Blog Post

Modern Regulatory History: Syllabus

The Modern Regulatory State

History 365D.01/Public Policy 219D.01/Political Science 340D.01/NSOE 365D.01

Professor Edward Balleisen

Duke University, Spring 2015

Tues./Thurs. 1:25-2:40, in the Link

Sections on MONDAYS

Office Hours: Wednesdays, 10:30-12:00, von der Heyden Pavillion

eballeis@duke.edu

Please take note of the unusual schedule for class times!!!

 

The institutional workings of the regulatory state remain something of a black box even to many highly educated persons and policy elites.  Scholars, textbook writers, and the press pay much more attention to electoral politics, statutory law-making, executive administration of public works and social services, and the workings of courts, than they do to the dynamics of administrative regulatory governance.  But a great deal of the policy-making that structures our world (environmental rules, financial standards, health and safety requirements, constraints on monopoly, and enforcement mechanisms for all of the above) emerges from regulatory institutions.  And those institutions include not only public agencies, commissions, bureaus, and boards, but also many quasi-public and private entities.  These varied institutions have complex relationships with the businesses, organizations, and individuals whom they hope to regulate, as well as with legislatures, executive administrations, and the courts.

This course offers an extended foray into the regulatory black box.  It is framed around questions of historical origins and transformations.  Chronologically, it begins with the construction of modern, technocratic regulatory bodies in Western Europe and especially the United States during the late nineteenth and early twentieth centuries; considers the evolution of these institutions during the twentieth-century; and explores more recent developments, including processes of privatization/deregulation and the impact of globalization on regulatory frameworks, and the expansion of modern regulatory modes of governance to emerging economies.

Although rooted in history, the class engages with many other disciplinary perspectives  – the role of economic analysis in regulatory action; the political economy of regulatory power; sociological assessments of organizational culture within regulatory institutions; the impact of legal ideas/culture on regulatory process; the role of scientific risk assessment in identifying policy problems requiring regulatory attention; the impact of engineering concepts on regulatory strategies; the ethical dilemmas that arise when policy-makers confront contending interests and conflicting regulatory aspirations.

Throughout the semester, we will examine the dynamics and consequences of regulatory decision-making across various issue domains, including: rate-setting for public utilities; oversight of the financial system to prevent/mitigate crises; consumer and environmental protection; drug and highway safety; labor relations; and anti-discrimination standards for the workplace.  

 

BOOKS FOR PURCHASE (ONLINE)

Thomas McCraw, Prophets of Regulation: Charles Francis Adams, Louis Brandeis, James Landis,          Alfred Kahn (Cambridge, Mass., 1986) – if you would prefer not to buy this volume, you can access an e-version through the Duke Library homepage.

Cindy Skrzycki, The Regulators: Anonymous Power Brokers in American Politics (New York, 2003) – Optional, but highly recommended

 

ASSIGNMENTS AND GRADE WEIGHTS

Readings average around 150 pages a week, sometimes more, sometimes less, with a focus on primary sources.  You will see that the syllabus contains hyperlinks to many of the readings and viewings, which are available online.

This is a “Research” intensive class.  But rather than doing one big term paper, you will complete a few shorter research exercises, and one final 20-5 page research report (along with a partner), with both a first and final draft.  Throughout the semester, you will also be expected to write regular short entries in a class journal, which you will periodically submit for review and feedback.  Detailed descriptions of these various assignments are available on the Sakai site, in a folder under “Resources.”

Class participation is extremely important in this class, and counts for a full 1/5 of the grade.  So it is crucial to keep up with the reading.  The breakdown of grade weights follows (please consult the “Grading Policies” document under the Assignments folder on the Sakai site for our expectations for assignments).    

First Journal Submission:                             15%

Second Journal Submission:                          15%

Third Journal Submission:                            15%

Draft Research Report:                                 10%

Final Research Report:                                 25%

Class Participation:                                       20%

 

There are no examinations in this course.

 

HONOR CODE

We expect you to abide by the rules and regulations of the Duke Honor Code in this course.  You will have plenty of opportunity to share ideas, and even some of your research work with other students.  But when you turn in a paper or an exam, we expect you to attest that you have abided by the Honor Code in completing the paper or test.  For detailed information on the Duke Honor Code and Community Standard, please see http://www.integrity.duke.edu/ugrad/honorcode.html

 

TEACHING ASSISTANT

Anna Johns, Joint degree candidate (Ph.D in History/J.D. in Law) (anna.johns@duke.edu

 

SAKAI COURSESITE

The most important part of the Sakai site is the “Resources” area.  It includes a copy of this syllabus, as well as many assigned readings (some readings and viewings are available through links on the syllabus; others through library databases on the Duke Library Homepage.)  Detailed guidelines for all research and writing assignments are also available on the course website, in the “Assignments” Folder under “Resources.” 

At an early stage in the semester, we also strongly encourage you to consult these documents, which include:

a guide to reading primary source documents;
a detailed guide to the class journal, including several REQUIRED posts, some of which entail specified research;
two guides to the final research project; and
a document on grading policies. 

These documents give you many pointers on how to approach reading and writing assignments. 

 

SUBMISSION OF WRITTEN WORK

We will expect you to submit your various writing assignments through the Sakai coursesite – chiefly through the drop box.

 

CLASS SESSIONS

 

Week One: Introduction to Modern Regulatory Governance

 

PLEASE NOTE – NO SECTION MEETINGS THIS WEEK

 

CLASS 1: POPULAR ATTITUDES, INSTITUTIONAL REALITIES (JAN. 8)

The Gallup Poll: Public Opinion 2002 (New York, 2002), 193 (right column)

World Public Opinion.Org, “20 Nation Poll Finds Strong Global Consensus: Support for Free Market System, But Also More Regulation of Large Companies,” Jan. 11, 2006

Pew Research Center for the People & the Press, “Mixed Views of Regulation,” Press Release, Feb. 23, 2012

Gallup Politics, “Little Appetite in U.S. for More Gov’t Regulation of Business,” Sept. 24, 2012

Jim Snyder, “Americans Favor Regulations More Than Romney Bargained On,” Bloomberg News, Nov. 12, 2012 

