Hypermedia Online Publishing:
the Transformation of
the Scholarly Journal

1 Overview

1.1 Introduction 13

1.2 Definitions and scope 13

1.3 Aims of the study 14

1.4 Research questions 14

1.4.1 Artefacts 14

1.4.2 Stakeholders 14

1.5 Research design 15

1.5.1 Design questions 15

1.5.2 Research type 15

1.5.3 Data collection 16

1.6 Research implementation 17

1.6.1 Scholars 18

1.6.2 Libraries 18

1.7 Structure of the thesis 19

1.7.1 Theoretical setting 19

1.7.2 Historical perspective 19

1.7.3 Surveys and case studies 19

1.8 Related work 20

1.8.1 E-journals and tenure and reward structures 20

1.8.2 Citation studies 21

1.8.3 General attitudinal studies 22

1.8.4 Single e-journal readership survey 22

1.8.5 Survey of e-journals 23

1.8.6 Digital library studies 23

1.9 Conclusion 25

1.10 Previous Publications 25

1.10.1 Refereed 26

1.10.2 Non-refereed 26

2 Theoretical Perspectives

2.1 Introduction 27

2.2 Constructuralist ecology of communication 27

2.2.1 Initial assumptions 28

2.2.2 Concepts 29

2.2.3 Axioms and Theorems 30

2.2.4 An ecology of communicative transactions 31

2.2.5 Areas of application 32

2.2.6 Discussion 34

2.3 Punctuated equilibrium 34

2.3.1 Natural selection 34

2.3.2 Evolutionary change 35

2.3.3 Punctuated equilibrium and speciation 35

2.3.4 Other applications of punctuated equilibrium 36

2.4 A genre-based framework for new media 36

2.4.1 Definitions 36

2.4.2 Application questions 38

2.4.3 Discussion 39

2.5 Alternative theoretical perspectives 39

2.5.1 Modelled scholarly communication 39

2.5.2 Postmodern hypermedia 40

2.5.3 Open natural systems in digital libraries 40

2.5.4 Communication in science 40

2.5.5 Paradigm shifts in science 41

2.5.6 Social construction of technology 42

2.6 Conclusion 42

3 Print Publishing of Scholarly Journals

3.1 Introduction 44

3.2 Development of print journals 44

3.2.1 Early developments in communication 44

3.2.2 Rise of the scholarly journal 46

3.2.3 Current status 47

3.2.4 Communication and scholarship 47

3.3 Stakeholders in the scholarly journal ecology 48

3.3.1 Scholars 48

3.3.2 Scholarly societies 48

3.3.3 Publishers 48

3.3.4 Subscription agents 49

3.3.5 Libraries 49

3.4 Characteristics of print documents 49

3.4.1 Strengths 50

3.4.2 Deficiencies 50

3.5 Conclusion 51

4 Technology Developments

4.1 Introduction 52

4.2 Desktop Hardware 52

4.2.1 Processors 53

4.2.2 Multimedia facilities 53

4.2.3 Print output 53

4.2.4 Increasing ubiquity 54

4.3 Networks 54

4.3.1 Network infrastructure 54

4.3.2 The Internet 55

4.3.3 Trends in access 59

4.4 Hypertext and Hypermedia 59

4.4.1 Hypertext 59

4.4.2 Hypermedia 60

4.5 Software 60

4.5.1 Graphical User Interfaces 61

4.5.2 Multimedia 61

4.5.3 Page oriented solutions 63

4.5.4 Document oriented solutions 65

4.5.5 The Web 67

4.5.6 Computer-mediated communication 70

4.6 Characteristics of electronic documents 72

4.6.1 Strengths 72

4.6.2 Weaknesses 73

4.6.3 Archival issues 74

4.7 Conclusion 75

5 Potentials and Pressures for Transformation

5.1 Introduction 76

5.2 Transformation of publishing functions 76

5.2.1 Authoring 77

5.2.2 Peer review 77

5.2.3 Production 78

5.2.4 Notification 79

5.2.5 Distribution and access 79

5.2.6 Navigation 80

5.2.7 Archiving 82

5.3 Transformation of stakeholder roles 82

5.3.1 Scholars 83

5.3.2 Scholarly Societies 83

5.3.3 Publishers 83

5.3.4 Subscription agents 83

5.3.5 Libraries 83

