Transit-oriented federalism: Policy ideas and dynamics in Canada’s urban transit policy regime by William Towns A thesis presented to the University of Waterloo in fulfillment of the thesis requirement for the degree of Master of Environmental Studies in Planning Waterloo, Ontario, Canada, 2016 © William Towns 2016 Author’s Declaration I hereby declare that I am the sole author of this thesis. This is a true copy of the thesis, including any required final revisions, as accepted by my examiners. I understand that my thesis may be made electronically available to the public. ii Abstract Canada remains the sole G8 country lacking a national-scale policy and institutional framework for funding and planning urban transit projects and operations, largely due to a constitutional division of powers granting transit responsibilities to provinces and municipalities. However, Canada’s growing municipal infrastructure deficit and the benefits of predictable senior-level transit funding on ridership, urban productivity, and equitable mobility observed internationally have led civic organizations, scholars, and politicians to advocate for the adoption of such a framework in Canada. Rather than develop a “best-case” national-scale framework for urban transit in Canada, this thesis focuses on the history of federal involvement in urban transit policy-making. This work begins to fill gaps in Canada’s planning and federalism literature about the role of “policy ideas” (referring to the organized principles and causal beliefs in which policy alternatives are embedded) in Canada’s urban transit “policy regime” (referring to coalitions of actors and institutions from multiple disciplines and jurisdictions sharing tangible interests in a complex policy problem). The overarching research question asks: How have the policy ideas informing the role of the Government of Canada in Canada’s urban transit policy regime changed over time? Via a review of historical literature, components of the policy regime in three discrete historical periods are described. These temporal divisions also structure a thematic content analysis of 60 documents produced by federal agencies and their representatives. In this analysis, the policy ideas invoked by federal agents on the subject of urban transit in Canada from 1968 to the present are characterized in accordance with a framework developed by Campbell (1998), involving paradigms, programs, frames and public sentiments. The specific modes of policy change at critical historical junctures in the analysis are also classified in relation to Howlett and Cashore’s (2009) framework for understanding policy dynamics. Key findings emerging from this analysis relate to the links between the role of paradigmatic ideas and federal policy change; the unintended consequences of a capital-funding focus in federal programs; an overriding respect for provincial jurisdiction and priorities evidenced in program descriptions and framing statements across analytical periods; and the growing influence of municipal actors in federal transit agenda-setting. This thesis offers urban planners grappling with transit-related issues insight into the intricacy of federal-municipal relations in Canada, an important consideration given the transit priorities of Canada’s newly-elected government. It characterizes the conditions under which policy has shifted in the past, providing a platform to determine how the federal role might evolve to reflect Canada’s changing sociopolitical, economic, and environmental landscapes. Indeed, a number of recommendations regarding the appropriate role for the federal government in Canada’s urban transit policy regime are presented, including: the creation of a permanent intergovernmental “transit council” with responsibility for overseeing long-term federal programs; the establishment of more stringent funding criteria to limit political influence on project selection; the development of a system for providing ongoing operational support; and the expansion of individual transfers and benefits. iii Acknowledgements First and foremost, I would like to thank my supervisors, Drs. Clarence Woudsma and Jeff Casello of the University of Waterloo’s School of Planning, for taking me under their collective wings and providing me the confidence and a platform upon which to research and write for three years. Together and individually, they afforded me innumerable opportunities and challenges, and I’ll be forever appreciative of their wits, analytical skills, and frank humanity. Equally important thanks are owed to my parents – Janet and Bill Towns – for their unconditional love and support. Nothing I’ve accomplished could have been done without their input and interest. They have also modeled for me the importance of persistence, loyalty, and lighthearted living. For that example, I am forever grateful. A big salute also goes to my colleagues in the Waterloo Public Transit Initiative – thanks to fellow WPTIcians Kevin Yeung, Julie Belanger, Jason Neudorf, Alex Mereu, Adam Fraser, Pedram Fard, Ian Dunlop, Jason Neudorf, Jason Angel, and Kitty Chiu for sharing with me their inquisitive natures, thoughtful companionship, and sharp intellects on transportation issues. A special thank-you also goes to Jenn Giesbrecht, whose advice regarding the content-analytical method and candid feedback improved the final product immeasurably. Another nod of sincere appreciation is owed to Transport Canada’s Environmental Policy Directorate – most notably Kathy Palko and Jenna Craig – for the confidence they showed in me and for the opportunity to gather hands-on experience in the federal public service over the course of my studies. I would also like to thank the Canadian Urban Transit Association (by way of Lauren Rudko) for contributing capital- and operating-expenditure data from the 1950s to the present. Last, though certainly not least, I extend my eternal thanks to the brilliant and beautiful Jocelyn Beatty, for whom the author has to thank for editing support and his continued sanity over the course of this extended degree. You are my rock in the storm and a wellspring of joy. iv Table of Contents Author’s Declaration ..................................................................................................................................... ii Abstract ........................................................................................................................................................ iii Acknowledgements ...................................................................................................................................... iv Table of Contents .......................................................................................................................................... v List of Figures ............................................................................................................................................. viii List of Tables ................................................................................................................................................ ix Chapter 1 : Introduction and Research Questions ........................................................................................ 1 1.1 Urban transit governance issues in contemporary Canadian cities ................................................... 1 1.2 Overview of related research.............................................................................................................. 4 1.3 Introduction to the research questions .............................................................................................. 6 1.4 Research questions ............................................................................................................................. 7 1.5 Research objectives and significance .................................................................................................. 8 1.6 Summary of the introduction............................................................................................................ 10 Chapter 2 : Methods of Analysis in Policy-Idea Research ........................................................................... 12 2.1 Introduction to the methods ............................................................................................................ 12 2.2 Orienting theoretical perspectives ................................................................................................... 15 2.2.1 Policy regime theory and structured literature review ............................................................. 15 2.2.2 Theories of policy ideas and content analysis ........................................................................... 19 2.3 Data collection and related considerations ...................................................................................... 25 2.3.1 Identification of sources for the historical literature review ..................................................... 25 2.3.2 Data collection for the content analysis .................................................................................... 25 2.4 Analysis of policy ideas ..................................................................................................................... 29 2.5 Developing key findings and recommendations ............................................................................... 34 2.6 Limitations ........................................................................................................................................