Mike Lukovich Cartoon, Atlanta Journal-Constitution, May 2, 2010

Signe Wilkinson Cartoon, Washington Post, July 5, 2011

 

Week Two: Regulatory Aspirations and the Beginnings of the Modern Regulatory State

 

CLASS 2 (SECTION): REGULATORY PURPOSES AND THE SPECTER OF CAPTURE (JAN. 12)

Joseph Stiglitz, “Regulation and Failure,” in David Moss and John Cisternino, eds.,  New Perspectives on Regulation

(Cambridge, Mass., 2009).  11-23

Tom Baker and David Moss, “Government as Risk Manager,” in Moss and  Cisternino, 87-109

Daniel Carpenter, “Detecting and Measuring Capture,” in David Moss and Daniel Carpenter, eds., Preventing Capture: Special Interest Influence in Regulation, and How to Limit It (New York, 2013) [Coursesite]

 

 CLASS 3: REGULATION BEFORE THE MODERN ADMINISTRATIVE STATE (JAN. 13)

Lawrence Friedman,  A History of American Law, 2nd ed.  177-88 [Coursesite]

Maryland Statutes Regulating the Sale of Salted Fish (1817-30)  [Coursesite]

Commonwealth v. Rice 50 Mass. 253 (Supreme Court of Massachusetts, March 1845).  [Lexis-Nexis]

Sources on Early Federal Steamboat Regulation [Coursesite]

 

CLASS 4: FERTILIZER TESTING AND THE REGULATORY DILEMMAS OF ASYMMETRIC INFORMATION (JAN. 15)

Alan Marcus, “Setting the Standard: Fertilizers, State Chemists, and Early National Commercial Regulation, 1880-1887,” Agricultural History 61 (1987): 47-73 [JSTOR]

“Inspection of Fertilizers,” American Farmer (Feb. 1860): 241 [APSO]

Fourteenth Annual Report of the Secretary of the Maine Board of Agriculture Augusta, 1870), 207-220 [Google Bks]

W. S. Dewolf, “How Frauds in Fertilizers Are Prevented by the Inspection Laws,” Macon Telegraph, Feb. 20, 1885, 7 [America’s Historical Newspapers]

“Cumberland Bone Co. – FARMERS, ATTENTION! The Latest Official Valuations Determined by Our State      Chemists,” Maine Farmer 53 (Apr. 16, 1885): 4 [APSO]

“The Fertilizer Trade,” American Agriculturalist 48 (Dec. 1889): 654 [Goggle Books]

Dr. Gustaf Schack-Sommer, “On Agricultural Fertilisers and Feeding Stuffs,” Journal of the Society of Chemical Industry (May 31, 1892), 406-12 [Google Books]

 

Week Three: Transatlantic Regulatory Responses to Urbanization and Industrialization

Jan. 19 – Martin Luther King Day – NO CLASS

 

CLASS 5: THE CREATION OF MODERN PUBLIC HEALTH IN THE U.S. AND EUROPE (Jan. 20)

Charles Rosenberg, The Cholera Years: The United States in 1832, 1849, and 1866 (New York, 1962), chs. 10-11 [Coursesite]

 “The Privy Council and the Public Health,” Saturday Review 25 (April 25, 1868): 551-52 [British Periodicals]

 “The Relations of Sanitary Inspectors to the Medical Profession,” Sanitarian 2 (Nov. 1, 1874): 351-54 [APSO]

Elisha Harris, “The Public Health,” North American Review 127 (1878): 444-55 [JSTOR]

Edwin Chadwick, “Some Primary Conditions for the Promotion of Health,” Sanitarian 25 (July 1, 1890): 19-23 [APSO]

Recommended:

Report of the Board of Health for the City of Chicago for 1867, 1868, and 1869 (Chicago, 1871), 116-20  [Google Books]

“Sanitary Inspection of New York Tenements,” Manufacturer and Builder 11 (Sept. 1, 1879): 210 [APSO]

Stephen Smith, “The International Sanitary Conference of Paris,” Journal of Social Science 32 (Nov. 1894): 90-108 [APSO]

 

CLASS 6: MINING DISASTERS AND THE MOVE FOR IMPROVED WORKPLACE SAFETY

Sources on the Avondale Mine Disaster  [Coursesite]

Eckley Coxe, “Mining Legislation,” Journal of Science 4 (1871):19-32  [APSO]

 

Week Four: The Invention of Technocratic Regulation

 

CLASS 7: (SECTION) COMBATING SMOKE NUISANCE – REGULATION AND BUSINESS SELF-REGULATION (Jan. 26)

Frank Uekoetter, “Divergent Responses to Identical Problems: Businessmen and the Smoke Nuisance in Germany and the United States, 1880-1917,” Business History Review 73 (1999): 641-76 [JSTOR]

Students w/ last names A-J read sources on the U.S. closely and skim others; students with last names K-Z read sources on rest of world.

“The Smoke Nuisance- Problems for Inventors.” Scientific American 46 (Mar 11, 1882):144 [APSO]

Eugene McQuillin, “Abatement of the Smoke Nuisance in Large Cities,” Central Law Journal 46 (Feb 18, 1898): 147 [APSO]

Charles H. Benjamin, “Smoke Abatement in Large Cities,”70 Outlook  (Feb 22, 1902): 480 [APSO]

“Lambasted by Mayor,” Baltimore Sun, Apr. 4, 1915, 5 [Historical Baltimore Sun]

Agnes Sunley, “Leeds and the Smoke Nuisance,” The Women’s Penny Paper (Nov. 1, 1890): 22 [19th Century British Periodicals]

“The Smoke Nuisance in Calcutta,” The Friend of India and Statesman, Feb. 17, 1898, 6 [19th Century UK Periodicals]

Harold A. Des Voeux, “Discussion on Smoke Abatement,” British Medical Journal (Aug. 29, 1908): 549-54  [JSTOR]

“Smoke in Cities,” Manchester Guardian, Mar. 4, 1909, 9 [Historical Manchester Guardian]

“Smoke Abatement,” Manchester Guardian, Apr 17, 1914, 16. [Historical Manchester Guardian]

John Kershaw, “Sunlight, Pure Air, and Smoke Abatement,” Fortnightly Review 112 (Dec. 1922): 989-1000 [British Periodicals]