5.4 Pressures for transformation 83

5.4.1 Journal economics 84

5.4.2 Problems with refereeing 84

5.4.3 Delays to publication 85

5.4.4 Limited interaction 86

5.4.5 Loss of ownership of knowledge 86

5.4.6 Need for associated intermediary processes 86

5.5 Conclusion 87

6 Developing Responses

6.1 Introduction 88

6.2 Responses 88

6.2.1 Early stirrings 88

6.2.2 Electronic text 89

6.2.3 Electronic paper 89

6.2.4 Hypertext articles 90

6.2.5 Multimedia enhancements 90

6.2.6 Embedded simulations 91

6.2.7 Increased interaction 91

6.2.8 New models for peer review 91

6.2.9 New economic models 92

6.2.10 Specialisation 94

6.2.11 Preserving brand identity 94

6.3 Leading-edge examples 95

6.3.1 Journal of Biological Chemistry 95

6.3.2 Journal of Artificial Intelligence Research 97

6.3.3 Journal of Interactive Media in Education 99

6.4 Conclusion 102

7 Surveys

7.1 Introduction 103

7.2 Survey process 103

7.2.1 Design 103

7.2.2 Target populations 104

7.2.3 Survey administration 105

7.2.4 Survey response 106

7.2.5 Error minimisation 108

7.2.6 Data encoding 109

7.2.7 Descriptive analysis 109

7.2.8 Statistical analysis 111

7.3 Survey Results 113

7.3.1 Basic demographics 113

7.3.2 Access to technology 117

7.3.3 Use of electronic publishing technologies 120

7.3.4 Advantages of electronic scholarly publishing 128

7.3.5 Disadvantages of electronic scholarly publishing 136

7.4 Conclusion 144

8 Library Case Studies

8.1 Introduction 145

8.2 Case study research 145

8.2.1 Overview 145

8.2.2 Case study issues 145

8.2.3 Designing the case study 146

8.2.4 Data collection 147

8.2.5 Data analysis 148

8.3 Highwire Press 149

8.3.1 Overview 149

8.3.2 Origins and organisation 149

8.3.3 Financial sustainability 149

8.3.4 Products 150

8.3.5 Lessons learned 150

8.3.6 Future prospects 151

8.4 Internet Library of Early Journals (ILEJ) 151

8.4.1 Overview 151

8.4.2 Origins and organisation 151

8.4.3 Financial sustainability 152

8.4.4 Products 152

8.4.5 Lessons learned 153

8.4.6 Future prospects 153

8.5 Project Educate 154

8.5.1 Overview 154

8.5.2 Origins and organisation 154

8.5.3 Financial sustainability 155

8.5.4 Products 155

8.5.5 Lessons learned 156

8.5.6 Future prospects 156

8.6 Project Muse 156

8.6.1 Overview 156

8.6.2 Origins and organisation 157

8.6.3 Financial sustainability 157

8.6.4 Products 157

8.6.5 Lessons learned 158

8.6.6 Future prospects 158

8.7 Scholarly Communications Project 159

8.7.1 Overview 159

8.7.2 Origins and organisation 159

8.7.3 Financial sustainability 159

8.7.4 Products 159

8.7.5 Lessons learned 160

8.7.6 Future prospects 160

8.8 Conclusion 160

9 Interpretation of findings

9.1 Introduction 161

9.2 Transformations in the form of journals 161

9.2.1 Insights from theoretical perspectives 161

9.2.2 Insights from research literature 167

9.2.3 Insights from thesis surveys 170

9.2.4 Insights from case studies 171

9.2.5 Other insights 172

9.3 Transformations in the function of journals 172

9.3.1 Insights from theoretical perspectives 173

9.3.2 Insights from research literature 174

9.3.3 Insights from thesis surveys 175

9.4 Transformations in stakeholder roles 176

9.4.1 Insights from theoretical perspectives 176

9.4.2 Insights from research literature 177

9.4.3 Insights from case studies 178

9.5 Transformations in stakeholder practices 178

9.5.1 Insights from theoretical perspectives 179

