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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.
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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