Some of the sources for this class were identified by Duke student Keith Orgel, as part of his work for a course in American Legal History

 

CLASS 8: THE RAILROADS AND THE SUNSHINE COMMISSION (Jan. 27)

McCraw, chs. 1

Second Annual Report of the Board of Railroad Commissioners (Boston, 1871), xxiv-xxxii; cxv-cxx

 

CLASS 9: PUBLIC UTILITIES & THE INDEPENDENT COMMISSION (JAN. 29)

McCraw, ch. 2

“The Fight to Regulate Corporations,” Kansas City Star, Mar. 4, 1908, 3[America’s Historical Newspapers]

“Interests Arm to Fight Utility Bill,” Cleveland Plain Dealer, Jan. 22, 1910, 1 [AHN]

James T. Young, “The New Government Regulation of Business,” Annals of the American Academy of Political and Social Science 59 (1915): 212-25 [JSTOR]

Rexford Tugwell, “The Economic Basis for Business Regulation,” American Economic Review 4 (1921): 643-58 [JSTOR]

Recommended:

William J. Hausman and John L. Neufeld, “The Market for Capital and the Origins of State Regulation of Electric Utilities in the United States,” Journal of Economic History  62 (2002): 1050-1073 [JSTOR]

 

FIRST SUBMISSION OF COMPILED JOURNAL, DUE JAN. 30, 5:00

                                                                               

Week Five: Transatlantic Visions of Business-Led Regulation

 

CLASS 10 (SECTION): CARTELISM IN EARLY TWENTIETH-CENTURY EUROPE (FEB. 2)

Morton Keller, “The Pluralist State: American Economic Regulation in Comparative Perspective, 1900-1930,” in Thomas McCraw, ed., Regulation in Perspective [Coursesite]

P. Harvey Middleton, “The Powerful Foreign Trade Combinations of Europe,” Railway Age 64 (Apr. 5, 1918): 884-87 [APSO]

Alfred Pearce Dennis, “Are We Trust Shy?  Europe Isn’t,” Nation’s Business 13 (June 1925): 29-31 [ABI/INFORM

Complete]

Walter Layton, “The International Steel Cartel,” Manchester Guardian, Oct. 12, 1926, 12 [Historical Man. Guard.]

Julius Klein, “International Cartels,” Foreign Affairs 6 (Apr. 1928): 448-58 [JSTOR]

 

CLASS 11: PROGRESSIVE-ERA AMERICAN COMPETITION POLICY (FEB. 3)

McCraw, Chs. 3-4

FTC v. Gratz, 253 U.S. Reports (U.S. Supreme Court, 1920)

E. J. Buckley, “An Important Decision,” Grand Rapids Furniture Record 41 (Sept. 1, 1920): 171 [APSO]

“Dishonest Advertising,” Washington Post, Jun. 15, 1928, 6 [Historical Washington Post]

Annual Report of the Federal Trade Commission (Washington, 1929), 82-92

William Humphrey, “We Quit Playing Tag with Fraud,” Nation’s Business 18 (Jan. 1930): 39-42 [APSO]

 

CLASS 12 – THE ALLURE OF BUSINESS SELF-REGULATION (FEB. 5)

Ellis Hawley, “Three Facets of Hooverian Associationlism: Lumber, Aviation, and Movies, 1921-1930,” in Thomas McCraw, ed., Regulation in Perspective [Coursesite]

Boston Better Business Commission, The Boston Better Business Commission: An Outline of Its Work (Boston, 1922), 1–5 [Coursesite]

“A Judge Urges Self-Regulation by Business,” Crockery & Glass Journal 105 (Dec. 22, 1927): 14-16 [APSO]

“’Reciprocal Buying’ and Self-Regulation of Industry,” Railway Age 88 (Feb. 15, 1930): 419-20  [APSO]

 

Week Six:   The New Deal Regulatory Order

 

CLASS 13 (SECTION): REGULATION AND THE CREATION OF COUNTERVAILING POWER: LABOR AND AGRICULTURE (Feb. 9)

Archibald Cox and Derek Bok, Cases and Materials on Labor Law (6th ed., Brooklyn, 1965), 113-29 [Coursesite]

Joan Robinson, Review of American Capitalism: The Concept of Countervailing Power, by John Kenneth Galbraith, The Economic Journal 62 (1952): 925-28 [JSTOR]

Recommended: Christopher Tomlins, “The New Deal, Collective Bargaining, and the Triumph of Industrial Pluralism,”

Industrial  and Labor Relations Review 39 (1985): 19-34 [JSTOR]

Students with last names A-J read sources on labor; others read sources on agriculture

Executive Order No. 6763, “Creation of the First Labor Relations Board,” June 29, 1934 [Coursesite]

“The People vs. Labor,” Forum and Century 97 (May 1937): 257-58 [APSO]

Ben Golden, “Industrial Relations in the Current Depression,” Science and Society 3 (1939): 199-216 [JSTOR]

Address of Franklin D. Roosevelt to Farm Groups, May 14, 1935

E.E. Lewis, “Black Cotton Farmers and the AAA,” Opportunity: A Journal of Negro Life (March  1935)

William Amberson, “The New Deal for Share-Croppers,” The Nation 140  (Feb. 13, 1934): 185

Excerpt of Oral History with Elroy Hoffman, Nebraska Farmer

 

CLASS 14: SECURITIES AND BANKING REGULATION (FEB. 10)

McCraw, Ch. 5

William Z. Ripley, “Public Utilities Insecurities,” Forum and Century 88 (Aug. 1932): 66-72 [APSO]

Walter Lippman, “The Investigation of Private Bankers,” Los Angeles Times May 26, 1933, A4 [Hist. LA Times]

Introduction, Pecora Committee Report on Stock Exchange Practices, June 6, 1933

Paul Mallon, “Inquisition Dramas Staged by Congress,” New York Times, Dec. 9, 1934, SM6 [Hist.  NY Times]

 “Text of Speech  by Commissioner W. O. Douglas,” Wall Street Journal, May 21, 1938, 3. [Hist. WS Journal]

Recommended:

Mortimer J. Fox, Jr., “Deposit Insurance As an Influence for Stabilizing the Banking Structure,” Journal of the American Statistical Association 31 (1936): 103-112 [JSTOR]

John Kenneth Galbraith, The Great Crash: 1929

 

CLASS 15: ASSESSING IMPLEMENTATION OF THE NEW DEAL ORDER (FEB 12)

Spend 2-3 hours reading over the following 1939 annual reports from two New Deal regulatory agencies:

The Securities and Exchange Commission

The National Labor Relations Board

Pick sections that are relevant to the following themes:

public participation in the regulatory process
the building up of bureaucratic autonomy/capacity/sense of mission
apparent strategy behind enforcement actions

 

Week Seven:  Early Expressions of Backlash

 

CLASS 16 (SECTION): MORAL OBJECTIONS -- THE THREAT TO ECONOMIC FREEDOM (Feb. 16)

Herbert Spencer, “The Coming Slavery,” The Contemporary Review 45 (1884): 461-82 [JSTOR]

J. M. Clark, “Frontiers of Regulation and What Lies Beyond,” American Economic Review 3 (1913): 114-25 [JSTOR]

“Opposition to Truck Regulation,” Railway Age 90 (June 6, 1931): 1097-98 [APSO]

“Snell Pits Past against New Deal,” New York Times, Aug. 26, 1935, 1 [Historical NY Times]

Frank Henry Selden, “The Right to Be Free to Choose,” Forum & Century (159 (Jan. 1938): 31-32 [APSO]

 William Fielding Ogburn, “Thoughts on Freedom and Organization,” Ethics 58 (1948): 256-61 [JSTOR]

Friedrich Hayek, The Constitution of Liberty, ch. 15 [Coursesite]

Optional – “The Middleton Family at the New York World’s Fair” (1939)

           

CLASS 17: ANXIETIES OVER DUE PROCESS AND THE CREATION OF THE ADMINISTRATIVE

PROCEDURE ACT (FEB. 17)

McCraw, ch. 6

Harold Dodds, “Bureaucracy and Representative Government,” Annals of the American Academy of Political and Social Science 189 (Jan., 1937): 165-72 [JSTOR]

Foster Sherwood, “The Federal Administrative Procedure Act,” American Political Science Review 41 (1947): 271-81 [JSTOR]

Recommended:

Marver Bernstein, Regulating Business by Independent Commission (Princeton, 1955): 74-102 [Coursesite]

Daniel Ernst, "The Politics of Administrative Law: New York's Anti-Bureaucracy Clause and the O'Brian-Wagner Campaign of 1938," Law & History Review 27 (2009): 331-72  [HeinOnline]

 

CLASS 18: THE EARLY REGULATION OF AMERICAN TELEVISION (Feb. 19)

Everyone reads:

Robert Williams, “The Politics of American Broadcasting: Public Purposes and Private Interests,” Journal of American Studies 10 (1976): 329-340 [JSTOR]

Winifred Mallon, “FCC Decision Bars Color Television,” New York Times, Mar. 19, 1947, 27 [Proquest Historical Newspapers]

“FCC Freezes Applications in Television,” Baltimore Sun, Oct. 1, 1948, 2 [Proquest Historical Newspapers]

Jack Gould, “New TV Code of Ethics Held Effort to Counter Bill Creating Citizens Board to Review Programs,” New York Times, Oct. 29, 1951, 32 [Proquest Historical Newspapers]

US Code of Practices for Television Broadcasters, Adopted December 6, 1951

Last names A-D read:

Mickie Edwardson, “Blitzkrieg over Television,” Journalism History 25:2 (Summer 1999): 42-53 [Communication and Mass Media Complete]

Last names E-H read:

William Boddy, “Launching Television: RCA, the FCC, and the Battle for Frequency  Allocations, 1940-1947,” Historical Journal of Film, Radio & Television 9:1 (Mar 1989):45-57 [Communication and Mass Media Complete]

Last names I-P read:

Pam Pennock, “Televising Sin: Efforts to Restrict the Televised Advertising of Cigarettes and  Alcohol in the United States, 1950s to 1980s,” Historical Journal of Film, Radio and Television  25 (2005) 619-36 [Communication and Mass Media Complete]

Last Names Q-Z read:

Mickie Edwardson, “James Lawrence Fly’s Report on Chain Broadcasting (1941) and the Regulation of Monopoly in

America,” Historical Journal of Film, Radio & Television22 (2002): 397-423 [Communication and Mass Media Complete]

 

Week Eight: Extending the Regulatory State from the 1950s through 1980s I

 

David Vogel, “The New Social Regulation in Historical and Comparative Perspective,” in Thomas McCraw, ed., Regulation in Perspective: Historical Essays (Cambridge, 1981), 151-85 [Coursesite]

[KEY READING THAT SETS UP THE NEXT TWO WEEKS]

 

CLASS 19 (SECTION): POSTWAR DRUG APPROVAL REGULATION IN COMPARATIVE PERSPECTIVE (FEB. 23)

James Harvey Young, “Public Policy and Drug Innovation,” Pharmacy in History 24 (1982): 3-31 [JSTOR]

Ralph Smith, “Assuring the Safety of New Drugs,” Public Health Reports 71 (1956): 590-93 [JSTOR]

Louis Lasagna, “Problems of Drug Development,” Science 145 (June 24, 1964): 362-67 [JSTOR]

“Long-Term Safety Versus Sales Dilemma for Drug Manufacturers,” Times of London, Sept. 22, 1972 [Times Digital Archive]

Colin Dollery and Charles George, “Rewards Can Be Great Despite Years of Research,” Times of London, Sept. 22, 1972 [Times Digital Archive]

Optional – “Quacks and Nostrums” (1959)

 

CLASS 20: ENGINEERING AND THE REORIENTATION OF SAFETY REGULATION (FEB. 24)

FACULTY VISITOR: David Harkey, Director, Highway Safety Research Center, UNC-Chapel Hill

Ohio State Highway Patrol, “Signal 30” (1959 Documentary Short Film)

“Safety Belt for Susie” (1963 Documentary Short Film)

David Boodman, “Safety and Systems Analysis, with Applications to Traffic Safety,” Law and Contemporary Problems 33 (1968): 488-511 [JSTOR]