9.5.2 Insights from research literature 179

9.5.3 Insights from thesis surveys 180

9.5.4 Insights from case studies 181

9.6 Conclusion 182

10 Conclusions

10.1 Introduction 183

10.2 Transformations in the form of journals 183

10.2.1 Future of the journal as artefact 183

10.2.2 A new technology stasis? 184

10.2.3 Archiving the e-journal 184

10.3 Transformations in the function of journals 184

10.3.1 Evolution or revolution? 184

10.4 Transformations in stakeholder roles 185

10.4.1 Interlocking systems and interdependencies 185

10.5 Transformations in stakeholder practices 185

10.5.1 Technology as enhancer 185

10.5.2 Who does the archiving? 185

10.6 Final thoughts 186

11 Survey Instruments

11.1 Email survey instrument 187

11.2 Print survey instrument 189

11.3 Library Case-Study Questions 191

12 References

12.1 Reference List 194

13 Previous Publications

13.1 Refereed 205

13.2 Non-refereed 205

14 Addendum

14.1 Errata 206

14.2 Responses to research findings comments 206

14.2.1 Survey phase 206

14.2.2 Specific comments 207

14.3 Responses to suggestions 208

14.3.1 Purpose and significance 208

14.3.2 Scope 208

14.3.3 Methodology 208

14.3.4 E-Journal forms 209

14.3.5 E-Journal functions 209

14.3.6 Publishers as stakeholders 209

14.3.7 Roles of providing access and archives 209

14.3.8 Role in the scholarly communication process 209

14.3.9 Sustainability 210

14.3.10 Copyright responsibilities 210

14.3.11 Implications 210

Ecology of Communicative Transactions. Source: [Kaufer&Carley1993, p. 89], used by permission. 32

The Knowledge-Interaction Cycle. Source: [Kaufer&Carley1993, p. 144], used by permission. 33

Integrated Theoretical Perspectives 43

The Electronic Networking Universe. Source: The Internet Society 54

Internet Users and Global Population. Source: Internet Society 56

WWW Architecture. Source: Arshad Omari (a.omari@cowan.edu.au) 68

Opening Screen for JBC Online . Source: JBC Online Website 95

Opening Screen for JAIR . Source: JAIR Website 97

Opening Screen for JIME . Source: JIME Website 99

Sample JIME article. Source: JIME Website 100

JIME Review LifeCycle. Source JIME Website. Used by permission. 101

Frequency Histogram for A-Speed, split by Survey (N=1038) 129

Frequency Histogram for A-24 Hour, split by Survey (N=1038) 130

Frequency Histogram for A-Convenience, split by Survey (N=1038) 131

Frequency Histogram for A-Feedback, split by Survey (N=1038) 132

Frequency Histogram for A-Paper, split by Survey 133

Frequency Histogram for A-Searching, split by Survey 134

Frequency Histogram for A-Multimedia, split by Survey 135

Frequency Histogram for A-Affordability, split by Survey 136

Frequency Histogram for D-Quality, split by Survey (N=1038) 137

Frequency Histogram for D-Refereeing, split by Survey (N=1038) 138

Frequency Histogram for D-Copyright, split by Survey (N=1038) 139

Frequency Histogram for D-Plagiarism, split by Survey (N=1038) 140

Frequency Histogram for D-Skills, split by Survey (N=1038) 141

Frequency Histogram for D-Equipment, split by Survey (N=1038) 142

Frequency Histogram for D-Format, split by Survey (N=1038) 142

Frequency Histogram for D-Costs, split by Survey (N=1038) 143

Notes and Queries , Vol. 6, No. 140, p. 1. Source: ILEJ Web pages. 153

Pathfinders Navigation map 155

Research Questions and Data Collection Strategies 16

Assumptions behind a constructural theory of communication. Source: Based on [Carley1995] 28

