infraestructure a political analysis

8/13/2019 Infraestructure a Political Analysis

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I NFRASTRUCTURE: A POLI TI CAL ANALYSI S

by

Theodore J . Lowi

Depar t ment of Gover nment

Cor nel l Uni ver si t y

pr esent ed at

I nst i t ut e f or Ci vi l I nf r astr uct ur e Systems ( I CI S)

Coordi nat ed Renewal of t he Ci vi l I nf r ast r uct ur e Syst ems

f or Sust ai nabl e Human Envi r onment s

Apr i l 21- 22, 1999


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The enor mous Amer i can nat i onal debt i s per f ect l y

j ust i f i abl e. We used i t t o pay f or vi ct or y i n Wor l d War I I and

t he Col d War . There was wast e apl ent y, but t he need f or

r edundancy to sust ai n ur gent pr oj ect s t hr ough t he unexpect ed i s

al most al ways j ust i f i abl e. Al so j ust i f i abl e i s t he f i nanci ng of

hot war and col d war by l ong- t er m debt , because our chi l dr en and

t hei r chi l dr en shoul d hel p pay f or t he vi ct or i es t hei r par ent s

and grandparent s gave t hem. The same goes f or any l arge publ i c

wor ks, whose f i nanci ng shoul d be spr ead acr oss a l ar ge por t i on of

i t s usef ul l i f e. But $2- 4 bi l l i on i n accumul at ed and def er r ed

mai nt enance cost s of t he 45, 744- mi l e U. S. I nt er st ate Hi ghway

syst em i s evi dence of t he sheer i di ocy of l eavi ng i nf r ast r uct ur e

t o Congr ess, t o cost benef i t anal ysi s, t o ci vi l engi neer s and t o

consul t i ng economi st s. Moreover , t he unpl anned and

unant i ci pat ed, and, most l y unwant ed, soci al uses of publ i c wor ks,

especi al l y ar t er i al hi ghways, have t o be t aken i nt o account . I f

"war i s much t oo ser i ous a mat t er t o be ent r ust ed to t he

mi l i t ar y" ( Cl emenceau) we must add t hat "ci vi l i nf r ast r uct ur e i s

t oo i mpor t ant t o be ent r ust ed t o engi neer s. "

I f "c i vi l i nf r astr uct ur e" i s t r ansl at ed back i nt o or di nar y

l anguage, i t i s par t of what we have t r adi t i onal l y cal l ed publ i c

wor ks, and t hi s t r ansl at i on r eveal s t he ol dest pol i cy act i vi t y of

t he nat i onal gover nment of t he Uni t ed St ates. Moreover t he

pol i t i cs of t hi s ar ea of publ i c pol i cy i s f ami l i ar and wel l -

st udi ed. Thus, i t woul d seem t hat we ought t o be abl e t o dr aw


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some l essons f r om t hi s l i t er at ur e t hat can be appl i ed di r ect l y to

t he phenomena of moder n ci vi l i nf r ast r uct ur e. My t ask, as I see

i t , i s to expl or e what , i f anyt hi ng, a pol i t i cal anal ysi s can

cont r i but e t o the under st andi ng of i nf r ast r uct ur e, how we got t o

wher e we ar e wi t h i t , and how we mi ght i mprove our chances of

get t i ng t o a mor e sust ai nabl e f ut ur e.

WHAT I S I NFRASTRUCTURE?

The Oxf or d Engl i sh Di ct i onary def i nes i nf r ast r uct ure as "a

col l ect i ve t er m f or t he subor di nat e par t s of an under t aki ng;

subst r uct ur e, f oundat i on . . . t he per manent i nst al l at i ons f or mi ng

a basi s f or mi l i t ary operat i ons . . . . " Wi l l i am Saf i re i n hi s

humor ous but i nst r uct i ve Pol i t i cal Di ct i onar y, def i nes i t as

"skel et on; a pol i t i cal ent i t y' s i nt er nal admi ni st r at i ve

appar at us. " He cor r ect l y char act er i zes i t as a "bi t of j ar gon, "

because i t s or i gi n and pur pose can be speci f i cal l y i dent i f i ed.

Oxf or d dat es t he f i r st use wi t h 1927, i n a mi l i t ar y cont ext , and

t hen at t aches i t t o Wor l d War I I . By 1950, Chur chi l l st ood

bef or e t he House of Commons and denounced t he wor d whi l e

r ecogni zi ng t hat i t was pr obabl y i mpossi bl e t o expunge i t f r om

t he Engl i sh l anguage. I t i s st i l l used most f r equent l y i n

mi l i t ar y cont ext s.

Addi ng "ci vi c" or "ci vi l " t o i t as an adj ecti ve t o

i nf r ast r uct ur e f ocuses t he phenomenon on most pr oj ect s of

whatever sor t are f i nanced and bui l t by gover nment s, or i n a


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mi xed publ i c/ pr i vat e endeavor i n whi ch t he gover nment r ol e i s

essent i al . Whatever t he case, t he gener al category can and

shoul d be cal l ed publ i c wor ks. I nf r ast r uct ur e can be r eadi l y

cl assi f i ed as a sub- cat egor y of t he gener i c cat egor y of publ i c

wor ks. I woul d vent ur e t o of f er her e a cr i t er i on f or

di st i ngui shi ng ci vi l i nf r ast r uctur e as a cat egor y wi t hi n publ i c

wor ks as f ol l ows: Ci vi l i nf r ast r uct ur e i s a publ i c wor ks pr oj ect

whi ch occupi es such a st r ategi c pl ace i n a geogr aphi c ar ea or an

economi cal l y def i nabl e one t hat t he pr oj ect pr oduces i nt ended and

uni nt ended consequences out i nt o t he i ndef i ni t e f ut ur e, wi t h an

i nf l uence not onl y on f ut ur e publ i c and pr i vat e l and uses but on

t he vi r t ual pr ocess of t hi nki ng and pl anni ng i t sel f , f or a l ar ge

but i ndef i ni t e space ar ound t he pr oj ect . Such st r at egi cal l y

l ocat ed pr oj ect s can be cal l ed par adi gmat i c publ i c wor ks, wi t h

secondar y and t er t i ar y ef f ect s t hat not onl y i nf l uence i nvest ment

but t hi nki ng and desi gn ( i . e. , pl anni ng) i n concent r i c ci r cl es of

space and dat a ar ound t he gi ven ci vi l i nf r ast r uct ur e pr oj ect . We

can f ol l ow her e what Supr eme Cour t J ust i ce Pot t er St ewart sai d

about por nogr aphy: Though we cannot necessar i l y def i ne ci vi l

i nf r ast r uct ur e t o ever ybody' s sat i sf act i on, we know i t when we

see i t .

TOWARD A POLI TI CAL DEFI NI TI ON OF I NFRASTRUCTURE POLI CY

A poi nt made i n t he pr evi ous sect i on coul d wel l be

consi der ed t he gover ni ng pr emi se of t hi s endeavor :


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i nf r ast r uct ur e pol i cy i s an or gani c par t of t he cat egor y of

publ i c wor ks pol i cy and as such i s par t of t he ol dest cont i nui ng

cat egor y of publ i c pol i cy i n the gover nment of t he Uni t ed St at es.

J ust af t er t he conquest of t he t er r i t or y and t he def ense of t he

new st ate, wi t h a bi t of an army and some taxat i on, publ i c works

i s pr obabl y t he ol dest def i nabl e publ i c pol i cy cat egor y

ever ywher e - - even bef or e pol i ci es pr ot ect i ng pr i vat e pr oper t y.

( I woul d consi der r el evant i nf r ast r uct ur e as one of t he basi c

pr er equi si t es of an oper at i ng mar ket economy. ) Publ i c wor ks

pol i cy i s t he cor ner st one of gover nment and of pol i t i cs i n t he

Uni t ed St at es.

To appr eci at e t hi s, we need a shor t cour se i n publ i c pol i cy,

i n or der t o speci f y t he var i ous ki nds of publ i c pol i ci es t o whi ch

publ i c works pol i ci es can be compar ed - - def i ni ng what publ i c

wor ks pol i cy i s and what i t i s not . I begi n her e wi t h hi st or y

r at her t han wi t h a di r ect def i ni t i on. Tabl e 1 i s a

pi ct or i al i zat i on of t he publ i c pol i cy out put s of each of t he

l evel s of gover nment i n t he Uni t ed St at es, f r om r oughl y 1800 t o

1933. Fi r st exami ne Col umn 1, t he domest i c pol i cy out put of

Congr ess t hr oughout t he 19t h cent ur y. The f i r st not abl e

i mpr essi on i s t hat al l t hese i t ems shar e t wo common t r ai t s. The

f i r st i s common pur pose: t he pr omot i on or husbandr y of commerce.

