policy windows and changing arrangements: an analysis of the policy process leading to the ...

510 Pages·2011·3.22 MB·English

by  Anne Charles

POLICY WINDOWS AND CHANGING ARRANGEMENTS:
AN ANALYSIS OF THE POLICY PROCESS LEADING TO THE COLLEGES OF
APPLIED ARTS AND TECHNOLOGY ACT, 2002

by

Anne Caroline Charles

A thesis submitted in conformity with the requirements
for the degree of Doctor of Philosophy
Graduate Department of Theory and Policy Studies in Education
Ontario Institute for Studies in Education of the
University of Toronto

© Copyright by Anne Caroline Charles (2011)
ABSTRACT

Policy Windows and Changing Arrangements: An analysis of the policy process leading to
the Colleges of Applied Arts and Technology Act, 2002.
Doctor of Philosophy 2011
Anne Caroline Charles
Department of Theory and Policy Studies in Education
University of Toronto

This case study focuses on Ontario higher education policy and the Colleges of Applied Arts and
Technology (CAATs). A sequence of policy shifts occurred during the last decade of the
twentieth century and the early years of the new millennium. By 2002, the Government of
Ontario had reviewed its position with regard to baccalaureate degree credentials being the
exclusive domain of publicly supported universities. Governance arrangements for the CAATs
had also changed. The new policy framework was set with two pieces of legislation, the
Postsecondary Education Choice and Excellence Act, 2000, and the Ontario Colleges of Applied
Arts and Technology Act, 2002. The purpose of this case study is to explain why these policy
changes occurred.

To facilitate inquiry, John W. Kingdon‘s Multiple Streams Model was used as a platform and
lens to guide data collection and organize the findings.1 For Kingdon, policy is the outcome of a
complex pre-decision process that requires the ‗coupling‘ of the problem, policy, and political
streams at the time of an open policy window. A qualitative approach was adopted, and primary
and secondary documents covering the period 1990 to 2002 were collected. In addition, in-depth
semi-structured interviews were conducted with key policy actors and policy entrepreneurs.

1 John W. Kingdon, Agendas, Alternatives, and Public Policies (Boston: Little, Brown, 1984).
John W. Kingdon, Agendas, Alternatives, and Public Policies, Second Edition with a new foreword by
James A. Thurber (New York: Longmann Classics, 2003).
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The study found evidence to support the Multiple Streams Model‘s contention of streams of
processes. However, with respect to this study, two types of policy problems were found flowing
in the problem stream: macro-structural policy problems shaped conditions and the scope of
options available with respect to policy goals and policy solutions; and micro-specific policy
problems were localized, actor identified, constructed, and linked to specific interests. The study
also found that historical institutional structures, and intermediate institutions, had a significant
impact on policy development. The policy changes occurred as the result of two open policy
windows, and in both instances, policy entrepreneurs were able to couple the policy streams to
effect change. In view of the findings, a Structured Dynamics Model of Policy Development is
offered as an explanation of the policy changes and for consideration in future inquiry.

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ACKNOWLEDGEMENTS

My journey as a doctoral student has been a long one. Balancing a busy full-time postsecondary
teaching schedule and graduate studies, at times has been difficult. Many evenings, weekends,
and summers for the past eight years have been devoted towards this project. I would like to
thank my family for their incredible understanding.

I would like to acknowledge and thank Professor Daniel Lang of OISE/UT, and Dr. Michael
Hatton of Humber CITAL, for serving on my thesis committee. They read through drafts of this
thesis, and provided excellent advice and constructive feedback. I would also like to thank
Professor Katharine Janzen of OISE/UT, and Professor Hans Schuetze of the University of
British Columbia. A huge thank you to Robert Macaulay of George Brown College Archives for
the invaluable help and assistance navigating the archival records, and to the policy actors and
policy entrepreneurs who participated in the interviews.