Email survey Responses by Country (N=336) 107

Frequency Distribution for Survey Groups (N=1038) 108

Encoded Variables 110

Observed Frequencies for Society, Industry Category (N=1038) 111

Industry Sector breakdown by Society (N=1038) 114

Employment Role breakdown by subgroup and total 115

Industry Sector (X-axis) against Employment Role (Y-axis), APA (N=486) 116

Industry Sector (X-axis) against Employment Role (Y-axis), APS (N=87) 116

Industry Sector (X-axis) against Employment Role (Y-axis), BPS (N=129) 117

Access to Technology (N=1038) 117

Frequency Distribution for T-Colour, split by Survey (N=1038) 119

Frequency Distribution for T-Network, split by Society (N=1038) 119

Post Hoc Cell Contributions for Direct Network connection, split by Society 119

Frequency Distribution for T-Modem, split by Society (N=1038) 120

Frequency Distribution for F-Subscribe, split by Society (N=1038) 121

Post Hoc Cell Contributions for F-Subscribe, split by Society 122

Frequency Distribution for F-FTP, split by Survey (N=1038) 122

Post Hoc Cell Contributions for F-FTP, split by Survey 123

Frequency Distribution for F-Gopher, split by Survey (N=1038) 123

Frequency Distribution for F-WWW, split by Society (N=1038) 124

Post Hoc Cell Contributions for F-WWW, split by Society 124

Frequency Distribution for F-CDROM, split by Society (N=1038) 125

Post Hoc Cell Contributions for F-CDROM, split by Society 125

Frequency Distribution for F-Views, split by Society (N=1038) 126

Post Hoc Cell Contributions for F-Views, split by Society 127

Frequency Distribution for F-Psyche, split by Society (N=1038) 127

Frequency Distribution for F-Publishes, split by Survey (N=1038) 128

Frequency Distribution for A-Speed, split by Survey (N=1038) 129

Frequency Distribution for A-24 Hour, split by Survey 130

Frequency Distribution for A-Convenience, split by Survey (N=1038) 131

Frequency Distribution for A-Feedback, split by Survey (N=1038) 132

Frequency Distribution for A-Paper, split by Survey (N=1038) 133

Frequency Distribution for A-Searching, split by Survey (N=1038) 134

Frequency Distribution for A-Multimedia, split by Survey 135

Frequency Distribution for A-Affordability, split by Survey 136

Frequency Distribution for D-Quality, split by Survey (N=1038) 137

Frequency Distribution for D-Refereeing, split by Survey (N=1038) 138

Frequency Distribution for D-Copyright, split by Survey (N=1038) 139

Frequency Distribution for D-Plagiarism, split by Survey (N=1038) 140

Frequency Distribution for D-Skills, split by Survey (N=1038) 141

Frequency Distribution for D-Equipment, split by Survey (N=1038) 142

Frequency Distribution for D-Format, split by Survey (N=1038) 143

Frequency Distribution for D-Costs, split by Survey (N=1038) 144

Case study tactics and responses (Source: [Yin, 1998]) 147

Abstract

This thesis looks at the impact of the technologies of networking and hypermedia on the scholarly journal. It does so in five main sections. The first section, Overview and Theory, begins by outlining the aims of the study and examining prior related work. Next it defines the three main theoretical perspectives that inform the research (a constructuralist ecology of communication, punctuated equilibrium, and a genre-based framework for new media) as well as considering and rejecting a number of alternatives. The second section, Publishing and Technology, first places the scholarly journal in its historical context and then identifies the stakeholders in the scholarly journal ecology. It then looks at the range of technology developments over the last twenty years that have the potential to be applied to scholarly communication. The third section, Potentials and Responses, looks at the ways in which both publishing functions and stakeholder roles could be transformed and at some of the pressures for such a transformation. It then considers some of the responses that have developed because of these pressures and the potentials of the available technologies. The fourth section, Surveys and Case Studies, presents evidence gathered in this thesis project about users and libraries as key stakeholders. The survey is designed to gather evidence from users about their access to technology, use of electronic publishing, and attitudes to electronic journals. The library case studies look at leading edge examples of libraries who are actively facilitating electronic publishing. The final section, Interpretations and Conclusions, takes the results of all the research activities and discusses them in the context of possible transformations of the roles and practices of stakeholders and the form and function of journals. Evidence from each of the theoretical perspectives, research literature, survey and case studies is brought to bear on each transformation. The concluding chapter discusses the future of the journal as artefact, the possibility of a new technology stasis, whether changes in journals can best be characterised as evolution or revolution, the interlocking systems and interdependencies of the various stakeholders, the archiving dilemma, and the role of technology as enhancer

Statement of originality

I hereby certify that this thesis contains no material that has been accepted for the award of any other degree or diploma in any university or other institution. I further certify that to the best of my knowledge, this thesis contains no material previously published or written by another person, except where due reference is made in the text of the thesis.

Signed: Date: / /1998

Acknowledgements

I wish to first of all acknowledge the ongoing support and encouragement of my supervisor, Professor Don Schauder. Endlessly enthusiastic and visionary, he pushed me to do things that he knew at the time (and I realised later) would significantly improve this thesis. I hope that it can stand as a worthy successor to his ground-breaking work [Schauder, 1994a].

My thanks are also due to my Head of School, Professor Andrzej Goscinski, for the way in which he spurred me on to completion and provided me with the study leave to achieve so much. I must also acknowledge my long-suffering colleagues (who covered my teaching and administration while I was away), my students (who have had to deal with my over-enthusiasm for my subject), and Deakin University.

The data collection for the Library Case Studies section was funded by the Victorian Association for Library Automation under their travel grant scheme. Their assistance is greatly appreciated.

No man is an island, and I am no exception. In a very real sense, this is not just my thesis but the work of my extended self, my family. My deep thanks are due to my sons, Mark and Iain, who have put up with extended absences during school holidays, missed birthdays, and a somewhat distracted father when I was working particularly intensely. Hopefully, the return to some semblance of normal family life after four years will not come as too much of a shock.

Lastly, but of course most importantly, my thanks to the other half of me, my wife Dawn. Words alone cannot express the way in which she has enabled me to accomplish this work - in a very real sense her name should also be on the title page.