员的参与行为现状及影响因素进行系统研究。前两章为绪论和文献综述部分,绪论部分首先介绍了研究背景以及研究参与行为的意义,明确了研究目标、研究内容、研究思路与方法以及研究重点与难点。文献综述部分则从国外和国内两大方面,系统地梳理了OA运动中科研人员参与行为相关研究现状,并总结了该领域现有研究的不足:研究重点集中在科研人员以作者身份参与OA运动的系列问题,对科研人员以利用者身份参与OA的问题缺少足够重视;大多为科研人员对OA期刊和自存储的认知和态度等方面的描述性研究,少有学者通过挖掘变量之间的关系开展解释性研究。在此基础上,本文指出需要针对我国科研人员的参与行为开展模型构建与实证分析等较为深入的本土化研究工作。在理论模型与研究假设部分,本文借鉴了现有的态度行为关系理论和信息技术接受理论,并针对OA运动的特殊性,采取探索性访谈方法,对12位科研人员参与OA运动的意愿及原因进行了初步了解。在综合了文献调研、现有理论基础以及探索性访谈等内容的基础上,构建了OA运动中科研人员的资源提供行为理论模型和资源利用行为理论模型。提供行为理论模型以“科研信仰”、“感知成本”、“感知风险”、“感知有用性”、“社群影响”和“促进条件”为核心变量,以“资源提供行为态度”作为中间变量,以“资源提供行为意向”作为因变量;利用行为理论模型以“感知任务/OA匹配度”、“感知利用风险”、“感知资源有用性”、“社群影响”和“促进条件”为核心变量,以“资源利用行为态度”作为中间变量,以“资源利用行为意向”作为因变量。在问卷设计与数据收集部分,本文首先根据理论模型确定了问卷的初始测度,并进行了一定的调整,然后进行小规模的预调查,对预调查结果进行信度分析和效度分析,根据分析结果对调查问卷再次进行了相应调整。最后利用调整后的问卷进行正式调查,在网站上发布题为“自存储发展中科研人员的参与行为”和“开放存取期刊发展中科研人员的参与行为”的调查问卷。在自存储/OA期刊发展中科研人员的参与行为部分,本文对调查所得的数据进行了描述性统计分析,明确了我国科研人员在自存储/OA期刊发展中的参与行为现状,并采用独立样本t检验和单因素方差分析法,从性别、年龄、职称、地区和学科等方面对科研人员的参与行为进行了分组分析,发现上述因素对科研人员的参与行为现状均有不同程度的影响。在分组分析的基础上,采用SEM分析法,对自存储/OA期刊发展中科研人员的资源提供行为模型和资源利用行为模型进行了检验与修正,并对提出的假设进行验证。结果表明模型的拟合指标值较高,模型适配度较为理想且整体解释力较高。在以AMOS提供的MI指数为依据对模型进行了必要的修正后,最终确定了自存储/OA期刊发展中科研人员的资源提供行为模型和资源利用行为模型。在影响因素分析及发展策略部分,本文在实证研究的基础上,首先对各影响因素进行了详细分析,对实证结果中各变量之间的关系进行了解释。然后提出了推动我国OA运动发展的七大策略,具体包括广泛宣传与倡导OA理念、切实加强OA资源的质量控制、妥善解决OA发展中的版权问题、充分发挥图书馆在OA运动中的作用、稳步推进OA管理政策建设、探索多种OA期刊出版的实现方式和加强OA期刊的评价与甄选。最后,本文总结了研究所得的基本结论、研究贡献与局限,并展望了未来研究的发展方向。更多还原

【Abstract】 Due to the development of network technology and the requirements of freedom scholarly communication,the tradition scholarly communication system has become not completely meet the requirements of scientific research and the scholarly communication crisis has become increasingly serious.Therefore,the libraries and researchers began to explore new communication pathway.Open access is a new mode of scholarly communication and has got rapid development from 1990s,and there are two roads to implement OA,one is self-archiving,and the other is OA journal.However,compared to the enthusiasm of libraries,publishers and institutional/subject repositories’ managers,OA movement encountered the cold snap of researchers.Most of researchers do not recognize with the concept of OA and have no intention to deposit their papers,which makes the collection construction and usage be the bottleneck of the OA development.Researchers are the key factors of the collection construction,for they are both resources providers and resources users.This paper starts from the dual role of researchers in the OA movement,to study the status of participative behaviors and influencing factors systematically.The first two chapters are the introduction and the literature review section.In the introduction chapter,the paper presents the background and significance of the research,and makes clear the research goal,content,route,research methods,research focus and difficulties.In the literature review chapter,the paper reviews the status of research on participate behavior of researchers in the OA movement,and analyzes the inadequacies of the existing researches.First,the researches focus on the participative behaviors of researchers as resources providers,while research on the participative behaviors of researchers as resources users dosen’t attract enough attention.Second,most studies are descriptive researches,while the explanatory researches are relatively rare.In the end of this chapter,the paper points out that it is need to do the localization research on the model construction and empirical analysis of the researchers’ participative behaviors.In the theoretical model and hypotheses chapter,this paper first uses the attitude-behavior theories and information technology adoption theories as theoretical basis,and conducts anexploratory interviews of 12 researchers on their intention and the influencing factors.Then constructs the theoretical models of the OA resources providing and usage respectively,based on the results of literature analysis,theoretical basis and exploratory interviews.In the OA resources providing model,research belief,perceived cost,perceived crisis,perceived usefulness,social influence and facilitating conditions are the core variables,providing behavior attitude is the mediating variable and providing behavior intention is the dependent variable.In the OA resources usage model,perceived task OA fit,perceived usage risk,perceived resources usefulness,social influence and facilitating conditions are the core variables,usage behavior attitude is the mediating variable and usage behavior intention is the dependent variable.In the questionnaire design and data collection chapter,the paper proposes the initial measuring scale,which is modified based on the small-scale interview.A test survey is carried out,and statistical analysis is used to optimize the measuring scale,base on which the formal questionnaire is determined.At last,questionnaires entitled participative behavior of researchers in the development of self-archiving and participative behavior of researchers in the development of O A journals are posted in the sojump website.In the participative behavior of researchers in the development of self-archiving/OA journals chapter,the paper first conducts a descriptive analysis of the data to make clear the status of researchers,participation in OA movement.Independent sample t-test and One-way ANOVA are used to determine the influences of gender,age,professional title,region and disciplinary.The SEM method is used to test and modify the theoretical models.The results show that the fit index value,the degree of model fit and overall explanation are high enough to meet the requirements.The participative behavior model of researchers in the development of self-archiving/OA journals is fixed after the modification based on the MI index provided by AMOS.In the influencing factor analysis and development strategy chapter,the paper makes a detailed analysis of each influencing factor and explains the relationship between the variables,based on the results of the empirical research.Furthermore,several strategies are proposed,such as promote the concept of OA widely,enhance the quality control of OA resource,resolve the copyright issues properly,exert the role of libraries in the OA movement,progress the construction of OA policy steadily,explore a variety of ways to achieve OA publishing,and strengthen the evaluation and selection of OA journals.In the end,this paper summarizes the basic conclusions of the research,research contributions and limitations,and then points out the directions of the future research.更多还原