LWSO 337 - 01
Self-Regulation
Winter 2011
TR 17:00-18:15 PF 110
Instructor:
Office
Location:
Office Phone:
E-Mail:
Office Hours:
Kiran Pohar Manhas
ACH C4-433-9 and SS209
403-955-7517
kpmanhas@ucalgary.ca
TR 15:45-16:45 (in SS209), or by appointment
Course Description:
This course examines how individuals and groups create, maintain and follow non-legal
codes of conduct. Students will be introduced to law’s relationship to non-regulatory
concepts of deportment found in such things as social manners, community mores,
religious beliefs as well as consciously “legislated” group mechanisms such as
professional codes of conduct and mission statements.
Prerequisite: Law and Society 203 [LWSO 203]
Objectives of the Course:
By the end of the course, students should be able to theorize about how individuals and
groups govern themselves and others and how these regulatory behaviors relate to the
practices of self-discipline, self-government, and self-governance in a variety of legal
and extralegal contexts.
The course is divided into three components:
PART I – ESSENTIAL CONCEPTS: First, the essential concepts will be examined. Students
will be introduced to key terminology such as self, norms, regulation, self-regulation,
discipline, governance, and government. By the end of this component of the course,
students will be able to define these terms; identify their inherent strengths and
weaknesses; and, compare and contrast these terms.
PART II – REGULATION & SELF-REGULATION: Second, the theory behind regulation and
self-regulation will be examined. Students will examine theories of what law does, what
people think it does, and how other institutions can and do take on these functions. By
the end of this component of the course, students will be able to theorize about how
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individuals and groups are governed by the law, or by themselves; and, to compare and
contrast the different theoretical foundations for regulation and self-regulation.
Students will also be able to apply this theoretical knowledge to historical and current
examples of regulation and self-regulation.
PART III – INSTITUTIONAL SELF-REGULATION: Third, three examples of self-regulation in
North America will be examined in detail. Corporations and industries as well as
professions represent institutions that self-regulate. The historical foundations for selfregulation in these institutions will be assessed, as will advantages and challenges to
self-regulation as currently practiced by these institutions. By the end of this component
of the course, students will be able to further apply the theoretical knowledge derived
from Parts I and II to institutional self-regulation in contemporary Canadian society.
Students will be able to recognize instances of institutional self-regulation outside of
those mentioned in the course, and critique and compare such instances.
Textbooks & Readings:
Readings for the course will be listed on the Blackboard website under Course
Documents. These readings will be accessible to students through the University of
Calgary Library website.
Required text:
Robert C. Ellickson, Order Without Law: How Neighbors Settle Disputes (Cambridge &
London: Harvard University Press, 1991).
Assignments & Evaluation:
Critical Comparative Reflection Paper: Thursday, February 10, 2011
30%
Students must prepare a critical reflection paper that will compare 2 or more readings
(or key concepts) from the class. Students are confined to the resources described in the
reading list or in the references cited in lectures, and are not to go to any outside
resources (e.g., the internet). It is highly recommended that students select one reading
(or concept) from the reading list and one reading (or concept) from a lecture’s
reference list (i.e. a non-required reading) for this assignment.
The critical reflection paper must be 1000 – 1500 words.
Final Paper:
35%
Tuesday, February 17, 2011 (5% of the total 30%)
Final paper topic and proposal to be handed in to instructor for approval. Students
MUST have instructor’s approval of their topic in order to have their final paper graded.
Thursday, April 7, 2011
(30% of the total 35%)
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Students hand in major, final research paper. Students must go beyond the course
reading list in their research. The final paper must be 2000 – 2500 words.
Registrar-scheduled Final Examination: YES
Final Examination: During Winter Term Examination Period (April 18-29)
35%
This final examination will be composed of short answer questions, long answer
questions, and essay questions. Examinable material consists of all required readings, all
lectures and class content. The final examination will be closed-book.
Students must submit each assignment and write each exam in order to receive a
passing grade for the course.
It is the student's responsibility to keep a copy of each submitted assignment.
