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Proquest Dissertations Transition, Transformation, Revolution: An Assessment of Open Access Discourse and Practice in Canada by Davina DesRoches, B.A. (Hons.) A thesis submitted to the Faculty of Graduate Studies and Research in partial fulfilment of the requirements for the degree of Master of Arts in Canadian Studies Carleton University Ottawa, Ontario September, 2009 2009, Davina DesRoches Library and Archives Bibliotheque et 1*1 Canada Archives Canada Published Heritage Direction du Branch Patrimoine de I'edition 395 Wellington Street 395, rue Wellington Ottawa ON K1A 0N4 Ottawa ON K1A 0N4 Canada Canada Your file Votre reference ISBN: 978-0-494-60298-0 Our file Notre reference ISBN: 978-0-494-60298-0 NOTICE: AVIS: The author has granted a non­ L'auteur a accorde une licence non exclusive exclusive license allowing Library and permettant a la Bibliotheque et Archives Archives Canada to reproduce, Canada de reproduire, publier, archiver, publish, archive, preserve, conserve, sauvegarder, conserver, transmettre au public communicate to the public by par telecommunication ou par I'lnternet, preter, telecommunication or on the Internet, distribuer et vendre des theses partout dans le loan, distribute and sell theses monde, a des fins commerciales ou autres, sur worldwide, for commercial or non­ support microforme, papier, electronique et/ou commercial purposes, in microform, autres formats. paper, electronic and/or any other formats. The author retains copyright L'auteur conserve la propriete du droit d'auteur ownership and moral rights in this et des droits moraux qui protege cette these. Ni thesis. Neither the thesis nor la these ni des extraits substantiels de celle-ci substantial extracts from it may be ne doivent etre imprimes ou autrement printed or otherwise reproduced reproduits sans son autorisation. without the author's permission. In compliance with the Canadian Conformement a la loi canadienne sur la Privacy Act some supporting forms protection de la vie privee, quelques may have been removed from this formulaires secondares ont ete enleves de thesis. cette these. While these forms may be included Bien que ces formulaires aient inclus dans in the document page count, their la pagination, il n'y aura aucun contenu removal does not represent any loss manquant. of content from the thesis. 1+1 Canada Abstract Canadian institutions have been actively involved in the Open Access movement as both producers and consumers of electronic, peer-reviewed articles; however, there is little in the published discourse on Open Access to indicate this involvement. This thesis seeks to help rectify this situation by situating the movement in a Canadian context, and questions whether - and to what extent - the move towards Open Access in academic institutions and state policy may be constituted as 'revolutionary' in Canada. Using an integrated critical political economy and critical discourse analysis approach, it is argued that while the push towards Open Access may be seen as part of a larger transformation in scholarly communication, ultimately, close examination of Open Access discourse and practice reveals that conventional tenets of capitalism, including notions related to access, commodification and power, remain intact. in Acknowledgements I first became aware of Open Access in late 2005 while completing an undergraduate practicum with the Canadian Association of Research Libraries. I was inspired to research this topic in large part due to CARL's Executive Director, Timothy Mark. His enthusiasm and dedication convinced me, a Canadian Studies student, that a library science issue was both a fascinating and worthy topic to explore for my MA. thesis. From the formative stages of this thesis, to the final draft, I owe an immense debt of gratitude to my supervisor, Dr. Dwayne Winseck. His sage advice, insightful criticisms, and patient encouragement aided the writing of this thesis in innumerable ways. I extend my deepest appreciation to Richard Nimijean for going above and beyond in his role as second reader. His long-term perspective and common sense provided invaluable guidance, keeping me thinking clearly about what questions I was asking and what answers I was giving. For their love, friendship and support, I am indebted to my friends and family. I wish to thank my mother for valuing education so highly - watching her complete her L.L.M. at the same time I was working on this thesis was an immense source of inspiration for me. I thank my husband, Kevin, whose emotional, mental and financial support made completion of thesis possible. Many thanks to my friend Elise, whose pep talks and encouragement made the process seem not only doable, but also fun. Special thanks also to two of my best friends, Lyndee and Alicia, for