So promi nent and so wel l under st ood was t hi s t hat many Europeans

r ef err ed t o t he ear l y Amer i can government as a "commerci al

r epubl i c. " And i ndeed, t he coup d' et at t hat moved us f r om t he


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Ar t i cl es of Conf eder at i on t o t he Const i t ut i on was pr eci sel y

dr i ven by f r ust r at i on wi t h t he bar r i er s t o r egi onal and nat i onal

commerce under t he f i r st Amer i can r epubl i c. The second common

t r ai t i s t hat al l of t hese i t ems of pol i cy use gover nment i n same

way: I n t he pr omot i on of commerce, t here i s no i nvol vement of

di r ect coer ci on over i ndi vi dual s. Al l pol i ci es ar e coer ci ve,

because t hey ar e gover nment al ; but , as we shal l see, t her e are

di f f er ent ki nds of coer ci on.

Col umn 1 i s bet t er appr eci ated i n t he cont ext of Col umn 2,

pol i cy out put s of st at e gover nment s. St at e gover nment s di d a l ot

of t he same ki nd of pr omot i on of commerce t hat t he nat i onal

gover nment di d, especi al l y thr ough t hei r l ocal cr eat ur es, cal l ed

ci t i es, count i es, et c. But t he di st i ncti ve f eat ur e of st at e

pol i cy out put s, as shown on Col umn 2, i s somet hi ng el se ent i r el y.

I t does not t ake much r ef l ect i on on t he i t ems i n t hat l ong

col umn t o f i nd what t hat i s. And I shoul d emphasi ze t hat each of

t hese i t ems i s a basket of pol i ci es r epr esent ed by at l east one

vol ume i n st at e codes of l egi sl at i on. The common t r ai t t hr ough

t hose i t ems i s r ef er r ed t o i n const i t ut i onal hi st or y as "t he

pol i ce power . " The moder n r ender i ng of t hat concept i s:

r egul at or y pol i cy. Thi s i s a par t i cul ar and di st i ncti ve use of

st at e coer ci on, whi ch i nvol ves t he i mposi t i on of obl i gat i ons on

conduct , backed by sanct i ons.

Fr om t hat di st i nct i on al one, I t hi nk we can gai n a cl ear

pi ct ur e of t he nat ur e of "publ i c wor ks" as a di st i nct cat egor y of


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pol i cy. ( Thi s, by t he way, gi ves al so a cl ear pi ct ur e of t he

t r ue nat ur e of f eder al i sm, as a f or m of f unct i onal di vi si on of

power . ) The cl assi c exampl es of such pol i ci es ar e housed i n a

cl assi c agency, t he Ar my Cor ps of Engi neer s, possi bl y t he ol dest

cont i nui ng agency i n t he nat i onal gover nment , wi t h t he possi bl e

except i on of t he Post al Ser vi ce. [ PROVI DE DATES OF FOUNDI NG]

The or i gi nal assi gnment of t he Cor ps of Engi neer s, "Ri ver s and

Harbors, " became t he t r ade name f or t he whol e cat egory of publ i c

works, whose af f ect i onat e popul ar name became "pork bar r el . " And

t hi s br i ngs us cl oser t o a f unct i onal def i ni t i on of t he whol e

cat egor y, because t he best guess i s t hat "por k barr el " comes f r om

t he ant e- bel l um pr act i ce of di st r i but i ng chunks of sal t por k t o

sl aves i n l ar ge bar r el s, per mi t t i ng t hem t o f i ght over t he bar r el

and gr ab as many chunks as they coul d possi bl y car r y away. Li ke

t he pi eces of por k i n t he bar r el , pr omot i onal pol i ci es ar e

pol i ci es t hat act ual l y di st r i but e val ued r esour ces t o i ndi vi dual s

i n or der t o expand t hei r al t er nat i ves or enabl e t hem t o do

somethi ng t hey were ot herwi se not abl e t o do. And t hese val ued

r esour ces can be di saggr egated i nt o l arger and l arger number s of

smal l er and smal l er chunks, l i ke por k i n t he bar r el . Tabl e 2

l abel s t hese "di st r i but i ve pol i ci es, " a t er m chosen i n or der t o

di st i ngui sh t hese f r om r egul at or y pol i ci es and f r om

"r edi st r i but i ve" pol i ci es ( of whi ch mor e i n a moment ) . But t he

best way t o under st and t he di st r i but i ve pol i ci es i s t o under st and

t hem as a par t i cul ar use of t he st at e cal l ed pat r onage.


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Pat r onage has been vul gar i zed to ref er onl y t o t he publ i c j obs

and ot her i ndi vi dual pr i vi l eges t hat t he vi ctor i ous pol i t i cal

par t y can di st r i but e t o t he f ai t hf ul as i ncent i ves t o wor k or as

r ewar ds f or past ser vi ces. The j obs, const r uct i on cont r act s, and

l i censes and other sor t s of smal l chunks of gover nment r esour ces

ar e a smal l par t of t he r esour ces avai l abl e as pat r onage

( di st r i but i ve pol i cy) by gover nment . The i mpor t ance of pat r onage

as a cat egor y of pol i cy, or use of t he st at e, can best be

conveyed by i dent i f yi ng t he pr act i ce t hat gave pat r onage i t s

name: The f eudal l ord was pat r on t o t he vassal s and ser f s who

occupi ed t he l ord' s or baron' s or monarch' s domai n, and t hese

r esour ces wer e di st r i but ed t o each dependent i ndi vi dual on a

per sonal , i ndi vi dual i zed basi s, i n r et ur n f or ser vi ces, l oyal t y,

and r eput at i on f or t he goodness of t he chi ef t ai n. The "pat r on of

t he ar t s" i s one of t he der i vat i ons, seen i n t he dowager l ady or

r et i r ed phi l ant hr opi st who di st r i but es hi s or her r esour ces on a

per sonal basi s t o deser vi ng ar t i st s, per f or mer s or ot her

cl ai mant s. I t i s t hi s subdi vi si on of r esour ces and t hei r

di st r i but i on on an i ndi vi dual i zed, per sonal basi s t hat def i nes

t he char act er of pat r onage hi st or i cal l y and t he char act er of

"di st r i but i ve pol i cy" i n t he l ogi cal scheme of Tabl e 2.

Tabl e 2 pl aces t hi s one cat egor y i n t he cont ext of ot her

possi bl e cat egor i es of pol i cy, def i ned l ogi cal l y on t he basi s of

my own concept ual i zat i on of t he di f f er ent t ypes of coer ci on, or

"uses of gover nment . " Regul at or y pol i cy al r eady i nt r oduced, i s


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al so i mpl ement ed on an i ndi vi dual i zed basi s ( see upper axi s) , but

i n t hi s case t he r esour ces and i ncent i ves ar e not what i s bei ng

di st r i but ed but actual l y obl i gat i ons, mai nl y i n t he f or m of r ul es

l i mi t i ng and r est r i ct i ng i ndi vi dual conduct . Regul at or y pol i cy

obvi ousl y est abl i shes a r el at i onshi p bet ween ci t i zen and

gover nment f ar di f f er ent f r om t he r el at i onshi p pr evai l i ng under

condi t i ons of pat r onage pol i cy. That i s, each i s a di f f er ent way

of usi ng gover nment , and t her ef ore each cr eates t he condi t i ons

f or a ver y di f f er ent ki nd of pol i t i cs. Thi s i s the basi s f or a

pr i nci pl e gui di ng my anal ysi s of pol i cy f or t he past 30 and mor e

year s: Pol i ci es cause pol i t i cs.

Two ot her cat egor i es, r edi st r i but i ve and const i t uent ,

compl ete t he mat r i x and exhaust t he types of pol i cy government s

can pr oduce and t he t ypes of pol i t i cs f l owi ng t her ef r om. I t i s

i mpor t ant al so t o not e t hat t hi s means pol i t i cal syst ems are not

compr i sed of a si ngl e "pol i t i cal pr ocess" but ar e compr i sed of at

l east f our di f f er ent pol i t i cal pr ocesses, each wi t h i t s own power

st r uct ur e and pol i t i cal behavi or pat t er ns among par t i ci pant s.