Note: Please hand in your essays directly to your tutor or instructor if possible. If it is not
possible to do so, a daytime drop box is available in SS110; a date stamp is provided for
your use. A night drop box is also available for after-hours submission. Assignments will
be removed the following morning, stamped with the previous day's date, and placed in
the instructor's mailbox.
Policy for Late Assignments:
Assignments submitted after the deadline may be penalized with the loss of a grade
(e.g.: A- to B+) for each day late.
Freedom of Information and Protection of Privacy Act
This course is conducted in accordance with the Freedom of Information and Protection
of Privacy Act (FOIP). As one consequence, students should identify themselves on all
written work by using their ID number. Also you will be required to provide a piece of
picture identification in order to pick up an assignment or look at a final exam.
For more information see also http://www.ucalgary.ca/secretariat/privacy.
Grading System
The following grading system will be used:
A+
A
AB+
Grading Scale
96-100
90-95.99
85-89.99
80-84.99
3
B
BC+
C
CD+
D
F
75-79.99
70-74.99
65-69.99
60-64.99
55-59.99
53-54.99
50-52.99
0-49
Where a grade on a particular assignment is expressed as a letter grade, it will normally
be converted to a number using the midpoint of the scale. That is, A- would be
converted to 87.5 for calculation purposes. F will be converted to zero.
The attached Grading Rubric, by Prof. Rebecca Sullivan, in the Department of English,
represents a general guide as to how the paper components of this course will be
graded.
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Schedule of Lectures and Readings
DATES
READINGS
PART I: ESSENTIAL CONCEPTS
#1
January 11
Introduction to Course & Concepts
#2
January 13
Sociologies of Governance
Required Readings
 John McLaren, Robert Menzies & Dorothy L. Chunn, “Introduction”, in
McLaren, Menzies, & Chunn, eds., Regulating Lives: Historical Essays on
the State, Society, the Individual, and the Law (Vancouver: UBC Press,
2002), 3-22.
#3
January 18
Norms & Sanctions
Required Readings
 Cass R. Sunstein (1996) “Social Norms and Social Roles” 96 Columbia Law
Review 903-968 – READ ONLY PAGES 904-931 and 947-965
#4
January 20
Norms & Sanctions (Continued)
Required Readings
 Jeffrey J. Rachlinski (1998-2000) “The Limits of Social Norms” 74 ChicagoKent Law Review 1537-1567.
#5
January 25
The Political Self & Self-Regulation
Required Readings
 Jeffrey L. McNairn, “Experiments in Democratic Sociability: The Political
Significance of Voluntary Associations” in McNair, The Capacity to Judge:
Public Opinion and Deliberative Democracy in Upper Canada, 1791-1854
(Toronto: University of Toronto Press, 2000) 63-115.
PART II: REGULATION & SELF-REGULATION
#6
January 27
Legal Consciousness
Required Readings
 H. Laurence Ross (1977-1978) “Complaint As A Problem-Solving
Mechanism” 12 Law & Society Review 199-216.
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Examples of Extra-Legal Modes of Regulation
Required Readings
 Lynne Marks (2000) “Railing, Tattling, and General Rumour: Gossip,
Gender, and Church Regulation in Upper Canada” 81(3) Canadian
Historical Review 380-402.
#7
February 1
Informal Regulation
Required Readings
 Robert C. Ellickson, Order Without Law: How Neighbours Settle Disputes
(Cambridge: Harvard University Press, 1991) Part I: Chs. 2-6.
#8
February 2
Informal Regulation (continued)
Required Readings
 Ellickson (1991), Part II: Chs. 9-11.
PART III: INSTITUTIONAL REGULATION
#9
February 8
Corporations: What is a Corporation?
