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UIUlAN 1!011 IN A AMONG FEDE~I SYSTEM . PROCEEDINGS OF A SYMPOSIUM - no. - - CharIes R. Warren, Editor Committee on National Urban Policy Commission on Behavioral and Social Sciences and Education National Research Council NATIONAL ACADEMY PRESS Washington, D.C. 1985
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NATIONAL ACADEMY Peas · 2101 Constitution Avenue, NW · Washington, DC 20418 NOTICE: The project that is the subject of this report 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 report were chosen for their special competences and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The National Research Council was established 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 of advising the federal government. The Council operates in accordance with general policies determined by the Academy under the authority of its congressional charter of 1863, which established the Academy as a private, nonprofit, self-governing membership corporation. The Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in the conduct of their services to the government, the public, and the scientific and engineering communities. It is administered jointly by both Academies and the Institute of Medicine. The National Academy of Engineering and the Institute of Medicine were established in 1964 and 1970, respectively, under the charter of the National Academy of Sciences. This project was funded by the U.S. Department of Housing and Urban Development under contract number HA 5658. Library of Congress Catalog Card Number 85-61670 International Standard Book Number 0-309-03591-0 Printed in the United States of America
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- Committee on National Urban Policy PAUL YLVTSAKER (Chair), Graduate School of Education, Harvard University BRIAN J. L. BERRY, School of Urban and Public Affairs, Carnegie-Mellon University HARVEY BROOKS, Aiken Computation Lab, Harvard University KENNETH B. CLARK, Clark, Phipps, Clark and Harris Inc., New York JOHN M. DE GROVE, State of Florida, Department of Community Affairs, Tallahassee JAMES M. HOWELL, First National Bank of Boston GEORGE E. PETERSON, The Urban Institute, Washington, D.C. GAIL GARFIELD SCHWARTZ, Garfield, Schwartz Associates, Inc., Washington, D.C. ROBERT C. WOOD, Henry Luce Professor, Wesleyan University ROYCE HANSON, Study Director (unti! September 1983) CHARLES R. WARREN, Symposium Organizer SHELLEY WESTEBBE, Staff Assistant · - — 111
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Preface The Symposium on Urban Policy in a Changing Federal System was convened by the Committee on National Urban Policy in the hope that some fresh and productive insights could be wrested from a subject that is conceptually elusive and pragmatically replete with partisan interests and feelings. Happily, that hope turned into solid and often exciting reality- a tribute to the mix and mood of the participants, and the easy way in which they matched their remarkable skills and diversity. First, a word of background. The committee emerged formally in 1981 from discussions of two concerns: the wish of the National Research Council to contribute to the improvement of America's urban condition; and the wish of academic and federal urbanists that the biennial dialogue over national urban policy—mandated in the Housing Act of 1970 be enriched by dispassionate inquiry into critical and emerging issues. Appropriately, financing for the committee has come from both public and private sources: the U.S. Department of Housing and Urban Development, which also funded the symposium; the U.S. Department of Commerce; the Ford Foundation; and the German Marshall Fund of the United States. The moving spirit in the establishment of the committee, and its first chair, was the late Harvey PerIoff. This is the appropriate place to honor Harvey and his leadership. It was he who insisted that the committee break out of the older ways of looking at cities and focus its work on the changing American economy and the effects of those changes on the social, economic, physical, and governmental structures of the nation and its urban areas. That focus has enabled the committee to address coherently issues that are generic and critical to cities and the nation alike and to draw together the micro and macro perspectives that have so consistently slipped past each other. v
