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
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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 decisionmaking 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)
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 12-15 page research report, 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:
Second Journal Submission:
Third Journal Submission:
Draft Research Report:
Final Research Report:
Class Participation:
15%
15%
15%
10%
25%
20%
There are no examinations in this course. We also strongly encourage you to consult the guide
to the class journal and the final research project early on in the semester. These assignments
are challenging, have several elements to them, and require regular attention if you wish to do well
in the course.
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HONOR CODE
I 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
This syllabus is available on the course Sakai site, in a folder under “Resources.” The syllabus
includes links to many assigned readings and viewings. Some other readings are available 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.” We will expect you to submit your various writing assignments through the coursesite
– either the drop box or a forum, as indicated in the guide to a given assignment.
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
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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 Moss and Cisternino, 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, 120-29, 329-49 [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, 18801887,” 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]
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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 SELFREGULATION (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
5
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. 27, 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): 88487 [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]
6
“’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
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
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
American Studies 10 (1976): 329-340 [JSTOR]
Interests,” Journal of
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
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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)
9
“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]
10
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): 2032 [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)
11
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 ), 69117 [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
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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., CostBenefit 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]
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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
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FINAL SUBMISSION OF COMPILED JOURNAL, April 24, 5:00
FINAL RESEARCH PROJECT DUE: APRIL 30, 4:00 P.M.
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