Required Readings
 The Royal Charter for incorporating The Hudson’s Bay Company
http://www.solon.org/Constitutions/Canada/English/PreConfederation/hbc
_charter_1670.html
 Business Corporations Act, R.S.A. 2000, c. B-9, ss. 5-9, 16-17
http://www.canlii.org/en/ab/laws/stat/rsa-2000-c-b-9/latest/rsa-2000-c-b9.html
#10
February 10
Critical Comparative Reflection Paper Due
Market-Based Self-Regulation
Required Readings
 Lisa Bernstein (1995-1996) “Merchant Law in a Merchant Court:
Rethinking the Code’s Search for Immanent Business Norms” 144
University of Pennsylvania Law Review 1765-1821. READ ONLY PAGES
1765-1796
#11
Internal Corporate Processes
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February 15
Required Readings
 Lauren B. Edelman (1990) “Legal Environments and Organizational
Governance: The Expansion of Due Process in the American Workplace”
95 American Journal of Sociology 1401-1440.
 Lauren B. Edelman (1992) “Legal Ambiguity and Symbolic Structures:
Organizational Mediation of Civil Rights Law” 97 American Journal of
Sociology 1531-1576.
#12
February 17
Proposal for Final Paper Due
Industry-Based Self-Regulation
Required Readings
 Neil Gunningham & Joseph Rees (1997) “Industry Self-Regulation: An
Institutional Perspective” 19 Law & Policy 363-414.
#13, 14
February
21,23
#15, #16
March 1, 3
Reading Break
#17
March 8
Corporate Social Responsibility (CSR)
 No classes
Movie
The Corporation (2003)
Required Readings
 Linda M. Sama & Victoria Shoaf (2005) “Reconciling Rules and Principles:
An Ethics-Based Approach to Corporate Governance” 58 Journal of
Business Ethics 177-185.
 Paul Kapelus (2002) “Mining, Corporate Social Responsibility and the
“Community”: The Case of Rio Tinto, Richards Bay Minerals and the
Mbonambi” 39 Journal of Business Ethics 275-296.
#18
March 10
Bhopal, The Chemical Industry, & “Responsible Care”
Required Readings
 Andrew A. King & Michael J. Lenox (2000) “Industry Self-Regulation
without Sanctions: The Chemical Industry’s Responsible Care Program”
43(4) The Academy of Management Journal 698-716.
 Environmental Data Services (2005) “Two decades of Responsible Care:
Credible response or comfort blanket?” ENDS Report 360, pp. 19-23
http://www.responsiblecare.org/filebank/ENDSFeaturesResp_Care.pdf
 Jean Belanger, Peter Topalovic, Gail Krantzberg, & Joanne West (2009)
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“Responsible Care: History & Development”
http://msep.mcmaster.ca/pdf/RC_Final_IUPAC_2009-April-23.pdf
#19
March 15
Professions: What is a Profession?
Required Readings
 Health Professions Act, R.S.A. 2000, c. H-7, ss. 54-72,
http://www.canlii.org/en/ab/laws/stat/rsa-2000-c-h-7/latest/rsa-2000-c-h7.html
 Medical Professions Act, R.S.A., 2000, c. M-11, ss. 33-37, 44-47, 66, 68.
http://www.canlii.org/eliisa/highlight.do?text=medical+profession&languag
e=en&searchTitle=Statutes+and+Regulations+of+Alberta&path=/en/ab/laws
/stat/rsa-2000-c-m-11/latest/rsa-2000-c-m-11.html
 Legal Profession Act, R.S.A., 2000, c. L-8, ss. 6-8, 49-82.
http://www.canlii.org/eliisa/highlight.do?text=legal+profession&language=e
n&searchTitle=Statutes+and+Regulations+of+Alberta&path=/en/ab/laws/sta
t/rsa-2000-c-l-8/latest/rsa-2000-c-l-8.html
#20
March 17
Professions & Social Norms
Required Readings
 W. Bradley Wendel (2001) “Nonlegal Regulation of the Legal Profession:
Social Norms in Professional Communities” 54 Vanderbilt Law Review
1955-2053. READ ONLY PAGES 1956-2000
#21
March 22
Codes of Ethics
Required Readings
 Mark S. Frankel (1989) “Professional Codes: Why, How, and with What
Impact?” 8 Journal of Business Ethics 109-115.
 Karim Jamal & Norman E. Bowie (1995) “Theoretical Considerations for a
Meaningful Code of Professional Ethics” 14 Journal of Business Ethics 703714.
#22
March 24
Professional Self-Regulation: Lawyers
Required Readings
 W. Wesley Pue (2007-2008) “Cowboy Jurists and the Making of Legal
Professionalism” 45 Alberta Law Review 29-53.