President Nixon, Remarks at OSHA Signing Ceremony, Dec. 29, 1970

“The Story of OSHA” http://archive.org/details/gov.osha.censored.1

Recommended:

Jerry Mashaw and David Harfst, “Inside the National Highway Traffic Safety Administration: Legal Determinants of

Bureaucratic Organization and Performance,” University of Chicago Law Review 57 (1990): 443-79 [JSTOR]

Ralph Nader, “The Burned Children: 4000 Fatal Fabrics,” The New Republic, July 3, 1971 [Proquest]

 

CLASS 21: EXPANSION OF ENVIRONMENTAL REGULATION IN THE U.S. AND EUROPE (FEB 26)

 “Killer Fog,” Channel 4 (U.K.) Documentary (1999)

“Rachel Carson’s Silent Spring,” American Experience Documentary

[Students w/ Last Names J-Z closely read sources on US and skim those on Europe; others the reverse]

W. P. D. Logan, “Mortality from Fog in London, January, 1956,” British Medical Journal (Mar. 1,1956): 722-25 [JSTOR]

“Increased Air Pollution on Continent,” The Times of London, Nov. 27, 1967, 13 [Times Digital Archive]

“The Longest Sewer,” Newsweek, July 7, 1969, 30 [Coursesite]

Roberto Passino, “Industrial Europe Faces the Challenge of Pollution,” Unesco Courier 23 (Aug. 1970): 60-64 [Coursesite]

 “Self-Defeating Growth on the Ruhr,” Times of London, Nov. 16, 1971, 14 [Times Digital Archives]

Jean-Phillippe Barde, Gardner Brown, Jr., and Pierre Frederic Teniere Buchot, “Water Pollution Control Policies Are Getting Results Ambio 8:4 (1979): 152-59 [JSTOR]

“EEC Moves to Control Sulfur Dioxide Pollution … at a Snails Pace,” Ambio 11:6 (1982): 371-73 [JSTOR]

Paul Rogers, “The Clear Air Act of 1970,” EPA Journal (Jan./Feb. 1990)

Oral History Interview with William D. Ruckleshaus, former EPA Administrator, Jan. 1993  (Session 1)

Recommended:

Ralph Nader, “The Great American Gyp,” New York Review of Books, Nov.21, 1968 [NYRB]

 

Week NINE: Extending the Regulatory State, from the 1960s to the 1980s II

 

CLASS 22 (SECTION): ENVIRONMENTAL REGULATION AND THE TECHNIQUE OF FORCING TECHNOLOGY: THE CASE OF AUTO EMISSIONS (MARCH 2)

Lawrence White, “The Auto Pollution Muddle,” Public Interest 32 (1973: Summer): 97-112

Jan Norbye and Jim Dunne, “Catalytic Converters in the ’75 Cars—Do We Really Need Them?” Popular Science 205 (Oct. 1974): 76-78 [Pop Sci Archive]

Fred Gregory, “Catalytic Converters and Sulfur Emission: The Danger of Legislating Technology,” Motor Trend 26 (June. 1975): 13 [Internet Archive]

Lennart Lundqvist, “Who Is Winning the Race for Clean Air?  An Evaluation of the Impacts of  the US and Swedish Approaches to Air Pollution Control,” Ambio 8:4 (1979): 144-51 [JSTOR]

Lester Lave, “Conflicting Objectives in Regulating the Automobile,” Science NS. 212 (May 22, 1981): 893-99 [JSTOR]

Recommended:

Richard Chase Dunn and Ann Johnson, “Chasing Molecules: Chemistry and Technology for Automotive Emissions

Control,” in Ann Johnson and James Rodgers Fleming, Toxic Airs: Chemical and Environmental Histories of the Atmosphere (forthcoming)     [Coursesite]

Michael Porter and Claas van der Linde, “Toward a New Conception of the Environment-Competitiveness Relationship,” Journal of Economic Perspectives 9 (1995): 97-118 [JSTOR]

 

CLASS 23: THE EVOLUTION OF RISK ASSESSMENT AND SCIENTIFIC PEER REVIEW (MARCH 3)

REGULATORY VISITOR: Dr. Andrew Geller, Chief, Exposure Modeling Research Branch, Environmental Protection Agency

Barbara Culliton, “Delaney Clause: Defended against an Uncertain Threat of Change,” Science N.S. 179 (Feb. 16, 1973): 666-68 [JSTOR]

Edwin Johnson, “Risk Assessment in an Administrative Agency,” American Statistician 36 (1982): 232-39 [JSTOR]

Wayne Biddle, “Agencies Debate Assessing the Risk of Exposure to Hazardous Chemicals,” New York Times, Nov. 2, 1983, A25 [Hist. NY Times]

Sheila Jasanoff, “Peer Review in the Regulatory Process,” Science, Technology, and Human Values 10 (1985): 20-32 [JSTOR]

 

CLASS 24: INTERLUDE – PATHS TO SENIOR THESES ON REGULATORY GOVERNANCE (March 5)

Skim one or both of these senior theses from this year:

Kate Preston (Duke ’15), “Reaction and Revision: Regulatory Responses to Post-1970 Chemical Disasters,” Senior

Thesis in Public Policy, Duke University, 2014 [Coursesite]

Xinshu Sui (Duke ’15), “An Old Problem in a New Market:  Public and Private Regulation of Counterfeit Consumer Goods in the Chinese C2C Market,” Senior Thesis in Public Policy, Duke University, 2014 [Coursesite]

 

SECOND SUBMISSION OF COMPILED JOURNAL DUE MARCH 6, 5:00

 

SPRING BREAK – MARCH 6-MARCH 15

 

Week Ten: Waxing Critiques of the Regulatory State; and Getting Going on Research

 

CLASS 25 (SECTION) – WAXING CRITIQUES OF THE REGULATORY STATE: CAPTURED AGENCIES,

UNJUST RENT CREATION, AND THE LOOMING NANNY STATE (MARCH 16)

Richard Leone, “Public Interest Advocacy and the Regulatory Process,” Annals of the American Academy of Political and Social Science 400 (Mar. 1972): 46-58 [JSTOR]