The f our boxes cont ai ni ng t he f our t ypes of publ i c pol i cy ar e

def i ned by t he t wo maj or axes: pol i ci es ar e char act er i zed by

whet her t he " l i kel i hood of coer ci on" i s r emot e or i mmedi at e ( or

i ndi r ect ver sus di r ect) . Thi s r eadi l y di st i ngui shes t he

di st r i but i ve or pat r onage pol i cy f r om t he r egul at or y pol i cy, as

shown i n t he t wo r espect i ve boxes. The second axi s l ooks at

pol i cy i n ter ms of whet her t he pol i cy seeks t o i nf l uence conduct


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by wor ki ng on or t hr ough i ndi vi dual s or whet her i t seeks t o

i nf l uence conduct by mani pul at i ng t he envi r onment of t hat conduct

or t he condi t i ons of i t s exer ci se. ( Thi nk of mi cr o v. macro. )

For exampl e, on t hi s axi s di st r i but i ve and r egul at or y pol i ci es

are i n t he same di mensi on - - because bot h work t hrough t he

i ndi vi dual ( t hr ough i ndi vi dual i ncent i ves or t hr ough i ndi vi dual

obl i gat i ons) . The "r edi st r i but i ve" pol i ci es can be j ust as

coer ci ve as t he r egul at or y, but a change i n t he t ax st r uct ur e or

a sl i ght i ncrease or cut i n i nt er est r at es can ser i ousl y al t er

conduct by al t er i ng t he condi t i ons of t hat conduct wi t hout ever

havi ng t o recogni ze or f i nd out t he i dent i t y of any i ndi vi dual on

whom t he i mpact i s i nf l uent i al . Li kewi se, t he cr eat i on of new

budget i ng met hods or cent r al pur chasi ng, or l aws havi ng t o do

wi t h el ect i ons or wi t h t he r e- di vi si on of power s among

i nst i t ut i ons or Br anches, ar e i mpor t ant pol i ci es but t hey ar e

pol i ci es concer ned wi t h t he i nt er nal worki ngs of gover nment and

how t hese ref orms cr eate new envi r onment s f or ci t i zens. Then t he

l i nkage f r om t hese cat egor i es of pol i cy t o t he most l i kel y

pol i t i cal pr ocess pat t er ns ar e vi sual i zed on Di agr am 2 by t he

l i nes r unni ng across t he mat r i x t o i l l ust r at i ve adj ect i ves

out si de t he mat r i x.

Thi s wi l l be t he cont ext and source of cr i t er i a f or

exami ni ng and expl or i ng t he pol i t i cs of i nf r ast r uct ur e pol i cy.

My hope al so i s t hat t hey wi l l hel p pr ovi de a basi s f or maki ng

normat i ve j udgment s and act ual pol i cy r ecommendat i ons.


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THE POLI TI CS OF I NFRASTRUCTURE POLI CY

Some Case St udi es

New Haven: I t ' s Not WHO GOVERNS?, St upi d; I t ' s WHAT GOVERNS?

Robert Dahl ' s cl assi c st udy of New Haven, Who Governs?, was

vi r t ual l y t he bi r t h of t he empi r i cal l y- gr ounded pl ur al i st t heor y

of pol i t i cs i n Amer i ca. Pl ur al i st t heor y descr i bes a speci al

f or m of democr acy, not di r ect l y of t he peopl e but one i n whi ch

power i s kept open and r el at i vel y decent r al i zed by compet i t i on

and bar gai ni ng among l eader s, especi al l y l eader s of gr oups,

maki ng f or mul t i pl e el i t es, based i n pl ur al i t i es of i ndependent

power cent er s or "nucl ei . " Gover nment s wer e conduct ed, pol i ci es

got made, and pol i t i cal equi l i br i um of sor t s was mai nt ai ned

t hr ough bargai ni ng. And t hose bargai ns bet ween maj or pr i vat e

i nt er est gr oups and ot her qual i f i ed pl ayer s and publ i c of f i ci al s

wer e f or mal l y i nscr i bed as t he publ i c pol i ci es t hat wer e mor e

l i kel y t o ser ve t he publ i c i nt er est t han any ot her r eal i st i c

al t er nat i ve. ( Thi s i s di r ectl y i nspi r ed by t he "i nvi si bl e hand"

dynami c of cl assi cal economi cs. ) Dahl f ound t he mother l ode of

pl ur al i st pol i t i cal t heor y i n t he act ual pr act i ces of t he ci t y of

New Haven and t he pol i ci es of urban devel opment and re-

devel opment by car ef ul l y st udyi ng t hem f or sever al year s dur i ng

t he hei ght of f eder al ai d t o ur ban i nf r ast r uct ur e i n t he 1950s.

By t he mi d- 60s, New Haven had spend $790. 25 i n f ederal f unds


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per capi t a on ur ban r edevel opment , compared t o t he average f or

al l ci t i es of $453. 51 [ Wol f i nger , The Pol i t i cs of Pr ogr ess, 1974,

p. 195] . And t he ener gy of i t s pr ogr ess and t he pl acement

deci si ons i n New Haven were bei ng made by a pl urast i c process

cent er ed on t he mayor . Al l t hi s i s wel l - document ed by books and

ar t i cl es ar i si ng out of t he best - st udi ed ci t y i n Amer i ca. But

t he bomb t hat st ar t ed al l t hi s came not f r om wi t hi n t he ci t y at

al l ( "as a pol i t i cal syst em") but f r om a si ngl e deci si on made by

t he l obbyi ng ef f or t s of t he mayor of New Haven and the governor

of Connect i cut , concent r at i ng on t he f eder al hi ghway aut hor i t i es

and t hei r Connect i cut congr essi onal del egat i on t o add one exi t

of f t he new I nt er st at e Hi ghway 95. I t came of f j ust adj acent t o

an i nt er change al r eady pl anned and i n const r uct i on, and i t was

desi gned and bui l t t o r un di r ect l y t hr ough t he dead cent er of

downtown New Haven, endi ng abr upt l y at a dead end i ntersect i on

wi t h a normal cr oss- st r eet j ust a f ew bl ocks beyond t he downt own.

Why? Because t he i nterchange r an t hrough and wi ped out t he

wor st sl um i n t he ci t y, a nei ghbor hood of di l api dat ed, l ow- r ent

f l at s and shops spr awl ed out between Yal e Uni ver si t y/ New Haven

Common on t he one si de and Gr ace- New Haven/ Yal e Uni versi t y

Hospi t al on t he ot her .

Leavi ng asi de t he wi sdom of t hat par t i cul ar pi ece of

i nf r ast r uct ur e, i t s r ol e i n dr i vi ng t he New Haven r e- devel opment

st ory f or i t s decade as t he most admi r ed as wel l as t he most

st udi ed ci t y br i ng sever e doubt on t he whol e theory and pr act i ce


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of pl ur al i sm i n ci t i es. The whol e st or y of New Haven r e-

devel opment coul d be re- t ol d as a st or y of "nat i onal power

st r uct ur e" wi t h ci t i es as dependent uni t s, f ar f r om t he

aut onomous pol i t i cal syst ems by whi ch t hey ar e usual l y

char act er i zed.

Thi s i s not of f er ed as a r eversal or di sconf i r mat i on of

Dahl ' s pl ur al i st i c heaven, but an amendment : When publ i c works

pr ogr ams ( and ot her pr ogr ams t oo, but especi al l y publ i c wor ks)

ar e devol ved f r om nat i onal or st at e gover nment s, l eavi ng

di scret i on i n t he hands of ci t y of f i ci al s as t o how t o i mpl ement

t he pr ogr ams and use t he gr ant s- i n- ai d money, t he of f i ci al s can

bui l d coal i t i ons ar ound t hese r esour ces t o car r y out l ocal pl ans

and obj ect i ves t hey al r eady had but di dn' t ot her wi se have t he

means. Two i mport ant poi nt s need t o be added her e. Fi r st ,

ci t i es ar e i nher ent l y conser vat i ve - - i n t he sense t hat t hei r

obl i gat i ons under st at e "pol i ce power " ar e " t o mai nt ai n t he

heal t h, saf et y and mor al s of t he communi t y, " l ar gel y t hr ough

keepi ng di f f er ent cl asses, r aces and et hni c gr oups apar t f r om

each ot her . Second, t he use of devel opment money and di scr et i on

devol ved f r om above i s, i n consequence, conser vat i ve.