Particular thanks to my supervisor Professor Glen A. Jones for his steady, unwavering support. I
am convinced that Glen is in possession of a sixth sense; he knew just when to challenge,
encourage, and reassure. Thank you for your patience, mentorship, and for being my guide.

Finally, thank you Jon Charles, my husband, for sharing this journey with me.

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LIST OF ABBREVIATIONS

ACAATO Association of Colleges of Applied Arts and Technology of Ontario
(now Colleges Ontario)
ACCC Association of Canadian Community Colleges
ASC Administrative Service Committee (ACAATO)
ATOP Access to Opportunities Program
CAATs Colleges of Applied Arts & Technology
CAP Canada Assistance Plan
CBT Community-based Training
CCBD Community College Baccalaureate Degrees
CEO Chief Executive Officer
CHST Canada Health and Social Transfer
CJS Canada Jobs Strategy
COG Council of Governors (ACAATO)
COP Council of Presidents/Committee of Presidents (ACAATO)
COPEX Executive Committee of the Council of Presidents (ACAATO)
COR Ontario Council of Regents
COU Council of Ontario Universities
CSAC College Standards and Accreditation Council
CUCC College-University Consortium Council
EI Employment Insurance
EPF Established Programs Financing
FTA Free Trade Agreement
GA General Assembly (ACAATO)
GNP Gross National Product
GPC Governors Planning Committee (ACAATO)
GST Goods and Services Tax
GTA Greater Toronto Area
HRDSC Human Resources Skills Development Canada
ICLR Income Contingent Loan Repayment
ICRP Income Contingent Repayment Plan
ICLRP Income Contingent Loan Repayment Programs
IPCC Instruction/Programs Co-ordinating Committee (ACAATO)
ISC Interim Steering Committee (ACAATO)
ISTF Investing in Students Taskforce
ITAL Institute of Technology and Advanced Learning
KPI Key Performance Indicator
LMDA Labour Market Development Agreement
MCU Ministry of College and Universities
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MET Ministry of Education and Training
MP Member of Parliament
MPP Member of Provincial Parliament
MTCU Ministry of Training, Colleges and Universities
NAFTA North American Free Trade Agreement
NDP New Democratic Party
NUPSIs Non-university Postsecondary Institutions
OCAAT Act, 2002 Ontario Colleges of Applied Arts and Technology Act, 2002
OCAS Ontario College Application Service
OCUFA Ontario Confederation of University Faculty Associations
OFL Ontario Federation of Labour
OJIB Ontario Jobs and Investment Board
OPS Ontario Public Service
OPSEU Ontario Public Service Employees Union
OSAP Ontario Student Assistance Plan
OTAB Ontario Training and Adjustment Board
O.Reg 34/03 Ontario Regulation 34/03
OUAC Ontario University Application Service
OUSA Ontario Undergraduate Student Alliance
PACs Program Advisory Committees
PANEL Advisory Panel on Future Directions for Postsecondary Education
PEQAB Postsecondary Education Quality Assessment Board
PLA Prior Learning Assessment
PMA Partisan Mutual Adjustment (see Incrementalism)
PSE Postsecondary Education
QAB Quality Assessment Board
RRSP Registered Retirement Savings Plan
SPC Strategic Planning Committee
SWF Standard Workload Formula
UI Unemployment Insurance
UOIT University of Ontario Institute of Technology