Irving Kristol, “A Regulated Society?” Regulation 1 (Summer, 1977): 12-13

Mark Green and Ralph Nader, “Economic Regulation v. Competition: Uncle Sam the Monopoly Man,” Yale Law Journal 82 (1973): 871-89 [JSTOR]

Jay Palmer, “The Rising Risks of Regulation,” Time, Nov. 27, 1978 [Time Online Archive]

Video Clip, Milton Friedman on Phil Donahue, circa 1979

Recommended:

George Stigler, “The Theory of Economic Regulation,” Bell Journal of Economics and Management Science, 5 (1971): 3-21 [JSTOR]

 

CLASS 26 – CLASS WORKTIME ON FINAL RESEARCH ASSIGNMENTS (MARCH 17)

 

CLASS 27 – CLASS WORKTIME ON FINAL RESEARCH ASSIGNMENTS (MARCH 19)

 

PROSPECTUS FOR FINAL RESEARCH PAPER: DUE FRIDAY, MAR. 20, AT 3:00

 

Week Eleven:  Cutting back on the American Regulatory State?

 

NO SECTION THIS WEEK – Individual meetings to discuss prospectuses (March 23-27)

 

CLASS 28: DEREGULATION – THE AMERICAN EXPERIENCE (MAR 24)

McCraw, ch. 7

Michael Munger, “Regulation,” Encyclopedia of Libertarianism (Washington, 2010): 418-420 [Coursesite]
Stephen Chapman, “A Trucking Truce,” New Republic (May 3, 1980): 12-13 [Proquest]

Thomas More, “Transportation,” Regulation 6 (Jan./Feb., 1982): 27-29

Henry Geller, “Telecommunications,” Regulation 6 (Jan./Feb., 1982): 24-28

B. Kelly Eakin, A. Thomas Bozzo, Mark E. Meitzen, and Philip E. Schoech, “Railroad Performance under the       Staggers Act,” Regulation 33 (Winter 2010-11): 32-39

Recommended:

Robert Horwitz, “Understanding Deregulation,” Theory and Society 15 (1986): 139-74  [JSTOR]

 

CLASS 29: CONSTRAINING THE REGULATORS: BUDGET CUTS, COST-BENEFIT ANALYSIS, AND STRATEGIC LITIGATION (MAR 26)

Murray Weidenbaum, “Reforming Government Regulation,” Regulation 4 (Nov./Dec. 1980): 15-18 

Steven Kelman, “Cost Benefit Analysis: An Ethical Critique,” Regulation 5 (Jan./Feb. 1981): 33-40

Andy Pasztor, “Revisionist Regulator,” Wall Street Journal, Oct. 20, 1981, 56

Michael Pertschuk, Revolt against Regulation: The Rise and Pause of the Consumer Movement  (Berkeley, 1982 ), 69-117  [Coursesite]

Press Conference, President Ronald Reagan, Feb. 16, 1983, in Kevin Hillstrom and Laurie Hillstrom, eds., U.S. Environmental Policy and Politics (Washington, 2010), 500-502 [Coursesite]

“Coal: A More Human Face,” The Economist  (Feb. 27, 1982): 41

Irving Molotsky, “It Sometimes Seems Like the Federal Trade Commission,” New York Times, June 3, 1984, E5

“Regulatory Reform,” 1995 video

 

Week Twelve: The New Globalization and the Turn to Meta-Regulation

 

CLASS 30 (SECTION): PRIVATIZATION AND THE DIFFUSION OF REGULATORY INSTITUTIONS (MARCH 30)

Giandomenico Majone, “The Rise of the Regulatory State in Europe,” West European Politics 17 (1994): 77-101 [JSTOR]

David Levi-Faur, “The Global Diffusion of Regulatory Capitalism,” Annals of the American Academy of Political and Social Science 598 (Mar. 2005): 12-32 [JSTOR]

Scott Wallsten, “An Econometric Analysis of Telecom Competition, Privatization, and Regulation in Africa and Latin America,” Journal of Industrial Economics 49 (2001): 1-19 [JSTOR]

 

CLASS 31: CREATING A GLOBAL MARKET (MARCH 31)

FACULTY VISITOR: Tim Buthe, Associate Professor of Political Science, Duke University

Beth A. Simmons, “The International Politics of Harmonization: The Case of Capital Market Regulation,” International Organization 55 (2001): 589-620 [JSTOR]

John Braithwaite, “Transnational Regulation of the Pharmaceutical Industry,” Annals of the American Academy of Political and Social Science 525 (1993): 12-30 [JSTOR]

Tim Buthe and Walter Mattli, “Standards for Global Markets: Domestic and International Institutions,” in Handbook on Multi-level Governance, Henrik Enderlein, et al., eds. (Edward Elgar, 2010) [Coursesite]

“The Regulator Who Isn’t There,” Economist, May 18, 2002 [Economist Historical Archive]

Using and Referencing ISO and ETC Standards for Technical Regulations (Sept. 2007)

 

CLASS 32: OIRA’S REGULATORY OVERSIGHT IN THE U.S. (APRIL 2)

FACULTY VISITOR: Jonathan Wiener, Perkins Professor of Law and Professor of Public Policy and Environmental Policy, Duke University

John D. Graham, “The Evolving Regulatory Role of the US Office of Management and Budget,” Review of Environmental Economics and Policy 1 (2007): 171-91

Carter Exec. Order 12044 (March 23, 1978)

Reagan Exec. Order 12291 (Feb. 17, 1981) 

Clinton Exec. Order 12866 (Sept. 30, 1993),

Obama Exec. Orders 13563 (Jan. 18, 2011) and 13579 (July 11, 2011)[scroll down to click on each EO]

 

Week Thirteen  -- The Dynamics of Global Regulation

 

CLASS 33 (SECTION): RACES TO THE BOTTOM AND RATCHETS TO THE TOP (APRIL 6)

John Braithwaite and Peter Drahos, “Ratcheting Up and Driving Down Global Regulatory Standards,” Governance and Health 42:4 (1999): 109-112 [JSTOR]

Daniel P. Gitterman, “A Race to the Bottom, a Race to the Top, or the March to a Minimum  Floor?  Economic