Conservat i ves are t he best pl anner s because t hei r pl ans are f or

mai nt enance and conservat i on of exi st i ng soci al val ues and soci al

str uct ur es, not , as wi t h l i ber al s, f or thei r al t er at i on. Thi s

const i t ut es Lesson #1, or t he moral , of t he st ory: When you

commi t t o a pi ece of publ i c wor ks, especi al l y i f i t i s


14/33

- 14-

i nf r ast r uct ur e ( havi ng a st r ong par adi gmat i c el ement ) you have t o

have a soci al as wel l as a const r uct i on pl an - - or someone el se,

unaut hor i zed, wi l l use t he r esour ces t o make t hei r own soci al

pl an, usual l y cont r ar y to t he one t he pl anner s woul d have had i f

t hey had devel oped one.

Thi s goes wel l beyond New Haven. Al l we have t o do i s l ook

at t he t ypi cal bi g ci t y, as wel l as the mi ddl e si ze one. For

exampl e, t he ar t er i al hi ghways i n and ar ound Chi cago, bui l t al so

i n t he 1950s and 60s, wer e def i ni t el y t he engi ne f or much of

ur ban r e- devel opment i n t hat ci t y, whi ch came t o be cal l ed "Negr o

r emoval , " "sl um r enewal , " and "whi t e and bl ack, shoul der t o

shoul der , agai n t he wor ki ng cl asses. " Nat i onal l y f i nanced Dan

Ryan Expr essway ( I - 90 and I - 94) pl us t he st at e- f i nanced

Uni ver si t y of I l l i noi s/ Chi cago campus, shoul der t o shoul der ,

wi ped out Chi cago' s l argest downt own sl um, t he Maxwel l St r eet

sl um. The Uni ver si t y of I l l i noi s/ Chi cago campus i s cal l ed "t he

ci r cl e campus" because i t was bui l t on l ands acqui r ed and cl ear ed

i n a st r et ch f ar beyond t he gi gant i c i nt er change i t sel f ,

compr i sed of concent r i c ci r cl es where nor t h- bound Ryan meet s

west - bound I - 290 ( t he Ei senhower Expr essway) . Anot her East - West

connect or had been pl anned t o cut across one of t he l argest bl ack

nei ghborhoods i n Chi cago - - sout h of 63r d St r eet , Woodl awn,

border i ng on t he Uni ver si t y of Chi cago; but by t he 1960s, when

const r uct i on and r emoval wer e to begi n, t he al l - bl ack Woodl awn

Or gani zat i on had devel oped suf f i ci ent st r engt h and popul ar


15/33

- 15-

suppor t t o bl ock i t . Chi cago i s mor e segr egat ed al ong r ace and

cl ass l i nes af t er t he ur ban r e- devel opment / I nt er st at e Hi ghway er a

t han bef or e.

I r on Ci t y: Anot her Look at Why Conser vat i ves Make t he Best

Pl anner s

I r on Ci t y i s a mi ddl e- si ze sout her n i ndust r i al ci t y, near

Bi r mi ngham and a smal l cl one of Bi r mi ngham. 1 What happened t o

i nf r ast r uct ur e ther e happened al most ever ywher e el se, but i t i s

easi er t o see and t o document i n a smal l er ci t y, especi al l y one

t hat was so expl i ci t about i t s own pl an f or how i t woul d use the

r esour ces i t woul d get f r om f eder al pr ogr ams i nvol vi ng gr ant s- i n-

ai d f or ur ban i nf r ast r uctur e.

I n 1950, 20 per cent of I r on Ci t y' s popul at i on was bl ack,

but , unl i ke nor t her n ci t i es, bl acks di d not l i ve i n t hose

concent r at ed nei ghborhoods t hat came t o be cal l ed bl ack ghet t os.

Li ke most sout her n ci t i es, mai nl y because of sl ow gener al gr owt h

and sl ow and st eady bl ack i mmi gr at i on f r om near by rur al ar eas,

and par t i cul ar l y because so many, especi al l y t he women, worked as

domest i c ser vant s i n whi t e househol ds ( bef or e t he uni ver sal i t y of

t he aut omobi l e) , whi t e nei ghbor hoods wer e i nt er l arded wi t h bl ack.

"Cl ose quar t er s" i t was of t en cal l ed. Thi s was al t oget her

st abl e and comf or t abl e unt i l t he whol e syst em of l egal

1Thi s account i s drawn ent i r el y f r om Lowi , The End ofLi ber al i sm, 1969, r evi si t ed 1979.


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- 16-

segr egat i on came i nt o cr i si s, and t hen i t became cl ear t o t he

l ocal el i t es t hat t her e woul d be no possi bl e way I r on Ci t y coul d

keep i t s publ i c school s r aci al l y segr egat ed by dr awi ng school

di st r i ct l i nes t hat woul d pass j udi ci al r evi ew or admi ni st r at i ve

r evi ew by t he gr ant gi ver s. The l ocal pl anner s wer e vi si onar y i n

t hi s, because t hey st epped i nt o t he cr i si s by f or mi ng t he I r on

Ci t y Pl anni ng Commi ssi on i n 1951, and by 1952 t he Commi ssi on had

a handsome mast er pl an, i n f ul l col or , wi t h t r anspar ent over l ays

and al l t he f ancy desi gn t hat mar k pr of essi onal pl anni ng. I t

l ai d out qui t e expl i ci t l y a f i ve- poi nt pl an. ( 1) An al l bl ack

nei ghborhood but wi t h t oo smal l a popul at i on t o warr ant pr oper

r ecreat i onal , school or soci al ser vi ces. ( 2) An al l bl ack

nei ghborhood al so wi t h bl i ght ed and subst andard housi ng but

occupi ed by peopl e not el i gi bl e f or r el ocat i on i n publ i c housi ng

or who per sonal l y pr ef er r ed si ngl e- f ami l y homes. ( 3) An ar ea

al so of "bl i ght ed and depr eci at i ng" housi ng but "gr owi ng as t he

f ocal poi nt of Negr o l i f e. " ( 4) An al l bl ack nei ghbor hood

spar sel y f i l l ed by shacks wi t h out si de t oi l et s but st r ung al ong

t he r i ver on pr i me pr oper t y sl at ed f or ci vi c devel opment . I t

happened al so t hat #1 was l ocat ed j ust behi nd t he whi t e

nei ghborhood wi t h t he hi ghest assess val ued whi t e housi ng and

al so abut t i ng t he l ar gest al l - whi t e j uni or hi gh school . Ar ea

desi gnat ed #2 was l ocat ed di r ect l y behi nd t he cent r al ( whi t e)

hi gh school . Ar ea #3 was an al l - bl ack nei ghbor hood, spar sel y

f i l l ed by shacks wi t h out si de t oi l et s but st r ung al ong t he r i ver


17/33

- 17-

on pr oper t y desi gnat ed as pri me pr oper t y sl at ed f or ci vi c

devel opment . Ar ea #4 was "across t he t r acks; " i t was t he l argest

al l - bl ack nei ghbor hood and al so "bl i ght ed and depr eci at ed" but

was "gr owi ng as t he f ocal poi nt of Negr o l i f e. " I t happened al so

t o be l ocat ed next t o t he one al l - bl ack hi gh school , j uni or hi gh

school and pr i mar y school .

Ar ea #1 was compl etel y "ur ban r enewed. " A r egul ar st r eet

pl an r epl aced t he dead- end al l eys, and mi ddl e- cl ass si ngl e- f ami l y

homes r epl aced t he shacks. Thi s pr oj ect more t han met t he

pl anni ng cr i t er i a of f eder al ur ban pol i cy, i nasmuch as sl ums wer e

cl ear ed and a ver y si gni f i cant amount of pr oper t y was r et ur ned to

t he ci t y t ax base. The i ncr eased whi t e popul at i on i n t he new

area was accommodat ed by t he expansi on of t he next - door j uni or

hi gh school and the addi t i on of an el ement ary school wi t h new

pl aygr ounds. Ur ban r e- devel opment and communi t y f aci l i t i es

money.

