UNIVERSITY OF CALIFORNIA Los Angeles From Codex to Bits: Discourses, Practices and Materialities in the Open Textbook Phenomenon A dissertation submitted in partial satisfaction of the requirements for the degree Doctor of Philosophy in Information Studies by Athanasia Chtena Copyright by Athanasia Chtena 2019 ABSTRACT OF THE DISSERTATION From Codex to Bits: Discourses, Practices and Materialities in the Open Textbook Phenomenon by Athanasia Chtena Doctor of Philosophy in Information Studies University of California, Los Angeles, 2019 Professor Jean-François Blanchette, Chair Using interviews, observations and a system analysis approach this research project tracks the development and implementation of open textbooks in Californian higher education over 24 months. Open textbooks – which are digital textbooks that can be freely accessed, shared and adapted – are being embraced by governments, philanthropists and educational institutions as a possible solution to the college access and affordability ‘crisis’ in the United States. Yet, while much work has been done to create, disseminate and champion open textbooks, our understanding of how these resources are impacting upon the higher education landscape remains limited. This study makes the case that it is increasingly crucial to investigate empirically how educational technologies like open textbooks ‘come to be’ (that is how they are constructed, both socially and materially-technologically), while at the same time assessing how these resources are actually deployed in practice. The study demonstrates that binary conceptualizations of openness (i.e., ‘open’ vs ‘closed’) based on formal characteristics (e.g., ii licensing) are not reflective of how people ‘do’ openness in practice, and that different needs, values, priorities and interpretations of ‘open’ give rise to different artifacts in different disciplines and institutional settings. Moreover, the study shows how the frictions of open textbook production, circulation, and maintenance – the labor and expense, cultural barriers, as well as infrastructural limitations – belie the fantasy of open textbooks as a dynamic interface prime for adaptation, modification and remix. Finally, this study challenges persistent narratives about the so-called ‘immateriality’ of open textbooks by highlighting the durability of print and paper practices within an increasingly digital environment. Ultimately, by placing open textbooks in a wider context, this study questions discourses that assume that educational change is driven by progressive technological advance, and which posit a distinct divide between “open” and “traditional” textbooks, as well as between “new” and “old” technologies more broadly. It argues that educational disruption occurs within existing norms and practices and alongside existing technologies (e.g., print) in a heterogeneous socio-technical field where technological artifacts (e.g., open textbooks) continuously evolve around new innovations (e.g., Big Data). iii The dissertation of Athanasia Chtena is approved. Johanna R. Drucker Christopher M. Kelty Cecilia Rios-Aguilar Jean-François Blanchette, Committee Chair University of California, Los Angeles 2019 iv I dedicate this dissertation to my grandmother, who passed away while I was working on this project. This work is also dedicated to all the people who are working on open textbooks – the publishers, designers, librarians, instructors, instructional designers, students, open education researchers—who let me hang around them, generously explained their work to me, and indulged my curiosity with sincerity and good humor, even when some of them weren't exactly sure what I was doing. Thank you all for making this research project possible with your generosity, bluntness and openness – this dissertation would not have come to fruition without you. I would also like to extend special thanks to James-Glapa Grosklag, Peri Klemm, Serban Raianu, Richard Baraniuk, Kathi Fletcher, Ross Reedstrom and the rest of the team at OpenStax, who welcomed me with open arms. I am grateful – more than he will ever know – to my advisor and mentor, Jean-François Blanchette, who guided me with patience and kindness and kept me on track. He has read multiple drafts of this dissertation (not to mention fellowship proposals, research and teaching statements), and he has always given me feedback at exactly the right level of abstraction that I needed: from high-level thoughts on first-drafts to line-by-line edits on final versions. In addition, he coached me on my job interviews, consoled and counseled me through research crises, provided much-needed space when I was struggling with my health, and wrote numerous recommendation letters for me. I’ve been