Integration and Labor Standards in Comparative Perspective,” in David Vogel and Robert Kagan, eds.,      Dynamics of Regulatory Change: How Globalization Affects National Regulatory Policies (Berkeley, 1994), 331-65 [Coursesite]

Rawi Addelal and John Ruggie, “The Principles of Embedded Liberalism: Social Legitimacy and             Global Capitalism,”

in Moss and Cisternino, 151-62

“Top Reasons to Oppose the WTO,” “Global Exchange” Website

 

CLASS 34: THE SPREAD OF REGULATORY OVERSIGHT: EUROPE AND BEYOND (APRIL 7)

Claudio Radaelli and Anne Meuwese, “Better Regulation in Europe: Between Public Management and Regulatory Reform,” Public Administration 87 (2009): 639-54 [JSTOR]

Jonathan Wiener, “The Diffusion of Regulatory Oversight,” in Michael Livermore and Richard Revesz, eds., Cost-Benefit Analysis Goes Global (New York, forthcoming 2013) [Coursesite]

Organization for Economic Development and Cooperation, Brazil: Strengthening Governance

 for Growth (2008), 17-70 [esp. 38-40, 46-49, 65-70)

Interview with A.K.M. Shahiduzzaman, Director of the Bangladesh Telecomm  Regulatory Commission, Aug. 4, 2010

 

CLASS 35: MNCs, NGOs, AND THE SHAPING OF GLOBAL REGULATION (APR 9)

Tim Bartley, “Certifying Forests and Factories: States, Social Movements, and the Rise of Private Regulation in the Apparel and Forest Products Field,” Politics and Society 31 (2003): 433-64 [JSTOR]   

Marine Stewardship Council, 2008-09 Annual Report

Recommended: Frederick Mayer and Gary Gereffi, “Regulation and Economic Globalization: Prospects and Limits of Private Governance,” Business and Politics 12:3 (2010)

 

Week Fourteen:  Pivotal Issues in Contemporary Regulatory Governance

 

CLASS 36 (SECTION): THE DEBATE OVER PRECAUTION (APRIL 13)

David Vogel, “The Hare and the Tortoise Revisited: The New Politics of Consumer and  Environmental Regulation in Europe,” British Journal of Political Science 33 (2003): 557-80 [JSTOR]

Jonathan Wiener and Michael Rogers, “Comparing Precaution in the U. S. and Europe,” Journal of Risk Research 5 (2002): 317-49 [Coursesite]

Cass R. Sunstein, “The Paralyzing Principle,” Regulation (Winter 2002-2003): 32-37

 

CLASS 37: THE ISSUE OF RETROSPECTIVE REGULATORY REVIEW (APRIL 14)

Joseph Aldy, “Learning from Experience: An Assessment of the Retrospective Reviews of Agency Rules and  the Evidence for Improving the Design and Implementation of Regulatory Policy,” Report for the Administrative Council of the United States (September 2014 Draft)

 

CLASS 38: RESPONDING TO THE GLOBAL FINANCIAL CRISIS (APRIL 16)

FACULTY VISITOR: Lawrence Baxter, Professor of Law, Duke University

Marc Schneiberg and Tim Bartley, “Regulating or Redesigning Finance? Market Architectures, Normal Accidents, and Dilemmas of Regulatory Reform,” in Michael Lounsbury and Paul Hirsch, eds., Markets on Trial: The Economic Sociology of the US Financial Crisis (Bingley, United Kingdom, 2010), 279-306 [Coursesite]

David Moss, “An Ounce of Prevention: Financial Regulation, Moral Hazard, and the End of Too Big to Fail,” Harvard Magazine (2009): 25-29

“The Watchmen,” This American Life, Program #382 

 

FIRST DRAFT OF RESEARCH PROJECTS DUE, APRIL 17, 12:00

 

 

Week Fifteen:  Course Summary 

 

CLASS 39 (SECTION): DISCUSSION OF RESEARCH PROJECTS (APRIL 20)

 

CLASS 40: COURSE REVIEW (APRIL 21)

 

APRIL 20-23 – INDIVIDUAL MEETINGS TO DISCUSS RESEARCH PAPER DRAFTS

 

FINAL SUBMISSION OF COMPILED JOURNAL, April 24, 5:00

 

FINAL RESEARCH PROJECT DUE: APRIL 30, 4:00 P.M.

 

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The Modern Regulatory State

History 365D.01/Public Policy 219D.01/Political Science 340D.01/NSOE 365D.01

Duke University, Spring Term 2015

Professor Balleisen

 

Instructions for Semester-Long Journal

This course requires active engagement with reading (and occasional viewing) assignments.  Class time, both Tuesday-Thursday and during the discussion sections, will typically revolve around class participation.  Over the course of the semester, we also hope that students will take note of the regulatory controversies, policy-making, educational efforts, and enforcement actions that constantly shape the world around us, and that prompt a considerable proportion of daily news coverage.

To encourage the habit of active reading and thinking, and to facilitate active participation in class, you will be required to keep a journal over the course of the semester.  At least twice a week, you must write a journal entry.  An entry need not be longer than a paragraph. In normal circumstances (SEE BELOW FOR A FEW EXCEPTIONS), it should not exceed a page.  As you will see, I believe that there is much to be said for developing conceptual schematics to make sense of regulatory governance – visualizations of power relationships, information flows, the relationships among events and socio-economic or political processes, etc.  You can try out these modes of analysis in entries as well.

 

Submission of Your Journal

All submissions should occur to the drop box on the course Sakai site.  Each week on Sunday evening by 8:00, you should upload your two entries for that week, each dated.  (The first and last weeks of the semester only require 1 entry – so there will be a minimum of 28 entries in all).  We are imposing this requirement to encourage you to keep up with the reading, and develop the habit of thinking critically about it throughout the semester.  The more you read and think before class, the more you will get out of those sessions.

Three times during the semester, you must upload a fuller compilation of the journal as a single Word file that you will add to over the term, with clearly defined, dated entries.  We will spot check your weekly submissions, but only grade the three submitted compilations. (You may choose to revise entries, but if you do so, please use the track changes function so that we can easily see the shifts.)  These due dates are:

5:00, Friday, Jan. 30
5:00, Friday, March 6
5:00, Friday April 24

You will receive written feedback and a grade for each of these submissions.  The journal counts for fully 45% of your overall course grade.