Ar ea #2, di r ect l y behi nd t he Cent r al Hi gh School , was wi ped

out and r epl aced by publ i c housi ng, al l - whi t e. Ar ea #4 was al so

compl et el y wi ped out ; part of t he cl eared l and became t he si t e

f or t he new ci t y hal l and ci t y j ai l , beaut i f ul l y over l ooki ng t he

r i ver , and t he r est was l andscaped f or " ci t y beaut i f ul . " The

communi t y f aci l i t i es money. Ar ea #3 di d i ndeed expand as " t he

f ocal poi nt of Negr o l i f e, " wi t h publ i c housi ng and wi t h si ngl e-

f ami l y homes f i nanced by f eder al publ i c housi ng gr ant s- i n- ai d and

f eder al ur ban r e- devel opment gr ant s- i n- ai d keepi ng t he cost of


18/33

- 18-

si ngl e- f ami l y homes and dupl exes at r ock bot t om pr i ces.

Thus, t he apart hei d pl an was a compl et e success. I r on Ci t y

had i t s ghet t o and t he al most compl et e r aci al segr egat i on of t he

popul at i on. And i t was al l done l egal l y, expl i ci t l y, and wi t h

f eder al assi st ance. I n f act i t had not been possi bl e wi t hout

f ederal assi st ance. Bet ween 1957 and 1961, when t he pl an was

vi r t ual l y compl et e, f eder al gr ant s- i n- ai d came t o al most exact l y

20 per cent of I r on Ci t y' s annual gover nment budget . And t hi s

does not count an undet ermi ned amount of f ederal hi ghway

assi st ance t hat had cont r i but ed t o the r emoval of smal l er and

separ at ed bl ack nei ghbor hoods t hat wer e not par t of t he or i gi nal

I r on Ci t y pl an. I t al so does not count FHA and VA pr i vat e

f i nanci ng f or t he l ovel y homes bui l t i n Ar ea #1 or some of t he

homes bui l t i n t he al l - bl ack ar ea. I t does count t he bui l di ng of

t he new al l - bl ack audi t or i um and t he chur ch t hat had been pi cked

up f r om Ar ea #1 and moved, wi t h t he bl ack popul at i on, over t o

Ar ea #3 t o j oi n t he ot her f ocal poi nt s of Negr o l i f e.

Mor al t o t he st or y: I f you want t o be sur e your ci t y pl an

i s a success, use t he secondar y and t er t i ar y ef f ect s of

i nf r ast r uct ur e, and be sur e t her e i s pl ent y of money out si de t he

l ocal t ax base.

Death of a Vi l l age: Do Pur e Sci ent i st s Make Good Pl anner s?

Thi s st or y t ook pl ace i n t he 1960s, and at t hat t i me we

l ooked at i t as an i nt i mat i on of t he f ut ur e, because i t i nvol ved


19/33

- 19-

pur e sci ent i st s as pl anner s and bui l der s. I t was a l ook at t he

f ut ur e because more and more sci ent i st s were goi ng t o be

i nvol ved, ei t her as bui l der s and pl anner s t hemsel ves or as

anal yst s and consul t ant s t o bui l der s who woul d i ncr easi ngl y need

a r esear ch and anal ysi s base f or any l ar ge pr oj ect , especi al l y

one t hat was l i kel y t o be a par adi gmat i c, i nf r ast r uct ur e pr oj ect .

I t was cl ear by the t i me we f i ni shed t he r esear ch and wr i t i ng

f or t he book t hat we wer e al r eady l i vi ng our f ut ur e. Thi r t y

years and a second edi t i on have passed si nce t hen, and we ar e

cer t ai nl y l i vi ng our f ut ur e now. 2 The Nat i onal Accel er at or

Labor at or y, Fer mi Lab i s l ocat ed on 6800- acr e si t e, 30 mi l es due

west of t he cent er of Chi cago on what used t o be 71 f arms

occupi ed by 71 f ar m f ami l i es. I t was, unt i l r ecent year s, t he

wor l d' s l argest atom smasher , and i t was a pr oud and comf ort abl e

l ocat i on i n DuPage Count y, one of Amer i ca' s most pr osperous

count i es, near weal t hy subur bs and al so near mansi on and horse

count r y wher e, at l east unt i l r ecent l y, peopl e st i l l got t oget her

f or f ox hunt s.

Our st ory begi ns i n 1959, when one f arm owner deci ded t o

sel l her 420- acr e f ar m t o a devel oper , who i mmedi at el y sought

per mi t s f r om t he count y to subdi vi de t he pr oper t y and bui l d 100

l ow- cost si ngl e f ami l y homes at pr i ces accessi bl e to wor ki ng-

2Thi s account i s based ent i r el y on Lowi et al . , Pol i sci de - -

Bi g Gover nment , Bi g Sci ence, Li l l i put i an Pol i t i cs (Macmi l l an,1976; 2nd ed. , Uni ver si t y Pr ess of Amer i ca, 1990) .


20/33

- 20-

cl ass peopl e. Al l hel l br oke l oose. Thi s was seen as a t i ppi ng

poi nt , because t he baby boom gr owt h was i n t hi s di r ect i on, and

many ot her f armers were caught i n a vi se: unabl e t o make a

l i vi ng wi t hout an out si de j ob t o suppl ement f ar m i ncome, and

suf f er i ng a r at e of t axat i on at subur ban r at her open- count r y

l evel s. Ever y devi ce avai l abl e t o l ocal gover nment was used t o

st op t he devel oper , who was al r eady begi nni ng t o adver t i se t he

new vi l l age of West on, I l l i noi s, f or t he good, sol i d wor ki ng

cl asses. Fol l owi ng some cour t vi ct or i es, and t he meet i ng of t he

st i f f count y cr i t er i a f or access r oads, pl umbi ng and sewer age,

const r uct i on codes, et c. , t he West on devel oper s f ound t hemsel ves

unabl e t o beat t he conspi r acy of banks and other pr i vat e

i nt er est s t o bl ock l ocal f i nanci ng. The devel oper per sever ed,

f i ndi ng out si de f i nanci ng - - whi ch t ur ned out t o be Maf i a money,

but t hi s onl y came out l at er , wi t h t he publ i cat i on of our book.

I n or der t o meet t he l ocal const r uct i on cr i t er i a, each

West on home woul d have t o be mar ket ed at $30, 000- pl us, f ar above

wor ki ng- cl ass capaci t y i n 1959. 3 But t he county pl anner knew

3And t her e was st i l l another i mpedi ment t hat woul d push t heWest on home f i nanci ng upwards: The Federal Housi ng Admi ni st r at i on( FHA) and t he Vet er ans Admi ni st r at i on ( VA) of f i ci al s r ef used t opr ovi de i nsured mort gages f or West on homeowners. Thi s i sconsi st ent wi t h FHA and VA pol i cy, f i r st t o cooper at e wi t h l ocalaut hor i t i es, and second, t o r ef use to i nsur e home i nvest ment s i nur ban sl ums. Another i mpedi ment was the r ef usal t hat t he count ygot f r om t he U. S. Post Of f i ce t o make house- t o- house del i ver y t ot he West on homes, t hus r equi r i ng that near l y a hundr ed mai l boxeswoul d be st r ung al ong t he count y hi ghway, sever al hundr ed f eetf r om t he ent r ance t o t he vi l l age.


21/33

- 21-

t hat , once West on got i t s i ncor por at i on, i t woul d have power t o

car ve 3 60- f oot l ot s out of each pai r of 90- f oot l ot s, enabl i ng

t he devel opers t o of f er West on homes wel l bel ow t he r egul at ed

count y housi ng market .

By 1965, West on was an operat i ng communi t y, wi t h al most al l

of t hei r houses occupi ed and f ul l y f i nanced. I t appear ed t hat

t he pr i vat e devel opers had beat en t he gi gant i c DuPage count y

gover nment , despi t e al l of i t s own f or mi dabl e aut hor i t y and

despi t e t he col l at er al hel p i t had got t en i n conspi r acy wi t h

l ocal pr i vat e devel oper s, banks, gent l emen f ar mer s, and t he l i ke.

But hel p was on t he way. The At omi c Energy Commi ssi on ( AEC) was

engaged i n a nat i onwi de sear ch f or t he si t e f or what was t o be

t he wor l d' s l argest atom smasher . I mmedi atel y t he AEC was

del uged wi t h over 200 pr oposal s f r om 46 st at es, and t he

compet i t i on was i nt ense, because t he st akes were hi gh: The 200-

bi l l i on el ect r onvol t ( BeV) accel er at or woul d be a hi ghl y

desi r abl e "cl ean i ndust r y, " whose const r uct i on woul d cost over $1

bi l l i on, whose oper at i ng needs woul d l ead t o t he empl oyment of an

i ndet er mi nat e but ver y l ar ge number of qual i t y worker s i n st abl e,

qual i t y j obs - - not t o count t he l ar ge number of r esi dent

sci ent i st s and t echni ci ans, many of whom wer e expect ed t o l i ve i n

t hat vi ci ni t y.