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The essence of the committee's deliberations ant! findings appears in its 1983 report, Rethinking Urban Policy. Credit goes to Royce Hanson, then study director, for capturing and creatively expanding on the most salient contributions of committee members and the sources they consulted. Having completed that report, the committee still had high on its agenda to address the question of governance and decision making: How, in the framework of the federal system, could this nation and its cities most effectively respond to the changes in the economy that are so fundamentally altering their condition? The Reagan administration, in its formula for a New Federalism, has initiated one forceful remedy: decentralization to state and local govern- ments and Revolution to the private sector. Without prejudging the assessment, it was mutually agreed by the committee and the Department of Housing and Urban Development, our sponsor, that it would be a constructive step if a symposium was held to consider recent experience and, more generally, the role of federal, state, and local governments in shaping an effective urban policy. Sixty people representing a broad range of experience and per- spectives assembled in Woods Hole, Massachusetts, June 22-23, 1984, to share their knowledge and insights. They included aca- demics currently involved in urban research, practitioners from the public and nonprofit sectors, and private-sector representatives— who are all coping with the changing environment. During the conference some sharp differences found expression as must inevitably be the case when different eyes and minds try to portray and evaluate massive though often amorphous transformations in the environment around them. Lively discussion centered on such topics as state and local fiscal and programmatic capacity, the nature of the new federal role, which seeks to reverse the twentieth century pattern of taking on new responsibilities, and the problem of equity raised by federal policy changes. The most dramatic moments of the meeting, in fact, came when the issue of equity was raised as a critique of the administration's mode of shedding many of the domestic responsibilities shouldered by the federal govern- ment in preceding decades. There were also coalescing moments at the conference that de- rived from the breadth and dispassion of which this group was exquisitely capable. When viewed in that larger perspective, the American federal system is ingeniously contrived: an undulating process of moving pragmatically with the times' a digestive mechanism that absorbs partisan ideologies and reduces them to V1
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assimilable practicalities. And fortunately, one that is malleable. Change it must, in a balancing act that will test every ounce of ingenuity and fairness this nation possesses. On one side, chal- lenged by global involvements and domestic travail to exert strong and unified national leadership. On the other, forced by strained resources, the befuddling complexity of modern issues, and the stubborn sophistication of an informed citizenry, to share and disperse responsibility. Not an easy predicament. But ~ came away from this conference a lot better equipped to understand and cope with it. And for that am deeply grateful, as is the committee, to those who participated. A word of thanks is needed to the people who planned and organized the symposium and produced this volume of proceed- ings. In particular to Royce Hanson, who set in motion the plans for the symposium; to Charles Warren, who skillfully managed the symposium ancI initially drafted the summary; to Brett Hammond, who, as associate executive director of the Commission on Be- havioral and Social Sciences and Education, took over programma- tic responsibilities for the committee and contributed substantially to the writing of the summary; to Christine L. McShane, editor of the Commission, and lean ShirhaD, who edited the volume and prepared it for publication; to Rose S. Kaufman, of the Commission staff, who provicled valuable administrative and secretarial sup- port; and to Shelley Westebbe, who saw to the numberless details of planning and holding a large meeting with cheerfulness and aplomb. Paul Ylvisaker, Chair Committee on National Urban Policy · ~ Nat
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Contents Summary . . . 1 Trends and Developments in Federalism: The Meaning for Urban Policy .......... Charles R. Warren 2 The Supreme Court and the Federal System: A Constitutional Framework for Urban Policy Royce Hanson 3 Fiscal Federalism After the California Taxpayers' Revolt: A Sorting Out of Sorts John Shannon 4 National-Urban Relations in Foreign Federal Systems: Lessons for the United States .......... Harold Jo. Wolman 5 The Distributive Politics of the New Federal System: Who Wins? Who Loses? ............ Dale Rogers Marshall and John l. KirZin 6 De Facto New Federalism and Urban Education . . Robert Andringa The Significance of the Job Training Partnership Act for Federal-State-Local Relationships ......................... Gail Garaged Schwartz and Kenneth E. Poole State-Local Partnership: Problems and Possibilities ....... John M. DeGrove and Barbara C. Brumback . · . 1X .... 17 · 44 71 ... 91 .. 127 .. 163 .... 184 202
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9 Cities in the New Federalism Robert C. Wood and Beverly Klimhowsky 10 Changing Conceptions of the Governmental Role: Their Meaning for Urban Policy Ted KoZ4erie Appendix: Symposium Participants 228 254 ..... 277