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Equity and Adequacy in Education Finance
Issues and Perspectives
Helen F. Ladd, Rosemary Chalk, and Janet S. Hansen, Editors
Committee on Education Finance
Commission on Behavioral and Social Sciences and Education
National Research Council
NATIONAL ACADEMY PRESS
Washington, D.C.
1999
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NATIONAL ACADEMY PRESS
2101 Constitution Avenue, N.W. Washington, D.C. 20418
NOTICE: The project that is the subject of this volume was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the volume were chosen for their special competences and with regard for appropriate balance.
This volume was supported by Contract No. RF95194001 between the National Academy of Sciences and the U.S. Department of Education. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the view of the organizations or agencies that provided support for this project.
Library of Congress Cataloging-in-Publication Data
Equity and adequacy issues in education finance : issues and perspectives / Helen F. Ladd, Rosemary Chalk, and Janet S. Hansen, editors ; Committee on Education Finance, Commission on Behavioral and Social Sciences and Education, National Research Council.
p. cm.
Includes bibliographical references and index.
ISBN 0-309-06563-1 (cloth)
1. Education—United States—Finance. 2. Educational equalization—United States. I. Ladd, Helen F. II. Chalk, Rosemary A. III. Hansen, Janet S. IV. National Research Council (U.S.). Committee on Education Finance.
LB2825 .E68 1999
379.1′1′0973—dc21
98-51230
Additional copies of this volume are available from:
National Academy Press
2101 Constitution Avenue N.W. Washington, D.C. 20418 Call 800-624-6242 or 202-334-3313 (in the Washington Metropolitan Area). This volume is also available on line at http://www.nap.edu
Printed in the United States of America
Copyright 1999 by the National Academy of Sciences. All rights reserved.
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COMMITTEE ON EDUCATION FINANCE
HELEN F. LADD (Cochair),
Terry Sanford Institute of Public Policy, Duke University
THOMAS SOBOL (Cochair),
Teachers College, Columbia University
ROBERT BERNE, Vice President for Academic Development,
New York University
DENNIS N. EPPLE,
Graduate School of Industrial Administration, Carnegie Mellon University
SUSAN H. FUHRMAN,
Graduate School of Education, University of Pennsylvania
EDMUND W. GORDON,
Yale University (emeritus)
JAMES W. GUTHRIE,
Peabody College, Vanderbilt University
STEPHEN P. KLEIN,
RAND, Santa Monica, California
DIANA LAM, Superintendent,
San Antonio Independent School Districts
LAURENCE E. LYNN, JR.,
School of Social Service Administration, Harris Graduate School of Public Policy Studies, University of Chicago
GARY NATRIELLO,
Teachers College, Columbia University
ALLAN ODDEN,
School of Education, University of Wisconsin, Madison
JOHN THEODORE SANDERS, President,
Southern Illinois University
ROBERT M. SCHWAB,
Department of Economics, University of Maryland
KENNETH A. STRIKE,
College of Agriculture and Life Sciences, Cornell University
STEPHEN D. SUGARMAN,
School of Law, University of California, Berkeley
JOAN TALBERT,
School of Education, Stanford University
AMY STUART WELLS,
Graduate School of Education and Information Studies, University of California, Los Angeles
JANET S. HANSEN, Study Director
ROSEMARY CHALK, Senior Program Officer
NEAL FINKELSTEIN, Senior Program Officer
ANNE MARIE FINN, Research Associate
THOMAS HUSTED, Senior Consultant
PAUL MINORINI, Senior Consultant
SHARON VANDIVERE, Senior Project Assistant
NATHANIEL TIPTON, Project Assistant
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.
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Contents
Preface
ix
Introduction
1
1
Concepts of School Finance Equity: 1970 to the Present
Robert Berne and Leanna Stiefel
7
2
School Finance Litigation in the Name of Educational Equity: Its Evolution, Impact, and Future
Paul A. Minorini and Stephen D. Sugarman
34
3
The Impact of Court-Mandated School Finance Reform
William N. Evans, Sheila E. Murray, and Robert M. Schwab
72
4
Court-Mandated School Finance Reform: What Do the New Dollors Buy?
