How Open Data Entrepreneurs Advance Institutional Change

How Open Data Entrepreneurs Advance Institutional Change by Helen Lasthiotakis A thesis submitted in conformity with the requirements for the degree of Doctor of Philosophy Graduate Department of Leadership, Higher and Adult Education University of Toronto © Copyright by Helen Lasthiotakis 2017 How Open Data Entrepreneurs Advance Institutional Change Helen Lasthiotakis Doctor of Philosophy Department of Leadership, Higher and Adult Education University of Toronto 2017 Abstract Openness is one of the fundamental principles of scientific inquiry and the benefits of open research data include accountability, transparency, and efficiency. Change is also an expected prerequisite for scientific progress, yet, despite recent technological advances enabling open data not all data generated during scientific inquiry is normally available. This thesis examines the institutional work of open science entrepreneurs’ efforts to introduce open data practices, thus advancing institutional change in science. Through a multi-case study of five institutional entrepreneurs, this study is guided by the question – How do open data entrepreneurs institutionalize a new open data practice? First, the background of open data as a scientific practice is presented, highlighting the obstacles to its adoption. Second, the theoretical framework of institutional entrepreneurship and work are discussed, along with concepts of multilevel institutional work. The findings indicate that open data entrepreneurs actively advance change by persevering in conducting a variety of institutional work such as counterfactual thinking, disassociation, creation of standards of practice, mobilization of resources, forging new relations, and alliances, and advocacy. They are adept at strategizing iteratively between institutional levels, fluidly mediating between their organization, scientific communities, and broader societal levels. Theorization of open data occurs at all levels, with an expanding set of specifications and justifications attuned to each level. The outcome of their work is distinct at each level: individual ii opportunity recognition; development and establishment at the organization level; legitimation and diffusion at the scientific community level; and policy change at the societal level. The study casts light on the nature of science-based institutional entrepreneurship and contributes to the study of agency and multilevel institutional change. The iterative, multilevel institutional work of the open data entrepreneurs provides support to the recursive change models that highlight the interplay of both bottom-up and top-down processes. As research funding agencies, professional societies, and policy bodies are increasingly enacting open data and data sharing policies, the findings from this study are significant in demonstrating importance of open data legitimation and diffusion at the level of the scientific community for the successful adoption of open data by researchers. iii Acknowledgments The journey to completing doctoral research study and achieving a PhD has been a fascinating and rewarding one. In deciding to begin, I was excited to explore institutional change and policy in universities, with a real desire to delve deeply and fully in the associated theoretical foundations and research paradigms. And now at the end, it is so very clear that the journey was only possible with the guidance, questioning, and support of professors, colleagues, family, and friends. I wholeheartedly thank my wise thesis supervisor, Professor Creso Sá, for providing me with tremendous academic advice and positive support, as well as opportunities to receive feedback form others along the way. He was supportive even before he became my supervisor, always encouraging me to publish papers coming out of coursework. He patiently helped me come up with the thesis topic and guided me through its development, pushing me to clarify concepts and, importantly, think strategically. He also formed the Sá Research Group of fellow graduate students that met regularly, and I thank them as well for generously sharing their research and questions, as well for their camaraderie and their intellectual grilling. I would like to thank my thesis committee: Professors Glen Jones, Daniel Lang, Scott Davies, and John Willinsky for their insightful comments and encouragement, as well as their questions which pushed me to broaden my research perspective and flesh out the theoretical background and its presentation. My experience at OISE has been rich thanks to OISE faculty members teaching the courses that set the foundation for my research—so incredibly interesting and inspiring, providing very different perspectives of scholarship than that of my own science-based background. Importantly, the study participants were generous with their insights, and I am grateful for their time and patience with my questions regarding their efforts on open data. I am also incredibly helpful to my University of Toronto work colleagues who have helped me through the difficult times, and also pushed me to complete the study when they sensed I was postponing tackling a new chapter. I’ve worked in different offices at U of T while I was engaged in the thesis. All my supervisors – Professors David Cameron, Meric Gertler, Vivek Goel, Cheryl Misak, Cheryl Regehr and Ms. Sheree Drummond – were very supportive, iv allowing me time for my studies and keeping me on track for completion. Colleagues in the Division of the Vice-President, Research & Innovation were unflagging in cheering me to the finish line. And my greatest thanks to my family and friends who, with a hazy concept of my research area, listened to me patiently and shared my stresses and successes, as well as holding back any eye rolling when I came home raving on about a new idea or exciting research area I had learned about. My husband Joseph has been steadfast and encouraging, and Katerina, Kosta and Elizabeth have supported me through stressful times, providing emotional support as well as the needed lattes. My friends, in particular Elaine and Susan, never failed in their encouragement and were always there to listen and provide cheerful and, at times, saucy encouragement. Thank you to you all– the thesis would not have been possible without you. v Table of Contents Acknowledgments.......................................................................................................................... iv Table of Contents ........................................................................................................................... vi List of Tables ............................................................................................................................... viii Chapter 1 Introduction .....................................................................................................................1 1.1 Statement of the Problem .....................................................................................................1 1.2 Research Questions ..............................................................................................................3 1.3 Significance of the Study .....................................................................................................6 1.4 Outline of the Thesis ............................................................................................................7 Chapter 2 Background .....................................................................................................................8 2.1 Openness within the Institution of Science ...........................................................................8 2.2 Open Science and Open Data ..............................................................................................10 2.3 The Case for Open Data ......................................................................................................12 2.4 Open Data Policies and Supports ........................................................................................15 2.5 Resistance to Open Data .....................................................................................................20 2.6 Open Data Innovators .........................................................................................................22 Chapter 3 Theoretical Context .......................................................................................................25 3.1 Institutions, Institutional Theory, and Multi-level Institutions ...........................................25 3.2 Institutional Change and Entrepreneurship .........................................................................33 3.3 Institutional Work ...............................................................................................................37 3.4 Multilevel Institutional Work ..............................................................................................44 Chapter 4 Research Design ............................................................................................................52 4.1 Overview and Rationale for Design ....................................................................................52 4.2 Data Collection and Analysis .............................................................................................54 4.2.1 Participant Identification ...........................................................................................54 vi 4.2.2 Ethical Considerations ..............................................................................................56

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