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GLOSSARY
Advocacy Support or argument for a cause, interest(s) or policy.
Agency Action by an individual or group with the object of advancing a position
or interest.
Baccalaureate The first or lowest degree awarded by colleges and universities. Also
known as a bachelor degree. Awarded for successful completion of an
undergraduate program of study in either a theoretical or applied area.
Coupling The joining of policy streams.
Interest A subject or issue in which one has a concern.
Interest Group An organized group that engages in political activities with the purpose
of advancing an interest(s).
Lobbying An activity aimed at influencing decision-makers.
Pluralism The idea that power is dispersed in society and that individuals and
interest groups compete for it.
Policy Actor A person playing a role in the development of a policy.
Policy Development The activity of developing policy.
Policy Entrepreneur Persistent and politically connected policy actors who seek to connect
the policy streams at opportune times to effect change.
Policy Instruments The tools used by governments to achieve their objectives.
Public Policy A plan, course or principle(s) of action taken by government.
Policy Window An opportunity for policy change.
Schedule I Crown A non-commercial policy and planning agency of the government.
Agency
Schedule III Crown A non-commercial agency of government which is social and/or cultural
Agency in nature; funded in whole or part from the Consolidated Revenue Fund;
and is subject to management principles and regulations of government.
Self Interest The pursuit of interest(s) for advantage or gain.
Stakeholders Persons or groups having an interest or concern.
Transfer Payment A transfer of money by government to an individual or group.
Transfer Partner Service delivery agent of government.