Margaret E. Goertz and Gary Natriello
99
5
The Politics of School Finance in the 1990s
Melissa C. Carr and Susan H. Fuhrman
136
6
Educational Adequacy and the Courts: The Promise and Problems of Moving to a New Paradigm
Paul A. Minorini and Stephen D. Sugarman
175
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7
Enabling "Adequacy" to Achieve Reality: Translating Adequacy into State Finance Distribution Arrangements
James W. Guthrie and Richard Rothstein
209
8
Performance Standards And Educational Cost Indexes: You Can't Have One Without the Other
William D. Duncombe and John M. Yinger
260
Biographical Summaries of Contributors
298
Index
305
Tables
2-1
Overview of Litigation Involving State Education Finance Systems
41
2-2
Plaintiffs Won at State Supreme Court Level
42
2-3
Plaintiffs Lost at Supreme Court Level; No Further Complaints Filed or Further Complaints Also Lost
44
2-4
Plaintiffs Lost in Prior Action; Further Complaints Have Been Filed
45
2-5
Litigation Is Present; No Supreme Court Decision Has Been Rendered
46
2-6
No Litigation Is Present or Case Is Dormant
46
3-1
Summary of States with Court-Ordered Reforms, 1971-97
73
3-2
Summary of Current Education Expenditures, 1972-92
76
3-3
Impact of Court-Mandated Finance Reform on the Distribution of Education Resources, 1972-92
79
3-4
Summary of Resources Adjusted for Cost of Living Differences, 1992
85
3-5
Impact of Court-Mandated Finance Reform on Per-Pupil Revenue by Source of Revenue and Distribution of Household Income of Districts
88
3-6
Impact of Court-Mandated Finance Reform on Per-Pupil Revenue by Source and Race
89
4-1
Basic Education Funding Formulas in Effect, 1992-93: Kentucky, New Jersey, and Texas
106
4-2
Changes in State Aid per Pupil, Local Revenues per Pupil, Tax Rates (in mills), and Total Revenues per Pupil, 1989-90 to 1992-93: Kentucky, New Jersey, and Texas
108
4-3
Distribution of Education Revenues per Pupil and Tax Rates (in mills), 1989-90 and 1992-93: Kentucky, New Jersey, and Texas
112
4-4
Selected Equity Statistics, Current Revenues per Pupil, 1989-90 and 1992-93: Kentucky, New Jersey, and Texas
114
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4-5
Changes in Kentucky School District Per-Pupil Expenditure Patterns by Function, 1990 and 1993
116
4-6
Changes in New Jersey School District Per-Pupil Expenditures, by Category, 1990-91 to 1993-94
118
4-7
Spending Increases for Texas School Districts Between 1989-90 and 1992-93
120
4-8
Percentage Expenditure Distributions Across Major Functions for Texas School Districts, 1989-90 and 1992-93
120
4-9
Major New Expenditures in Kentucky, New Jersey, and Texas, 1989-90 to 1992-93
122
7-1
Increased State Spending on Elementary and Secondary Education
212
7-2
Wyoming Prototypical Model: Elementary School, K-5; Preliminary Costs
239
7-3
Wyoming Prototypical Model: Middle/Jr. High, Grades 6-8; Preliminary Costs
240
7-4
Wyoming Prototypical Model: High School, Grades 9-12; Preliminary Costs
241
8-1
Education Cost Models (with and without New York City and Yonkers), New York School Districts, 1991
276
8-2
Comparison of Education Cost Indices for New York State School Districts in 1991
280
8-3
Correlations Between Education Cost Indices for New York State School Districts in 1991
283
8-4
Comparison of Predicted Performance Under Different Foundation Formulas Relative to State Average Performance in 1991 for New York School Districts
287
Boxes
7-1
West Virginia Supreme Court definition of an adequate education
215
7-2
The Wyoming basket, 1990-1997
217
7-3
The Wyoming legislative enacted 1997 basket
218
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Preface
In the mid-1990s, the U.S. Congress requested a major study of the U.S. system of elementary and secondary education finance. In response to this request, the National Research Council (NRC) set up the Committee on Education Finance to undertake the study. The committee was established within the NRC's Commission on Behavioral and Social Sciences and Education.
This volume of background papers was prepared in connection with one part of the committee's study. The volume includes eight papers commissioned by the committee to inform its discussions about equity and adequacy in education finance, two of the issues it was specifically charged to address.
The preparation of this volume and the conduct of the larger study are supported by funds from the U.S. Department of Education that were appropriated as part of the legislation for the Departments of Education, Labor, and Health and Human Services in 1994 (P.L. 103-333). The study is being carried out under a contract with the National Institute on Educational Governance, Finance, Policy Making, and Management, part of the Department of Education's Office of Educational Research and Improvement. The views expressed by the authors are theirs alone and do not reflect the opinions of the Committee on Education Finance or the U.S. Department of Education.
The committee acknowledges the valuable contributions of the authors, who prepared and revised their papers within relatively short time periods, as well as the committee members and reviewers who provided thoughtful advice and criticism to the authors.
The papers in this volume have been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with
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procedures approved by the NRC's Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the published volume as sound as possible and to ensure that the volume meets institutional standards for objectivity and evidence. The review comments and draft manuscript remain confidential to protect the integrity of the process.
We wish to thank the following individuals for their participation in the review of this volume: John Augenblick, Augenblick & Myers, Denver, Colorado; Dominic Brewer, RAND, Santa Monica, California; William Buss, College of Law, University of Iowa; David Figlio, Department of Economics, University of Oregon; Eric Hanushek, Department of Economics, University of Rochester; David Monk, Department of Education, Cornell University; Richard Murnane, Graduate School of Education, Harvard University; Lawrence Picus, School of Education, University of Southern California; Andrew Reschovsky, Robert N. Lafollette Institute of Public Affairs, University of Wisconsin; Julie Underwood, Department of Education, Miami University; and Arthur Wise, National Council on Accreditation of Teacher Education, Washington, D.C. Although these individuals have provided constructive comments and suggestions, it must be emphasized that responsibility for the final content of this volume rests entirely with the contributing authors and the NRC.
Several staff members also made important contributions to this work: Rosemary Chalk, a coeditor, was instrumental in shepherding the papers through the production process and providing oversight and editorial guidance during the preparation of the volume, Anne Marie Finn conducted extensive reference checks for each paper, and Nat Tipton and Sharon Vandivere ably assisted the authors by producing multiple iterations of the papers with technical efficiency.
This volume of background papers does not represent the committee's findings and conclusions about the equity or adequacy of school finance in the United States. Those conclusions must await the 1999 publication of the committee's final report. In the interim, the Committee on Education Finance hopes that the insights and perspectives presented in the following papers will be useful to all who are concerned with the challenges of achieving fairness in school finance and establishing equal educational opportunity for all students.
HELEN F. LADD, COCHAIR
JANET S. HANSEN, STUDY DIRECTOR
COMMITTEE ON EDUCATION FINANCE
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Equity and Adequacy in Education Finance
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