This item was submitted to Loughborough’s Institutional Repository (https://dspace.lboro.ac.uk/) by the author and is made available under the following Creative Commons Licence conditions. For the full text of this licence, please go to: http://creativecommons.org/licenses/by-nc-nd/2.5/ The impact of Latvian exile literature on research in Latvia (1992-2006) by Dace Rozenberga Doctoral Thesis Submitted in partial fulfilment of the requirements for the award of PhD of Loughborough University March 2011 © by Dace Rozenberga 2011 ABSTRACT This study investigates the impact that Latvian exile literature has had on research in Latvia between 1992 and 2006. Latvian exile literature refers to the publications that were authored and published by Latvians who emigrated to Western countries after World War II and were issued between 1945 and 1991. Mixed methods research was conducted, incorporating citation analysis, questionnaires and interviews. Nine subject fields from the social sciences, arts and humanities were examined: philosophy and psychology, religion and theology, political science, education, folklore and ethnography, the arts, linguistics, literature, history. For the citation analysis, 33,866 citations from 1241 publications were collected. In the survey, 79 questionnaires were received from Latvian researchers and 31 questionnaires from the librarians working in Latvian academic, special and the main regional libraries. After the data analyses of citations and questionnaires were conducted, the results were presented to 15 researchers in Latvia (experts in their subject fields) for their assessment and comments. The overall results show that Latvian exile literature has had the greatest impact on research in folklore, history and literature. Exile impact was observed through both exile publications and communication with exile people. It appears that in other disciplines exile literature has had little or no impact. The reasons for this are thought to be: the lack of exile publications that could make an impact, and the irrelevance of existing publications to research in Latvia. In general, exile academic publications have been the most influential on research. The citation results also demonstrate the impact that restrictions of the soviet period (1945- 1991) had on the research in Latvia, particularly through the double obsolescence of citations in all subject fields. Key words: Latvia, exile, citation analysis, impact, Latvian research, social sciences, arts and humanities, mixed methods research i ACKNOWLEDGEMENTS I am most grateful to my supervisors, Mrs Inese Auziľa Smith and Professor Charles Oppenheim, for their enthusiasm, advice, encouragement and belief in this work and me. It is hard for me to imagine this work being carried out without their support. I am thankful to two students, Lita Zandberga and Evita Stankeviča, from the Department of Information and Library Studies of the University of Latvia, who helped me in citation data collection, and Dr. Jonathan Levitt, who commented on the earlier chapters regarding citation analysis. I want to thank Claire Creaser, Gundega Blīgzne, Antra Indriksone, Jogita Sauka, Ruta Šenberga and Dr.Viesturs Zanders for their kind assistance in answering questions that arose during this study. This research would not have been possible without the studentship granted by the Loughborough University and the Department of Information Science, and the additional funding provided by the Latvian Educational Foundation in the UK. I am also grateful to my family and friends who have always been supportive and encouraging, and my partner Richard who has somehow managed to survive living with me and (amazingly) is still around. ii ABBREVIATIONS AND ACRONYMS A&HCI Arts and Humanities Citation Index AABS Association for the Advancement of Baltic Studies Baltijas studiju veicināšanas asociācija ALA American Latvian Association Amerikas Latviešu Apvienība ASPPH Administration of State Publishing and Printing Houses Valsts apgādniecību un poligrāfisko uzľēmumu pārvalde CLS Council of Latvian Science Latvijas Zinātľu padome DP Displaced Persons ERA Excellence in Research for Australia IF Impact Factor ILL Inter-library loan IRO International Refugee Organisation ISI Institute for Scientific Information KGB Committee for State Security Valsts drošības komiteja LaRA Latvian Writers Association Latviešu Rakstnieku apvienība LAS Latvian Academia of Sciences Latvijas Zinātľu akadēmija iii LCP Latvian Communist Party Latvijas Komunistiskā partija LELBA Latvian Evangelical Lutheran Church in America Latvijas evaľģeliski luteriskā baznīca Amerikā LNF Latvian National Foundation Latvijas Nacionālais fonds LSSR Latvian Soviet Socialist Republic Latvijas Padomju Sociālistiskā Republika (LPSR) LSSR AS LSSR Academy of Sciences LPSR Zinātľu Akadēmija LUL Library of the University of Latvia Latvijas Universitātes Bibliotēka NLL National Library of Latvia Latvijas Nacionālā