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TABLE OF CONTENTS

Abstract ........................................................................................................................................... ii
Acknowledgements ........................................................................................................................ iv
List of Abbreviations ...................................................................................................................... v
Glossary ........................................................................................................................................ vii
CHAPTER 1: INTRODUCTION ................................................................................................ 1
Focus of the Study .......................................................................................................................... 1
Statement of the Problem ................................................................................................................ 2
Rationale for the Study ................................................................................................................... 5
Background to the Study ................................................................................................................. 6
Summary ......................................................................................................................................... 8
CHAPTER 2: A REVIEW OF THE RELEVANT LITERATURE ........................................ 9
Introduction ..................................................................................................................................... 9
Public Policy ................................................................................................................................... 9
Public Policy Defined ......................................................................................................... 9
Policy Analysis as a Field Study ....................................................................................... 11
Policy Problems, Situations, and Arguments .................................................................... 12
Models of Public Policy ................................................................................................................ 13
1. Rational Comprehensive Planning ............................................................................... 13
2. Incrementalism .............................................................................................................. 16
3. Public Choice Theory ................................................................................................... 17
4. Historical Institutionalism ............................................................................................ 19
5. Punctuated Equilibrium Theory .................................................................................... 21
6. Advocacy Coalition Framework ................................................................................... 24
The Federal Perspective ................................................................................................................ 26
Chronic Schizophrenia...................................................................................................... 26
Soft Federalism ................................................................................................................. 29
Higher Education in Ontario ......................................................................................................... 31
Incremental Institutional Development............................................................................. 31
Relations and System Design ............................................................................................ 32
Colleges: A National Perspective ................................................................................................. 33
Stages of Development ...................................................................................................... 34
Colleges of Applied Arts and Technology.................................................................................... 38
Establishment .................................................................................................................... 38
Vision 2000 ....................................................................................................................... 38
Theme-Based Studies ........................................................................................................ 39
1. Strategic Planning.................................................................................................. 39
2. Student Transfer ..................................................................................................... 40
3. Accessibility ........................................................................................................... 41
4. Accountability and Performance Measurement ..................................................... 42
Association of Colleges of Applied Arts and Technology of Ontario (ACAATO)............. 42
Emerging Trends: Baccalaureate Degrees ....................................................................... 43
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Governance ................................................................................................................................... 49
The University Dimension ............................................................................................................ 51
The Multiple Streams Model ........................................................................................................ 55
Summary ....................................................................................................................................... 65
CHAPTER 3: METHODOLGY AND PROCEDURES ......................................................... 66
Background, Purpose, Objectives ................................................................................................. 66
Assumptions .................................................................................................................................. 67
Research Methodology ................................................................................................................. 67
Time Line .......................................................................................................................... 68
A Single Case Study .......................................................................................................... 68
Qualitative Approach ........................................................................................................ 69
Multiple Streams Model .................................................................................................... 70
Data Collection Methods .................................................................................................. 72
Documents .................................................................................................................. 73
Interviews ................................................................................................................... 80
Limitations .................................................................................................................................... 83
Organization of the Findings ........................................................................................................ 84
CHAPTER 4: STRUCTURES, INSTITUTIONS AND STREAMS: HISTORY – 1995 ..... 86
Introduction ................................................................................................................................... 86
Emerging Structures...................................................................................................................... 86
Development of a Bureaucracy ......................................................................................... 86
Creating a Binary System ................................................................................................. 87
A New Ministry ................................................................................................................. 89
Institutions..................................................................................................................................... 90
Colleges of Applied Arts and Technology ......................................................................... 90
The Ontario Council of Regents (COR) ............................................................................ 91
Reviewing Roles ................................................................................................................ 92
1. The Ontario Council of Regents ....................................................................... 92
2. CAAT Governance ............................................................................................ 93
3. Labour Relations ............................................................................................... 95
Towards A New Vision ...................................................................................................... 96
The Problem Stream ..................................................................................................................... 99
1. The Economic Prosperity Problem ............................................................................... 99
2. The Quality Problem ................................................................................................... 100
3. The Public Image Problem ......................................................................................... 101
4. The Funding Problem ................................................................................................. 103
5. The Training Problem ................................................................................................. 108
6. The Problem of the Economy ...................................................................................... 112
Funding to Transfer Partners .................................................................................. 113
Restructuring ............................................................................................................ 114
The Social Contract ................................................................................................. 115
7. The Social Security Problem ....................................................................................... 117
8. The Domino Effect Problem ........................................................................................ 122
The Policy Stream ....................................................................................................................... 124
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1. The Business Knows Best Idea .................................................................................... 125
2. The Back to Basics Idea .............................................................................................. 125
3. The Funding Formula Idea ......................................................................................... 126
4. The Corporatist Idea ................................................................................................... 127
5. The System Reform Idea .............................................................................................. 128
6. The Representative Governance Idea ......................................................................... 128
7. The Community Governance Idea .............................................................................. 130
8. The Learner Centred Idea ........................................................................................... 138
The Political Stream .................................................................................................................... 139
1. Government ................................................................................................................. 140
2. Public Mood ................................................................................................................ 146
3. Organized Interests ..................................................................................................... 148
Using the Media ....................................................................................................... 149
ACAATO Organizational Structure ......................................................................... 152
Action Planning........................................................................................................ 153
Responding to Challenges ........................................................................................ 155
4. Developing Priorities .................................................................................................. 159
a) Advocacy and Lobbying.................................................................................. 160
b) Funding ........................................................................................................... 161
c) Governance ..................................................................................................... 163
Summary ..................................................................................................................................... 174
CHAPTER 5: THE POLITICAL STREAM: June 1995 – June 1999 ................................. 176
Introduction ................................................................................................................................. 176
The Common Sense Revolution ................................................................................................. 176
1995............................................................................................................................................. 177
Colleges of Applied Arts and Technology ....................................................................... 177
The Council of Ontario Universities(COU) .................................................................... 183
The Federal Government ................................................................................................ 185
The College-University Consortium Council (CUCC) ................................................... 186
1996 - Reviewing Ontario‘s Postsecondary Education .............................................................. 187
The Advisory Panel on Future Directions for Postsecondary Education (Panel) ....................... 187
Association of Colleges of Applied Arts and Technology of Ontario ............................. 191
The Ontario Public Service Employees Union (OPSEU) ............................................... 193
The Ontario Council of Regents (COR) .......................................................................... 196
Sheridan College ............................................................................................................. 197
Humber College .............................................................................................................. 198
Centennial College.......................................................................................................... 199
Reforms ....................................................................................................................................... 200
1. High School ................................................................................................................. 200
2. Training and Social Security Reform .......................................................................... 200
The Funding Formula ................................................................................................................. 202
1997............................................................................................................................................. 205
The Government of Ontario ............................................................................................ 205
Red Tape ......................................................................................................................... 208
Review of the Association of Colleges of Applied Arts and Technology of Ontario....... 209
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