Formulating a Regulatory Stance: The Comparative Politics of E-Cigarette Regulation in Australia, Canada and New Zealand by Alex C. Liber A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy (Health Services Organizations and Policy) in The University of Michigan 2020 Doctoral Committee: Professor Scott Greer, Co-Chair Assistant Professor Holly Jarman, Co-Chair Professor Daniel Béland, McGill University Professor Paula Lantz Alex C. Liber [email protected] ORCID iD: 0000-0001-7863-3906 © Alex C. Liber 2020 Dedication For Lindsey and Sophia. I love you both to the ends of the earth and am eternally grateful for your tolerance of this project. ii Acknowledgments To my family – Lindsey, you made the greatest sacrifices that allowed this project to come to fruition. You moved away from your family to Michigan. You allowed me to conduct two months of fieldwork when you were pregnant with our daughter. You helped drafts come together and were a constant sounding board and confidant throughout the long process of writing. This would not have been possible without you. Sophia, Poe, and Jo served as motivation for this project and a distraction from it when each was necessary. Mom, Dad, Chad, Max, Julian, and Olivia, as well as Papa Ernie and Grandma Audrey all, helped build the road that I was able to safely walk down in the pursuit of this doctorate. You served as role models, supports, and friends that I could lean on as I grew into my career and adulthood. Lisa, Tony, and Jessica Suarez stepped up to aid Lindsey and me with childcare amid a move, a career transition, and a pandemic. My Atlanta family made reaching the completion of this project possible. To my early scientific mentors – Penny Cobau, you ushered me into a career pathway that has proven to be the more rewarding than I could imagine. Science Research class at Sylvania Southview High School sticks with my scientific aesthetic and attitude through to today. Amy Ferketich, you welcomed me back to scientific research when I was grasping for direction as a college sophomore and introduced me to tobacco control and the field of public health, more broadly. You took a chance on a kid who knocked on your door asking for a job in your ‘lab’ and you had the temerity to humor my ignorance and set me on a positive path. Ken Warner took the time to mentor me from near and far when you clearly had iii much more important business to attend to. You humored my drawn-out emails and conversations and responded with an attention to detail that I strive to emulate. You reoriented me to respond to failure positively and guided me (eventually) to attend the University of Michigan despite my Ohio roots. You opened doors to your vast network of colleagues stretching across the globe and this project along with my career is much stronger because of it. To my American Cancer Society colleagues – Hana Ross and Rijo John welcomed me with open arms to the world of global tobacco control by turning a master’s student’s odd data request into a job offer that proved to be the most fruitful of my career. Evan Blecher acted as my “big brother” in the American Cancer Society offices and beyond by sharing a contact network that I am too timid to develop. Jeffrey Drope has been the best supervisor and advocate that I could ask for in the workplace. You made sure I stayed connected with ACS throughout my doctorate and ensured that I had the time, space, and funding to finish this study which you recognized as essential to the progress of our field. Michal Stoklosa has been the closest colleague I could have asked for over the last decade. My work is always sharpened by your economic insights and this study, like many before it, was no different. Zachary Cahn encouraged me to pursue this project from the moment I clumsily explained it to him at SRNT’s 2016 Annual Meeting. Our constant back-and-forth banter may not have seemed productive when it was happening, but it eventually provided a clearer lens through which I was able to view my data and draw conclusions. Cliff Douglas supervised, and mentored, as we wore ACS and UM hats. Your support and experience in tobacco control policy and advocacy helped broaden and deepened my perspective that ultimately drove this project to its conclusion. To my advisors and doctoral committee – Holly Jarman showed patience, advocated on my behalf, and provided counsel on matters professional and iv personal throughout my doctoral studies no matter where in the world she or I were located and no matter what was happening in our lives. I hope I will make you proud as I attempt to become a passable scholar of political science in the future. Scott Greer served as a mentor and role model that altered my perspective on academia, politics, and science in too many ways to count. Your attention to detail and capacity for knowledge helped point me towards completing this study when I needed the push. Paula Lantz and Daniel Béland gave their time and attention to a project of a junior scholar and improved the final project with their sage advice. To those who enabled my fieldwork – Jacqui Drope and Jane Banaszak-Holl sheltered me in their homes when I was far from home performing my fieldwork. Joanna Cohen and Ryan Kennedy identified this project’s potential from the start and encouraged me to explore the “why” behind the policy variation they so vigilantly documented. Virginia Berridge, Francis Cunningham, Richard Edwards, Coral Gartner, Joe Gitchell, Amy Fairchild, Donley Studlar, and David Sweanor were the guides to the historical concerns framing this project and for helping me get a sense of the terrain in each case country. Cheng Yu saved me from a dicey housing situation in Canberra. My interviewees invited me into their workplaces and homes and by donating their time and effort made this project possible. To my HSOP peers – Brady Post and Michael Rubyan for being the best friends and fellow adventurers through a doctoral program I could ever want. Leah Abrams, Emily Arntson, Huey-Fen Chen, Michelle Falkenbach, Kara Kiessling, Kasia Klasa, Amanda Mauri, Jun Li, Minakshi Raj, Phil Singer, Jamie Tam, and Charley Willison for being the best classmates, sounding boards, and critics that a student could ever want when growing into an independent scholar. To all of you whom I named and those whom I implied; I will be forever grateful for your help. v Table of Contents Dedication ....................................................................................................................................... ii Acknowledgments.......................................................................................................................... iii List of Tables ................................................................................................................................ vii List of Figures .............................................................................................................................. viii List of Abbreviations ..................................................................................................................... ix Abstract ........................................................................................................................................... x Chapter 1 Introduction ............................................................................................................... 1 Chapter 2 Theory ..................................................................................................................... 16 Chapter 3 Methods................................................................................................................... 44 Chapter 4 Australia .................................................................................................................. 69 Chapter 5 Canada................................................................................................................... 106 Chapter 6 New Zealand ......................................................................................................... 148 Chapter 7 Cross Case Lessons ............................................................................................... 186 Chapter 8 Conclusion ............................................................................................................ 219 Appendices .................................................................................................................................. 243 vi List of Tables Table 1: Regulatory Stances Applied to the Common Rationales for Regulating Markets ......... 17 Table 2: Tobacco Epidemic Endgame Goals of Various Countries ............................................. 32 Table 3: Remaining Cases ............................................................................................................ 52 Table 4: Key Informant Interviews by Category of Respondent .................................................. 60 Table 5: Policy Domains Across the Range of Regulatory Stances ............................................. 65 Table 6: HESA Vaping Report vs Bill S-5 ................................................................................. 128 Table 7: Earnings to Revenue Ratios by Large Consumer Staples Companies (Millions USD, 2019) ........................................................................................................................................... 230 vii List of Figures Figure 1: Public Opinion about