 Duncan Webb (2007-2008) “Are Lawyers Regulatable?” 45 Alberta Law
Review 233-254.
#23
Professional Self-Regulation: Lawyers & Sanctions
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March 29
Required Readings
 F.C. DeCoste (2002-2003) “The Law Society of Alberta in the Matter of the
Conduct of Kenneth Robert Sockett, Q.C.: A Brief Commentary on the
Responsibilities and Perversions of Self-Governance” 40 Alberta Law
Review 751-766.
#24
March 31
The Experience of Professional Self-Regulation
Guest Lecture by Lonny Balbi, QC
#25
April 5
Free Class Time
Work on your final paper, or come to class and I will be available to answer
questions regarding paper.
#26
April 7
Final Paper Due
Gender, Race & The Professions
Required Readings
 Constance Backhouse (2003) “Gender and Race in the Construction of
“Legal Professionalism”: Historical Perspectives”, presented at
http://www.lsuc.on.ca/media/constance_backhouse_gender_and_race.pdf
#27
April 12
Trust & The Professions
Required Readings
 Andrew Brien (1998) “Professional Ethics & The Culture of Trust” 17
Journal of Business Ethics 391-409.
#28
April 14
Last Day of Class, Wrap- up & Review for Final Examination
During
Winter Term
Final
Examination
Period
April 18-29
Final Examination
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Plagiarism
Using any source whatsoever without clearly documenting it is a serious academic
offense. Consequences include failure on the assignment, failure in the course and
possibly suspension or expulsion from the university.
You must document not only direct quotations but also paraphrases and ideas where
they appear in your text. A reference list at the end is insufficient by itself. Readers must
be able to tell exactly where your words and ideas end and other people’s words and
ideas begin. This includes assignments submitted in non-traditional formats such as
Web pages or visual media, and material taken from such sources.
Please consult your instructor if you have any questions regarding how to document
sources.
Internet and Electronic Communication Device Information
During class time, cell phones should be turned off or on vibrate. Respect for the class
should guide responses to telephone calls. Other electronic devices may be used in class
as required to further the students learning, and the class’ learning, about the topic of
the lecture at the time.
Academic Misconduct
For information on academic misconduct and the consequences thereof please see the
current University of Calgary Calendar at the following link;
http://www.ucalgary.ca/pubs/calendar/current/k.html
Academic Accommodation Policy
If you are a student with a disability who may require academic accommodation, it is
your responsibility to register with the Disability Resource Centre (220-8237) and discuss
your needs with your instructor no later than fourteen (14) days after the start of the
course. For further information, please see http://www.ucalgary.ca/drc/node/46
Emergency Evacuation and Assembly points
Please note the evacuation points for this particular classroom. All classrooms on
campus exit to specific places in case of emergency. The emergency assembly points
differ depending upon where your classroom is located. For information on the
emergency evacuation procedures and the assembly points see
http://www.ucalgary.ca/emergencyplan/assemblypoints
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"SAFEWALK" Program
Campus Security will escort individuals day or night -- call 403-220-5333 for assistance.
Use any campus phone, emergency phone or the yellow phone located at most parking
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Another source of information that you may wish to use is your student representative.
All faculties elect students to represent them on the Students Union. Please see
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For your student ombudsman, please see
http://www.su.ucalgary.ca/services/student-services/student-rights.html
Faculty of Arts Program Advising and Student Information Resources

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Have a question, but not sure where to start? The new Faculty of Arts Program
Information Centre (PIC) is your information resource for everything in Arts! Drop in
at SS110, call us at 403-220-3580 or email us at artsads@ucalgary.ca. You can also
visit the Faculty of Arts website at http://arts.ucalgary.ca/undergraduate which has
detailed information on common academic concerns.
For program planning and advice, contact the Student Success Centre (formerly the
Undergraduate programs Office) at (403) 220-5881 or visit them on the 4th Floor of
MacEwan Student Centre.
For registration (add/drop/swap), paying fees and assistance with your Student
Centre, contact Enrolment Services at (403) 210-ROCK [7625] or visit them at the
MacKimmie Library Block.
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