On December 15, 1966, Chi cagoans l earned t hey woul d soon be

t he pr oud nei ghbor of t he wor l d' s l ar gest at om smasher . I t was

t o be l ocat ed vi r t ual l y on t op of t he vi l l age of West on, whose


22/33

- 22-

i nhabi t ant s had been pr omi sed t hat t hei r homes woul d be pi cked up

bodi l y and moved t o a near by l ocat i on and woul d become the

"servi ce ci t y" f or t he sci ence i nst al l at i on. The mayor even

ar r anged f or t he const r uct i on of an enor mous bi l l boar d si gn

poi nt i ng at t ent i on t o West on, t he count r y' s f i r st "at omi c

vi l l age. " Al most exact l y 20 mont hs af t er t he announcement t hat

t he West on si t e coul d be sel ect ed by t he AEC, no l egal t r ace of

t he vi l l age or t he f ar ms remai ned. Nat i onal Accel er at or

Laboratory ( NAL) per sonnel occupi ed t he vi l l age homes and t he

f armhouses whi l e super vi si ng const r uct i on of t he under gr ound

r i ng, t wo mi l es i n di amet er . Thi s was t he vi l l age t hat was t o

have been moved wi t h al l of i t s occupant s i nt act . And i t was t o

be moved because t he vi l l ager s had been t ol d t hat t he accel er ator

r i ng, f or geol ogi cal r easons, woul d have t o be put di r ect l y on

t op of t he vi l l age i t sel f .

Thi s was a conspi r acy t o beat al l conspi r aci es. I t was a

conspi r acy wi t h DuPage count y of f i ci al s at t he cent er , wi t h t he

St ate of I l l i noi s Depart ment of Busi ness and Economi c Devel opment

( DBED) as a key ax- wi el der , wi t h Mayor Dal ey' s pol i t i cal t r oops

i n Chi cago deal i ng di r ect l y wi t h Chi cago banks, wi t h Chi cago and

count y newspaper s agr eei ng t o have t hei r r eal est at e edi t or s

r ef use adver t i sement s pr omot i ng t he West on devel opment , and

sever al agenci es of t he U. S. nat i onal government , whose enormous

l ar gess f or "sci ence i nf r ast r uct ur e" was bei ng made avai l abl e at

t he di scret i on of t he l ocal aut hor i t i es on t he scene.


23/33

- 23-

What i s even mor e si gni f i cant i s t he f act t hat t he

sci ent i st s - - bot h t he vi si onar y desi gner s of t he accel er at or ,

i ncl udi ng Cor nel l ' s most f amous Rober t Wi l son - - and t he sci ence

pl anner s at AEC and at t he Nat i onal Academy of Sci ence, and al l

t he ot her sci ences i n the mi d- West who had sought so har d to

br i ng t he gr eat accel er at or t her e i nst ead of l osi ng out once

agai n t o t he East Coast or t he West Coast sci ent i st s - - al l of

t hese peopl e, one and t oget her , si ngl y and col l ect i vel y, wer e

t ot al l y i gnor ant of t he secondar y and t er t i ar y uses t o whi ch t he

accel er at or oppor t uni t y was bei ng put . J udgi ng f r om scor es of

i nt er vi ews pr i or t o publ i cat i on, and al most as many react i ons t o

our book when i t was sent di r ect l y t o a gr eat number of t he

par t i ci pant s, t he sci ent i st s never knew what hi t t hem. Pr of essor

Rober t Wi l son, who had years ear l i er proposed a much cheaper

al t er nat i ve t hat coul d meet most of t he needs of t he gi ant at om

smasher was, as a consequence, made the desi gner , super vi sor and

f i r st di r ect or of Fer mi Lab. And t hi s ver y humane, ver y

humani st i c sci ent i st - poet not onl y pr ovi ded f or t he bui l di ng of

t he accel er at or at t he l owest possi bl e cost , but al so engaged i n

a most enl i ght ened hi r i ng pol i cy, i n t er ms of r ace as wel l as

cl ass. And si nce t he count y had gr ant ed t he NAL more t han t wi ce

as much l and as t he or i gi nal speci f i cat i ons r equi r ed ( 6800

i nst ead of 3, 000 acres, i n or der t o i ncl ude al l t he l i kel y f ar ms

t hat woul d t i p over i nt o devel opment ) , Dr . Wi l son dedi cat ed

sever al acr es of t he sur pl us pr oper t y t o t he const r uct i on of a


24/33

- 24-

model f arm t o be run by "Farmer Bob, " a f arm manager wi t h a

Ph. D. , t o hel p pr eser ve "t he onl y vest i ge of r ur al l i vi ng i n t hi s

ar ea . . . . " They even i nst al l ed a smal l her d of buf f al o on t he

l and t hat had been cl ear ed f r om ever y vest i ge of nat ur al r ur al

l i f e.

Mor al t o t he st or y: Sci ent i st s, j ust l i ke hi ghway

devel oper s, t end t o be so pr oj ect - or i ent ed t hat t hey say t o l ocal

pl anner s, i n ef f ect , "Gi ve us our t oy, but don' t t el l us how you

got i t . " When t he cent er doesn' t pl an, t he per i pher y wi l l ,

usual l y wi t h t he i mposi t i on of l ocal val ues, no mat t er how f ar

r emoved t hey are f r om cent r al val ues. When cent r al pl anner s

pl an, t hey ar e soci al i st s. When l ocal pl anner s pl an, t hey ar e

"ci t y f at her s. " You cannot have a st r at egi c publ i c wor k, any

publ i c wor k, wi t hout a pl an. I f you don' t make t he pl an,

somebody el se wi l l . Wi t h your dough.

Back t o t he Twel f t h Cent ur y: I nt er nat i onal Ai r por t s, t he Moder n

Cat hedr al s

[ I n t he i nt er est of t i me and space, t hi s case wi l l be added

af t er t he Conf er ence, f or t he f i nal dr af t . ]

REFLECTI ONS AND RECOMMENDATI ONS

My r ef l ect i ons have been ant i ci pat ed i n the mor al at t he end

of each of t he cases. By t he ver y nat ur e of publ i c wor ks

pol i ci es - - especi al l y i nf rastr uct ure pol i ci es, i f t he


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par adi gmat i c el ement i s under st ood t o be pr esent - - t her e wi l l be

secondar y and t er t i ar y ef f ect s. These wi l l al ways be soci al and

pol i t i cal as wel l as economi c and t echni cal . And t he soci al and

pol i t i cal wi l l be t he most ext ensi ve and wi l l i nvol ve t he l ar gest

r ange of "unant i ci pat ed consequences. " I nf r ast r uct ur e - - agai n

by i t s ver y nat ur e - - wi l l al ways be i nhabi t ed by l ocal

i nt er est s, and l ocal i nt er est s wi l l be f ar mor e i nt ensel y pur sued

t han t he r egi onal , nat i onal , or ot her br oader "publ i c i nt er est s. "

Tabl e 2 i s r eproduced f r om Pol i sci de and, as i n t he book, i t

i s desi gned t o be gener al i zabl e i n l ar ge par t t o al l l ar ge publ i c

wor ks pr oj ect s, especi al l y t hose i nvol vi ng al l t hr ee l evel s of

gover nment i n t he f eder al syst em. I n f act , t he l ar ger t he scal e

and cost of a publ i c wor ks pr oj ect , t he mor e l i kel y al l t he

l evel s of gover nment i n t he f eder al syst em wi l l be i nvol ved, wi t h

gr eater money pr ovi ded f r om above and more di scr et i on i n

i mpl ement at i on devol ved downward. That i s, t he gr eater t he

di st ance f r om t he money pr ovi der , t he mor e di scr et i on i n t he

hands of t he money di st r i but or . The names of t he pl ayer s wi l l

not be the same as t hose on Tabl e 2, but t he rol es and t he

per spect i ves f l owi ng f r om each r ol e remai n about t he same.