bibliotēka R&D Research and development RAE Research Assessment Exercise RCL Riga Central Library Rīgas Centrālā bibliotēka REF Research Excellence Framework SCI Science Citation Index SSCI Social Sciences Citation Index UDC Universal Decimal Classification iv UNNRA United Nations Relief and Rehabilitation Administration USSR Union of Soviet Socialist Republics Padomju Sociālistisko Republiku Savienība WoS Web of Science v CONTENTS ABSTRACT I ACKNOWLEDGEMENTS II ABBREVIATIONS AND ACRONYMS III LIST OF FIGURES XIV LIST OF TABLES XVI 1. INTRODUCTION 1 1.1 Background 1 1.2 Research question 4 1.3 Aims and objectives 4 1.4 Outline of thesis 5 2. LITERATURE REVIEW: RESEARCH AND PUBLISHING IN LATVIA 6 2.1 Introduction 6 2.2 Research and publishing before the first independence of Latvia in 1918 6 2.3 Research and publishing during the first independence of Latvia: 1918-1940 7 2.4 Research and publishing during World War II 9 2.4.1 Research and the work of universities during World War II 9 2.4.2 Publishing during World War II 10 2.5 Research and publishing during the second soviet occupation (1945-1991) 12 2.5.1 Censorship during the second soviet occupation: 1945-1991 12 2.5.1.1 Censorship: 1940s and 1950s 12 2.5.1.2 Censorship: 1960s 16 2.5.1.3 Censorship: 1970s 18 2.5.1.4 Censorship: 1980s 19 2.5.1.5 Censorship of scientific literature 23 2.5.2 Research during the soviet occupation (1945-1991) 24 2.5.3 Publishing in soviet Latvia 28 2.6 Research and publishing in Latvia after 1991 32 2.6.1 Organisation of research after 1991 32 2.6.2 Publishing after 1991 36 2.7 Conclusion 38 3. LITERATURE REVIEW: LATVIAN ACADEMIC ACTIVITIES AND PUBLISHING IN EXILE 39 3.1 Introduction 39 3.2 Definition of exile 39 vi 3.3 Academic activities in exile 41 3.4 Previous research on exile impact 46 3.5 Bibliographic information on publishing in exile 48 3.6 Reports on Latvian publishing in exile 50 3.7 Latvian publishing history in exile 52 3.7.1 Introduction 52 3.7.2 1945-1949 55 3.7.2.1 Germany 56 3.7.2.2 Sweden 59 3.7.3 1950-1959 61 3.7.3.1 United States of America 62 3.7.3.2 Sweden 65 3.7.3.3 Germany 65 3.7.3.4 Denmark 67 3.7.3.5 Canada 67 3.7.3.6 Australia 68 3.7.3.7 United Kingdom 68 3.7.4 1960-1969 69 3.7.5 1970-1979 70 3.7.6 1980-1991 72 3.7.7 Publishing outside Latvia after 1991 74 3.8 Conclusion 76 4. LITERATURE REVIEW: BIBLIOMETRICS AND PEER REVIEW 77 4.1 Introduction 77 4.2 Bibliometrics vs. scientometrics vs. informetrics 77 4.3 Historical overview on bibliometrics 78 4.4 Citation analysis 78 4.4.1 Citers‟ motivations 82 4.4.2 Obsolescence 85 4.4.3 Problems in citation analysis 87 4.4.4 Citation databases 88 4.4.5 Characteristics of the social sciences and humanities 89 4.4.6 Application of citation analysis 96 4.4.7 Validity of citation analysis 97 4.5 Peer review 97 4.5.1 Peer review process 97 vii 4.5.2 Peer review and bibliometrics 99 4.6 Bibliometric studies on Latvian research 101 4.7 Conclusion 105 5. METHODOLOGY 106 5.1 Introduction 106 5.2 Philosophical assumptions and stances 106 5.2.1 Paradigm wars 106 5.2.2 Worldview: pragmatism 107 5.3 Research inquiry: mixed methods research 109 5.3.1 Definition of mixed methods research 109 5.3.2 Purposes and rationales for conducting mixed methods research 110 5.3.3 Mixed methods designs 111 5.3.3.1 Time orientation 112 5.3.3.2 Priority / dominance / weighting 112 5.3.3.3 Mixing of qualitative and quantitative approaches 113 5.4 Research design of the current study 115 5.5 Conclusion 118 6. METHODS 119 6.1 Introduction 119 6.2 Citation analysis 119 6.2.1 Pilot data collection 120 6.2.2 Sampling strategy and techniques 121 6.2.2.1 Constructing the sampling frame 122 6.2.2.1.1 Books and conference proceedings 124 6.2.2.1.1.1 Selection of items 124 6.2.2.1.1.2 Data cleaning and verification 124 6.2.2.1.2 Journals 129 6.2.2.2 Sampling 129 6.2.3 Data collection 130 6.2.3.1 Description of data base for data collection 130 6.2.3.2 Data collection process 131 6.2.3.3 Assistance in data collection 134 6.2.4 Data analysis 135 6.2.4.1 Data cleaning and verification 135 6.2.4.2 Data analysis 137 6.2.5 Limitations of citation study 138 viii 6.2.6 Additional citation study 138 6.3 Questionnaires 139 6.3.1 Questionnaire to researchers 140 6.3.1.1 Questionnaire design 140 6.3.1.2 Pilot questionnaire 142 6.3.1.3 Sampling 142 6.3.1.4 Selection of researchers 144 6.3.1.5 Data collection 145 6.3.1.6 Data analysis 145 6.3.2 Questionnaire to librarians 145 6.3.2.1 Questionnaire design 145 6.3.2.2 Pilot questionnaire 146 6.3.2.3 Sampling 146 6.3.2.4 Selection of libraries 146 6.3.2.5 Data collection 147 6.3.2.6 Data analysis 147 6.3.3 Limitations of questionnaires 147 6.4 Interviews 148 6.4.1 Preliminary interviews 148 6.4.2 Final interviews 149 6.4.3 Design of the interview questions 149 6.4.4 Sampling for interviews 150 6.4.5 Data collection 150 6.4.6 Data analysis 151 6.4.7 Limitations of interviews 151 6.5 Conclusion 151 7.

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