their companionship, encouragement and love. iv In loving memory of my grandfather, Francis Joseph DesRoches (February 28, 1929 - September 23, 2007) v Transition, Transformation, Revolution: An Assessment of Open Access Discourse and Practice in Canada Acceptance Form II Abstract III Acknowledgements IV Dedication V Table of Contents VI List of Appendices VIII Chapter 1 - Introduction 1 Context 1 A Brief History and Definition of Open Access 4 Issues of Power, Commoditization and Access 10 The Commodification of Information 12 Unique and Peculiar Qualities of Information 13 Information as a Public Good 14 Capitalism and Concentration 15 The Move Towards a 'Networked Information Economy' 17 Conclusion 19 Research Questions 20 Scope of the Thesis 21 Significance of the Thesis 21 Structure and Methodology of the Thesis 22 Chapter 2 - Literature Review 24 Introduction 24 New Business Models, Shifting Relationships 26 Criticisms and Counter Criticisms of Open Access Publishing 31 The Role of Scholars 39 Divergence: The Conflict Between Library and Faculty Interests 41 Conclusion: Identifying and Bridging Gaps in the Discourse 43 Chapter 3 - The Nature Debates 45 Introduction 45 Points of Departure 46 VI Data 46 Analytic Framework 46 Thematic Analysis 47 Uncertainty 48 Influence and Power 51 Evasion 55 A Comparative Analysis of Four Sample Texts 57 Tone 62 Hyperbole and Over-Lexicalization 63 Analogies and Metaphors 64 Rhetorical Questions 65 Contrastive Comparisons 66 Discussion 66 Conclusion 70 Chapter 4 - The Canadian Context 72 Introduction 72 A Note on the Concept of 'Revolution' 73 Identifying Key Drivers, Stakeholders and Features of Canadian Open Access 75 Drivers 75 Stakeholders 77 Features of Canadian Open Access 79 Research Libraries and Open Access 80 The CARL Institutional Repositories Program 80 CreateChangeCanada 82 Assessing Open Access Policies of the State 84 A Brief Summary of Open Access Policies of the State 85 A Critical Discourse Analysis of the 'CIHR Policy on Access to Research 88 Outputs' Conclusion 92 Chapter 5 - Conclusion 94 Identifying Lessons Learned 98 Prospects for Future Research 99 Appendix 102 References 105 vii List of Appendices Appendix 1 - An Annotated Timeline of Open Access in Canada 1 Introduction Context The commercialization of scientific journals is a relatively recent phenomenon, though such journals have been in existence since at least 1665 with the creation of Philosophical Transactions of the Royal Society of London. Commercial publishers began to exhibit interest in scientific publications in the mid-twentieth century, after the notion of 'core publications' had developed for each academic specialty (Guedon, 2001). Core publications, briefly, are those regarded as central to the research in each field. Often, these journals possess the articles most frequently cited by other researchers. By the 1960s, Eugene Garfield of the Institute of Scientific Information had developed the Science Citation Index, which allowed for the tracking of citations in order to determine which journals constituted core publications. These publications became regarded by both scientific researchers and academic institutions as the key to gaining elite status in the scientific world. Simply put, it has been impossible for an institution to gain or maintain elite status if its researchers have been unable to access and publish in these journals (Ibid.). While core publications remained in the hands of learned societies and scholarly associations for a time, issues related to publication delays and censorship slowly began to emerge, which gave commercial publishers an opportunity to enter the field of scientific publishing. With an explosion in university enrolment and in the growth and number of libraries after the Second World War, printed journals developed a sizable market. As Guedon asserts, 2 Commercial publishers did not take long to realize that a new, potentially lucrative, situation had just emerged. There was gold in those there stacks after all! What librarians viewed as crucial core journals, publishers translated as the constitutive elements of an "inelastic market", i.e., a market where demand was little affected by pricing (and vice versa) (Ibid). Commercial publishers, within less than a decade, were able to secure ownership of the core publications in many fields, particularly in the scientific, technical and medical (STM) fields, through a variety of means including direct acquisition, the sale of publishing services and through the rapid concentration of science journal publishing (Ibid., 14). As noted by McGuigan and Russell, scholarly societies found it desirable to form partnerships with commercial publishers as it relieved them of the "costs and administrative burdens of publishing
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