Now back t o t he pol i cy scheme i nt r oduced ear l i er . Put t i ng

t hi s t oget her wi t hi n t he f eder al syst em, we ar e wel l - advi sed t o

at t ach a l abel t o al l publ i c wor ks pr oj ect s: Bewar e: Thi s

pr oj ect can be har mf ul t o your heal t h. Publ i c wor ks pol i ci es

make r esour ces avai l abl e on a hi ghl y di saggr egabl e basi s. That


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- 26-

i s, t hey can be subdi vi ded i nt o uni t s and t he uni t s can be

exchanged, t r aded and cumul at ed i n a rel at i vel y f l ui d,

i ndi vi dual i zed basi s. Pi ct ur e once agai n t he por k bar r el . But

mor e. As observed ear l i er , t hi s ki nd of pol i cy uses gover nment

power i n a pr omot i onal way, wi t h a mi ni mum of coer ci on and

t her ef ore pr oduces a speci al r el at i onshi p bet ween gover nment and

ci t i zen. Thi s f aci l i t at es i n t urn a speci al ki nd of pol i t i cal

pr ocess, one i n whi ch a ver y speci al ki nd of coal i t i on pr evai l s:

l ogr ol l i ng. Logr ol l i ng i s a vul gar , sl ang t er m f or one of t he

f undament al t ypes of pol i t i cal r el at i onshi p. Logr ol l i ng can be

def i ned as an agr eement of mut ual suppor t bet ween t wo or mor e

peopl e who have absol utel y not hi ng i n common - - except t he

agr eement of mut ual suppor t . I n cont r ast , coal i t i ons i n t he

st r uggl e f or r egul at or y pol i cy ar e t he cl assi c compr omi se- t ype

coal i t i on i n whi ch al l par t i ci pant s must make t hei r r espect i ve

i nt er est s known and then exami ne each ot her s' i nt er est s,

sof t eni ng t hei r r espect i ve demands unt i l genui ne accommodat i ons

ar e r eached. Coal i t i ons f or r edi st r i but i ve pol i cy al so r equi r e

mut ual knowl edge but demand br oader knowl edge t han mat er i al

i nt er est - - r eachi ng l evel s of br oad soci al cl ass, soci o- economi c

pr i nci pl e, and, i n a wor d, i deol ogy.

Logr ol l i ng, t he onl y coal i t i on t ype concer ni ng us her e, i s

t he easi est t o f orm and i n many ways t he most st abl e, because

par t i ci pant s say to each ot her , i n ef f ect , "You suppor t me on X

and I ' l l suppor t you on any i ssue - - don' t t el l me about i t ; j ust


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t el l me when and how t o suppor t you. " J ohn Fer ej ohn, i n hi s

i mpor t ant book- l engt h st udy of t he pol i t i cs of "por k bar r el

pol i ci es, " wr i t t en many year s af t er my or i gi nal char act er i zat i on,

emphasi zes t he same t hi ng:

I f a bi l l cal l i ng f or i mpr ovement s i n as i ngl e di st r i ct i s put [ f orward] , i t wi l l notpass, si nce al l t he di st r i ct s must pay andonl y one wi l l benef i t . Consequent l y, onl y an

omni bus bi l l pr oposi ng expendi t ur es i n atl east a maj or i t y of t he di st r i ct s has achance of passage. 4

But Fer ej ohn l i mi t s hi s obser vat i on t o si ngl e pi eces of

t r adi t i onal "r i ver s and har bor s" t ype l egi sl at i on ( omni bus) i n

whi ch dozens of i ndi vi dual pr oj ect s are added up unt i l a maj or i t y

of di st r i cts ar e r epr esent ed. But l ogr ol l i ng coal i t i ons ar e al so

f or med across sever al di f f er ent pr oj ect s i n sever al di f f er ent

bi l l s i n t he same sessi on of t he l egi sl at ur e or i n l at er

sessi ons, wher e payof f s of mut ual support are made at l ater

t i mes. I n f act, i t i s one of t he maj or f uncti ons of t he par t i es,

or par t y l eader s, t o keep r ecor ds of l ogr ol l s and t o hel p

f aci l i t at e l at er payof f s .

Now I move t o t he i mmedi at e and hi ghl y pr edi ct abl e

consequences of t hi s ki nd of coal i t i on: The pr oj ect s and ot her

i t ems i nvol ved i n t he l ogr ol l i ng coal i t i on ar e uni t s of exchange

t hat are i nt ensel y concent r at ed on t he pr oj ect s t hemsel ves and on

t he mut ual assi st ance agr eed upon. Li t t l e i f any r oom i s l ef t

4J ohn Ferej ohn, Pork Bar r el Pol i t i cs, f ul l ci t at i on t o bepr ovi ded.


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f or consi der at i ons of secondar y and t er t i ar y ef f ect s and f or

"publ i c goods" beyond t he i t ems i nvol ved i n t he t r ansact i ons,

because t hese i nt r oduce ot her i nt er est s and i deol ogi es t hat

i nt er f er e wi t h l ogr ol l i ng. Logr ol l i ng coal i t i ons ar e al most on

pr i nci pl e ant agoni st i c t o l ar ger publ i c goods ( say, i n t he r eal m

of r egul at or y pol i cy or r edi st r i but i ve pol i cy) because t he t ypes

of coal i t i ons i nvol ved i n t hose publ i c goods t end t o be

i ncompat i bl e wi t h l ogr ol l i ng coal i t i ons.

Now add t he other t endency i dent i f i ed above, t hat i n our

f eder al syst em gr eat er di scret i on i s devol ved t o the l ocal

i mpl ement i ng agenci es because gr eater geogr aphi c and j ur i di cal

di st ances are i nvol ved due t o t he f act t hat mor e i nt er veni ng

l ayer s of del egat i on ar e i nvol ved. Now, any t ype of pol i cy - -

di str i but i ve ( pat r onage) , r egul at or y, or r edi str i but i ve - - t hat

l eaves maxi mum di scr et i on t o t he l ocal i mpl ement ors must l eave

open, vi r t ual l y absent , t he gui del i nes and st andar ds t hat ar e

supposed t o keep al l i mpl ement or s r el at i vel y cl ose t o the l aw' s

or i gi nal i nt ent . I n ot her wor ds, maxi mum di scret i on equal s

mi ni mum r ul e of l aw. When t he l ocal i mpl ement ors have t hi s

degr ee of di scr et i on, t hey can conver t al most any l aw, pr ogr am,

pr oj ect i nt o somet hi ng cl ose t o pat r onage and t her ef or e t o

l ogr ol l i ng coal i t i ons, because t hey can di saggr egat e t he pol i cy

i nt o uni t s of deci si on, and t her ef or e uni t s of l ogr ol l i ng i n a

l ogr ol l i ng coal i t i on. Go back t o Di agr am 1 or Di agr am 2 and dr aw

a br oad, cur vi ng ar r ow t hr ough al l f our boxes, st ar t i ng wi t h t he


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r egul at i on box and cur vi ng r ound t o end wi t h t he di st r i but i ve ( or

pat r onage) pol i cy box. I cal l t hi s t he "ent r opi c t endency" i n

pol i t i cs, t he t endency of any and al l t ypes of pol i t i cs to

det er i or ate or dr ai n downwar d t owar d t he l ogr ol l i ng t ype of

pol i t i cal pr ocess t hat pr evai l s i n t he di st r i but i ve or pat r onage

pol i cy cat egor y.

To r eveal t he nat ure and dynami cs of t hi s pecul i ar t ype of

coal i t i on pol i t i cs i s not onl y t o r eveal t he r i sk, i ndeed t he

danger , t o soci ety of t he hi ghl y compar t ment al i zed commi t ment t o

publ i c wor ks pr oj ect s mer el y based on a posi t i ve cost - benef i t

anal ysi s. I t al so pr ovi des some i nsi ght i nt o ways we may combat

t he danger and have our i nf r ast r uct ur e wi t hout t he undue soci al

cost s and ot her unant i ci pat ed consequences we al ways seem t o have

t o endur e. We j ol l y wel l need a l ar ge pr opor t i on of t he publ i c

wor ks pr oj ect s pr oposed. For t he sake of ar gument , our soci et y

may wel l need al l t he i nf r ast r uct ur e pr oj ect s pr oposed. Yet , we

cannot out l aw t he nar r ow- mi nded l ogr ol l i ng coal i t i ons t hat f or m

i n suppor t of t hese pr oj ect s and mi l i t at e agai nst br oader

consi der at i ons of soci al good. And we cannot pr each our way out

by st r essi ng t he goodness of t he br oader , ecol ogy or j ust i ce

or i ent ed consi der at i ons. The l ogr ol l i ng coal i t i on wi l l al ways

r ol l over t hose humane and phi l ant hr opi c sent i ment s. We have t o

f i nd a way out t hat i s r uggedl y equi val ent t o the way i n,

f i ght i ng f i re wi t h f i re.