blessed, not just with a wonderful advisor, but a wonderful committee, as well. Johanna Drucker, Christopher Kelty and Cecilia Rios-Aguilar have all supported and challenged me in the right ways, and I am incredibly grateful for their advice and mentorship over the past few years. Johanna’s no-nonsense, big-picture feedback always came when I needed it most and Chris played a central role in getting me full access to OpenStax, enabling a huge part of this dissertation research. He also persistently reminded me to not use the term ‘ethnography’ or ‘anthropologist’ loosely, and for that I am most grateful. I am extremely grateful to the Department of Germanic Languages, and in particular Magdalena Tarnawska, for offering me a job year after year and for giving me the opportunity to hone my teaching skills in a variety of courses and areas while working on this project. Of course, I couldn’t have written this dissertation without the support of the Department of Information Studies, which has been extremely generous in its support as well. Special thanks to Amy Gershon, for being the best Director of Student Services one could hope for, and an incredibly solid human being as well. I am also thankful to my family, especially my mother, who supported me gracefully and selflessly during this crazy journey. And, of course, to my non-biological family, my friends and colleagues who made the tough times more bearable and the fun times even better. You know who you are and I’m grateful to know you. Last but not least, I am thankful to my old mentor and friend, Thodoris Colovos. My dear, thank you for believing in me, for pushing me to my limits, and for showing me how to reach for the stars. v TABLE OF CONTENTS CHAPTER 1: INTRODUCTION AND THEORETICAL FRAMING 1 1.1 INTRODUCTION 1 1.2 BACKGROUND AND AIMS OF THIS STUDY 3 1.3. RESEARCH QUESTIONS 5 1.4. THEORETICAL BACKGROUND AND CONTRIBUTIONS 6 1.4.1. THE SOCIAL CONSTRUCTION OF TECHNOLOGY 8 1.4.1.1. HOW SOCIAL CONSTRUCTION WORKS: FROM BICYCLES TO OPEN TEXTBOOKS 10 1.4.1.2. SCOT IN EDUCATIONAL RESEARCH: WHAT FOR? 13 1.4.2. THE MATERIAL TURN IN SOCIAL SCIENCE: THEORIZING ‘THINGNESS’ 15 1.4.2.1. MATERIALITY AND SOCIOMATERIALITY IN EDUCATIONAL RESEARCH 17 1.4.3. INFRASTRUCTURE FROM A SOCIAL SCIENCE LENS 22 1.4.4. THEORETICAL CONTRIBUTIONS OF THIS DISSERTATION 25 1.5. DISSERTATION STRUCTURE 28 1.6. WORKS CITED 33 CHAPTER 2: BACKGROUND ON OPEN TEXTBOOKS AND RESEARCH METHODS 44 2.1. INTRODUCTION 44 2.2. A (BRIEF) HISTORY OF OPEN TEXTBOOKS 44 2.3. OPEN TEXTBOOKS IN CALIFORNIA HIGHER EDUCATION 49 2.4. DEFINITIONS OF KEY CONCEPTS 52 2.4.1. OPEN EDUCATION 52 vi 2.4.2. OPEN EDUCATIONAL PRACTICES 53 2.4.3. OPEN TEXTBOOKS 55 2.4.4. OPEN LICENSES 58 2.5. EXISTING LITERATURE ON OER AND OPEN TEXTBOOKS 60 2.5.1 THE PROMISE OF OER 61 2.5.2. OER ADOPTION BARRIERS AND CHALLENGES 63 2.5.3. OER PRACTICES AND USAGE 66 2.5.4. RESEARCH ON OPEN TEXTBOOKS 68 2.6. METHODS AND METHODOLOGY 71 2.6.1 GROUNDED THEORY 71 2.6.2. MULTI-SITED ETHNOGRAPHY 72 2.6.3. RESEARCH SITES 74 2.6.4. INTERVIEWS 75 2.6.4.1 SAMPLING 75 2.6.4.2 RELEVANT SOCIAL GROUPS 76 2.6.5. OBSERVATIONS 78 2.6.5.1. CLASSROOM OBSERVATIONS 78 2.6.5.2. SUMMITS, WORKSHOPS AND CONFERENCES 80 2.6.6. FIELD NOTES 81 2.6.7. SYSTEM ANALYSIS 82 2.6.8. DATA ANALYSIS 84 2.6.9. ISSUES AND PROBLEMS 85 2.7. CONCLUSION 87 2.8. WORKS CITED 87 CHAPTER 3: A LONG VIEW OF OPEN 108 vii 3.1. INTRODUCTION 108 3.2. OPEN EDUCATION IN THE ‘PRE-INTERNET’ ERA: A BRIEF HISTORY 111 3.3. OPEN EDUCATION FROM THE 1980S ON: FREE SOFTWARE, OPEN SOURCE SOFTWARE AND THE ‘TECHNOLOGICAL TURN’ IN OPENNESS 123 3.4. ED-TECH AND DISCOURSES OF DISRUPTION 139 3.5. CONCLUSION 146 3.6. WORKS CITED 148 CHAPTER 4: THE SOCIAL CONSTRUCTION OF OPENNESS 167 4.1. INTRODUCTION 167 4.2. SCOT AND THE SOCIAL CONSTRUCTION OF OPEN TEXTBOOKS 168 4.2.1. WHAT SCOT CAN TELLS US ABOUT OPEN TEXTBOOKS 168 4.2.2. RELEVANT SOCIAL GROUPS 170 4.3. PERCEPTIONS OF THE RELEVANT SOCIAL GROUPS 171 4.3.1. FUNDERS 171 4.3.2. ADVOCACY GROUPS 174 4.3.3. PUBLISHING AND EDUCATIONAL TECHNOLOGY COMPANIES 177 4.3.4. OPEN TEXTBOOK PROVIDERS 180 4.3.5. INSTRUCTORS 185 4.3.6. LIBRARIANS 188 4.3.7. STUDENTS 192 4.3.8. COLLEGE ADMINISTRATORS 193 4.4. WHAT TYPE OF ‘OPEN’? 196 4.5. OPEN TEXTBOOKS MEET BIG DATA AND PREDICTIVE ANALYTICS 197 viii 4.6. CONCLUSION 204 4.7. WORKS CITED 206 CHAPTER 5: MODULARITY REVISITED: FROM KNOWLEDGE BUILDING BLOCKS TO TURNKEY TEXTBOOKS 216 5.1. INTRODUCTION 216 5.2. FROM CONNEXIONS TO OPENSTAX: THE ORIGIN STORY 219 5.3. OPENSTAX TODAY 226 5.4. FROM ‘KNOWLEDGE CHUNKS’ TO ‘TURNKEY’ TEXTBOOKS 231 5.5. BUSINESS MODEL: AN ECOSYSTEM APPROACH 235 5.6. MAKING OPEN TEXTBOOKS 240 5.7. DISTRIBUTING OPEN TEXTBOOKS 244 5.8. MAINTENANCE AND ‘REPAIR’ 247 5.9. REMIXING OPEN TEXTBOOKS 250 5.10.