 

General Subject Matter for Journal Entries

Your first entry should discuss either: why you have chosen this course/what you hope to get out of it; or any interesting personal interaction with “the regulatory state,” either by you, a friend, or a family member. 

After this initial reflection, at least one of your two weekly entries should discuss something that you have encountered in the assigned reading (or occasional viewing).  You might flag an especially intriguing argument from a scholar, indicating why you find it of significance, discuss its connections to scholarly readings from other class sessions, raise concerns or questions about it, or consider its relevance for making sense of some ongoing regulatory debate/issue. 

Alternatively, you might focus on a primary source, teasing out its historical implications and/or raising issues about how to interpret it.  Here you might contextualize the source, reflecting on the goals of the author, his/her intended audience, his/her assumptions about regulatory governance (why there needs to be regulatory action in some context; why no regulatory action is required; what kind of action makes sense, undertaken by what sort of institution).  Or you might discuss how the source reveals significant historical shifts involving: prevailing techniques of assessing socio-economic problems; the nature of regulatory goals; political pressures for regulatory action; concrete regulatory strategies and policy instruments; and/or popular notions about regulatory governance.  (Please have a look at the “Guide to Reading Documents” for more specific suggestions about useful ways to write about the sources that you read).

For most (and possibly all) classes, we will be providing discussion questions.  You can simply engage with one of these questions (though a really strong journal will frequently strike out on your own distinctive path).

You have even more freedom with the other weekly entry.  You can write another post about an assigned reading/viewing.  You might offer commentary on some aspect of class discussion. You might discuss something from the course readings or class discussions that you find confusing, or that you would like to learn more about.  You might identify a research question suggested by readings or class discussion, and even ruminate a bit about how you would try to answer that question with specific research.

 

Required Postings

At least once during the semester, you must do the following with one of your weekly entries:

Engage with a news story or political event: You might reflect on some regulatory issue/controversy/action that you have read about or seen discussed in the news media, connecting it to issues raised in the course, or perhaps noting parallels to some past regulatory event/issue/debate that we have discussed.  (Please provide a link to the story or video clip.)  One possibility along these lines would be to offer some reflections on the swirling debates about international regulatory harmonization through the proposed Trans-Pacific Partnership (TPP) or Transatlantic Trade and Investment Partnership (TTIP).

Engage with a regulation-related event on or off campus: Throughout the semester, there will be various public events on campus (chiefly lectures and talks, but also workshops and conference, like the Administrative Law conference at the Duke Law School) that raise questions about regulatory governance.  We will let you know about some of these events as we find out about them.  Alternatively, you can look out for and then attend a Durham City, Durham County, or North Carolina regulatory hearing, or watch a federal regulatory hearing on the web.  One of your journal entries should report in some way on one of these public regulatory events, drawing connections to course material.  This should be a longer reflection of 2-3 pages.

Produce a photograph that you have taken yourself and that speaks to the role of regulatory governance in shaping our contemporary world.    In addition to selecting the subject matter and taking the picture, you should provide accompanying text that explains the significance of the image and places it in some historical context.  You also need to explain how you came across/thought to capture the image.   Please post your image and entry to the relevant Sakai Forum, so that we can build a “gallery” over the course of the semester. We are looking for collective ingenuity in how to “see” regulatory governance in action.

Two entries, moreover, MUST be based on a specific research exercise.  Thus:

The last entry before your first submission of the compiled journal for formal grading should report on a research effort linked to either Class 6 (mining safety) or Class 7 (smoke nuisance).  If you decide to focus on Class 6, your task is to find primary source evidence that would enable to assess the extent to which late nineteenth-century Pennsylvania officials actually enforced the new mining laws.  If you decide to focus on Class 7, your task is to find primary source evidence about the impact of regulatory efforts to limit “smoke nuisance” in a major American or European city of your choice.  Please include an image of at least one document in your journal; also spend up to three pages analyzing the evidence that you have found, and what it suggests about regulatory enforcement.  (We will engage in some discussion of potential research strategies during each of these classes.) 

One entry for Week Seven must discuss your findings from fact-checking a footnote from a secondary source for the class on “The Regulation of Early Television.”  For this assignment, you may write up to 2 pages.  Part of the assignment is to choose an important factual claim from one of the articles that you read. That is, pick a footnote that supposedly substantiates an assertion that is pivotal to the essay’s argument.  You also need to choose a footnote that you can track down with a reasonable amount of time and effort.  We will be especially impressed if you choose a source that requires you to use print resources from the Duke library, though use of sources accessible from library databases or other online sites is also fine. Your journal entry must: a) explain your choice of the “fact” to be fact-checked; describe the process by which you tracked down the sources listed in the footnote; and assess the extent to which the evidence provided by the cited references actually substantiates the claims in the article.  (A good paper can show either that the author made persuasive use of evidence, or engaged in some interpretive sleight of hand, or cited sources that do not seem to say what she/he claims they do).

During the last third of the course, at least three journal entries should engage with your thinking about/work on the final research project.   You might draw linkages between the materials you are reading for class and some aspect of your research topic.  Alternatively, you might reflect on methodological challenges, research strategy, research process, or interpretive issues posed by some intriguing evidence that you encounter.

Your single journal entry in the final week of the term should be two to three pages.  We would like you here to offer some final reflections about the course as a whole.  Among the issues that you might discuss: key themes that you will take away from the class; the value or limits of historical perspective in approaching contemporary regulatory challenges/dilemmas; the value or limits to particular conceptual frameworks from other social science disciplines for making sense of regulatory history; issues/topics that you wished had been covered more; some of the enduring tensions that characterize regulatory decision-making; some of the key historical transitions that we have studied and that especially stand out for you; especially notable similarities or differences between American approaches to regulation and regulatory policy-making in other countries; and/ big questions that you take away from the course.

 

Style

These entries need not have the formality of an essay.  But neither should you produce them in an off-hand, slapdash manner.  Think about them as blogposts.  You want to convey your ideas, insights, and questions succinctly and clearly. Provide a citation if you refer to something outside of class materials, and hyperlinks as appropriate.  And take care to proof-read.

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