Fi r st , i t seems t o me we have to recogni ze i mmedi atel y t hat


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cost - benef i t appr oaches ar e a t r ap. I n t he hands of pr oj ect -

or i ent ed i nt er est s and t hei r t echnol ogi st consul t ant s, i t i s a

means of f orecl osi ng debate, not a r out e t oward enl i ght ened

pol i cy. We can move t he pr oj ect away f r om t he pr oj ect ment al i t y

onl y by r equi r i ng t hat ever y pr oj ect embody a genui ne and cl ear

pol i cy - - r ul e of l aw - - t o gover n i t . I f t he or i gi n and t he

aut hor i zat i on and f i nanci ng ( al l or par t ) ar e nat i onal , t he

pol i cy must al so be nat i onal . ( I f Amer i cans no l onger want a

nat i onal gover nment or t r ust a nat i onal gover nment , t hen l et t he

l ocal s f i nance and const r uct t hei r own hi ghways and segr egate

t hei r own popul at i ons wi t hout f eder al hel p. ) And t he pol i cy

gover ni ng t he pr oj ect must be a r ul e of l aw car ef ul l y or i ent ed

t oward gover ni ng t he secondary and t er t i ary ( and br oader

spi l l over ) ef f ect s of t he pr oj ect . We must r equi r e t hi s not onl y

because real pol i ci es embodyi ng r eal r ul es of l aw ar e necessar y

i f we ar e ever t o i mpr ove our chances t o at t ai n t he goal s of

sust ai nabl e devel opment and soci al equal i t y. Rul es of l aw ar e

necessary because we are supposed t o be a const i t ut i onal

democr acy. Ever y publ i c wor ks pr oj ect i s f r ei ght ed wi t h soci al

pol i cy. The quest i on i s not whet her publ i c works shoul d embody a

soci al pol i cy but who shal l make t he pol i cy - - t he l aw maker s or

t he l ocal el i t es. When pr oj ect desi gner s admi t t hat t hey shoul d

be gover ned by the soci al pol i ci es of hi gher pol i t i cal

aut hor i t i es, t hey ar e doi ng mor e t han behavi ng responsi bl y t owar d

t hei r posi t i ons. They ar e al so set t i ng l i mi t s on t he ext ent t o


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whi ch l ocal pr oj ect r eci pi ent s can abuse, mi suse and mi sdi r ect

t hese r esour ces. Thi s i nvol ves recogni t i on t hat pol i cy has t o be

a st andar d of r esponsi bl e conduct f or l ocal aut hor i t i es t hat ar e

above and beyond t hei r own i mmedi at e mani pul at i on.

There i s st i l l another advant age t o at t achi ng expl i ci t

soci al pol i ci es t o each and ever y publ i c wor ks pr oj ect . The

l ar ger pol i cy wor ks as a l i mi t on t he desi gner s and t he

congr essi onal budget maker s t hemsel ves. The i nt r oduct i on of a

l ar ger soci al pol i cy changes i mmedi at el y t he t ype of pol i t i cal

pr ocess i nvol ved, and t hat i s preci sel y t he best way out of t he

danger of pr oj ect - or i ent ed deci si on maki ng. Thi s i s t he onl y way

t o put an end to such pol i cy barons as Bud Shust er , chai r man of

t he House Commi t t ee on Transport at i on and I nf r ast r uct ur e, who has

put hi s congr essi onal di st r i ct under about si x f eet of concret e.

Exi t : t he i nst i t ut i onal i zat i on of second t hought s:

Publ i c wor ks pr oj ect s, even i ncl udi ng i mpor t ant

i nf r ast r uct ur e pr oj ect s, ar e di st i ngui shed by deci si ons t hat

embody no r ul e of conduct , because when each uni t i s di scr eet and

t r eat ed di screet l y, t hi s i s t ant amount t o sayi ng t hat no r ul e or

condi t i on bi nds any of t he r eci pi ent s. I t does not mat t er much

whet her t he deci si on maker s ar e pol i t i cal hacks, car eer

bur eaucr at s, pol i t i cal l y appoi nt ed l awyer s, member s of Congr ess,

or hi gh- ener gy physi ci st s. Once t he pat r onage pol i cy pr ocess i s

set i n t r ai n, t he behavi or seri es i s pr edi ct abl e. On t he ot her

hand, a dr ast i c and i mmedi at e change can be made i n t he deci si on


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ser i es and t he pol i t i cal pr ocess by t he i nt r oduct i on of an

i mpor t ant publ i c pol i cy t hat gui des and set s l i mi t s on t he goal s

and secondar y and t er t i ar y ef f ect s of t he pr oj ect . For exampl e,

when some Senat ors f r om some nor t heast ern st at es sought t o appl y

ci vi l r i ght s consi der at i ons t o t he sel ecti on of t he nat i onal

accel er at or si t e, I l l i noi s Senat or Ever et t Di r ksen r epl i ed:

Ther e ar e 20 st at es t hat have open occupancyl aws. Ther e are 30 st ates t hat have no suchl aws. I f Congr ess i n i t s wi sdom under t akesat any t i me t o dr aw t hat l i ne [ appl yi ng aci vi l r i ght s condi t i on t o a speci f i c publ i cwor ks pr oj ect ] , t hen I want t o say . . . t hatl i ne i s goi ng t o be f i r ml y dr awn, and i t i sgoi ng t o be equal l y f i r ml y hel d.

Si nce no one at t hat t i me want ed advances i n ci vi l r i ght s badl y

enough to put an end to t he pork barr el pr ocess, t hey wi t hdr ew

t hei r ef f or t s t o i mpose a ci vi l r i ght s pol i cy on t he accel er at or .

But i t i s never t hel ess ext r emel y i mpor t ant t o set up a pr ocess

wher eby l aw maker s are f orced t o be expl i ci t about t he absence of

pol i ci es gover ni ng pr oj ect s and t he f act t hat pol i ci es ought t o

gover n sel ect ed aspect s of t he i mpact of t he pr oj ect . And i f l aw

maker s r ecogni zed honest l y t hat t he absence of a gover ni ng r ul e

est abl i shed by t hem wi l l si mpl y l eave open t he oppor t uni t y f or

l ocal uni t s t o make t hei r own gover ni ng pol i ci es, per haps t hey

wi l l be mor e det er mi ned t o est abl i sh t hei r own pol i ci es r at her

t han l eave al l t hat t o t he l ocal s.

The publ i c wor ks process i s cer t ai nl y one of t he wor st

pr ocesses i n t he Amer i can syst em f r om al most any and ever y


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per spect i ve. I t i s bad i n t er ms of t he absence of t he r ul e of

l aw. I t i s bad i n t er ms of t he nar r owness wi t h whi ch deci si on

maker s can al l ocat e publ i c r esour ces. And i t i s measur abl y t he

wor st t o t he ext ent t hat i t enabl es l ocal s t o make soci al

pol i ci es t hat woul d be def i ni t i vel y r ej ected i f t hose pol i ci es

wer e put bef ore t he publ i c as a r ef er endum.

A wor t hy and pr egnant concl usi on i s t he si mpl e pr oposi t i on

t hat i t i s t he r ul e t hat makes t he di f f er ence. When a pol i cy i s

at t ached t o a pr oj ect , t he "publ i c wor ks pol i t i cal pr ocess" i s

i mmedi atel y t r ansf ormed. The t r ansf ormed pr ocess i s a bet t er one

because i t r equi r es mor e "sear ch behavi or " on t he par t of t he

speci al i zed agenci es, sear ch behavi or beyond t he i mmedi ateness of

t he pr oj ect . I t i mposes - - wi t hout of cour se guar ant eei ng - - a

mor e r egul ar and nat i onal l y consi st ent consi der at i on of soci al

i ssues. And i t i nst i t ut i onal i zes second t hought s. Let t he

t echnol ogi es be deci ded by t echnol ogi cal speci al i st s. But gi ve

t hem an i nst i t ut i on t hat pr ovi des t hem wi t h t he oppor t uni t y f or

second thought s.

infraestructure a political analysis

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