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POSC100 AMERICAN GOVERNMENT
HURRICANE KATRINA AND FEDERALISM EXERCISE
These pages present some additional data to help you answer the
questions on the Hurricane Katrina
worksheet handed out in class on the 19
th
of February. Read and reflect on this information. If you’re
interested, the world of the internet has much much more
information on the government’s
response. Be cautious, however, for many of the opinions
expressed on blogs and other commentary
is ill-informed to the extreme.
Disaster Planning and Relief
In the area of disaster relief, there are a good many
jurisdictional gray areas. The Constitution is
silent on the federal government’s role—there are no
enumerated powers,; only implied powers:
From Article I, Section 8:
(1) The Congress shall have power to lay and collect taxes,
duties, imposts and excises, to pay the
debts and provide for the common defense and general welfare
of the United States; but all
duties, imposts and excises shall be uniform throughout the
United States".
… [the remaining 16 provisions enumerating the powers of
Congress]
(18) To make all Laws which shall be necessary and proper for
carrying into Execution the
foregoing Powers, and all other Powers vested by this
Constitution in the Government of the
United States, or in any Department or Officer thereof.
In the early days, it was unclear if these provisions allowed
Congress to even appropriate funds to
help out a specific geographical affected by a disaster.
1
1
Jack M. Balkin from Yale University explains:
One of the earliest and most contentious debates during the first
years of the Constitution's history was whether or
not the federal government had the power, under its authority
"to pay the debts and provide for the common defence
and general welfare of the United States," to spend money for
disaster relief for a specific community.
Jeffersonian strict constructionists argued that the words
"general welfare" precluded such a power, arguing first, that
the general welfare clause only gave Congress the power to
spend on behalf of one of its other enumerated powers,
and second, that even if the power to spend for the general
welfare were an independent power, Congress could not
devote money to a specific locality or region, but must spend
for the entire country as a whole, i.e., "the general
welfare of the United States." Loose constructionists, following
Alexander Hamilton, argued that the general welfare
clause gave Congress a separate power, and that the clause gave
Congress wide latitude to spend money to promote
what it viewed as conducive to the general welfare.
These competing ideas took center stage in the aftermath of a
devastating fire in Savannah, Georgia in 1796.
Hamilton and his federalist friends appealed emotionally to
Southern Representatives in Congress to
encourage a broad reading of the Art 1, s 8(1). However,
Southern Representatives, many of whom were
Jeffersonian Republicans, stood firm to their original
understanding and refused to provide federal funds to
assist a specific area of the country. Over time, Hamilton's
view has won out. Nobody in the federal
government today has any constitutional qualms about sending
federal money and assistance to New
Orleans—so long as the states and/or local governments ask.
(Jack M. Balkin, Disaster Relief and the
Constitution: A History of “Strict Construction”)
http://balkin.blogspot.com/2005/08/disaster-relief-and-
constitution.html
http://balkin.blogspot.com/2005/08/disaster-relief-and-
constitution.html
Nowadays, the implied powers of the federal government to
appropriate for the general welfare are
shared (or “concurrent”) with many state and local powers and
responsibilities.
Traditionally state and local governments have been the first
responders to disasters, with the
federal government providing backup, financial and logistical
aid, and help with long-term
recovery. The federal government will enter the picture earlier
if state officials ask. Increasingly,
however, the people have looked to the federal government for a
quick and decisive response, in
conflict with its traditional role and constitutional powers.
In the aftermath of Hurricane Katrina, it didn't take very long
for
the "blame game" to begin. Even as scenes of utter chaos and
destruction in New Orleans were still being broadcast live
around
the world in late August 2005, federal, state, and local officials
started pointing fingers at each other.
Assigning blame is difficult.
It is pretty clear that the “government” responded poorly.
Emergency procedures, even though many had been rehearsed,
were not followed; communication between different agencies
never began or broke down. Yet, some
of the problems surrounding Katrina arose from very real
confusion about who was to do what and
when. Our task today is to figure out which part of “the
government” is responsible for what when
disaster hits and to apply that knowledge to the response to the
response to Hurricane Katrina.
What role does the federal government have in disaster
management and planning?
The federal government had no role in disaster management
until—you guessed it—President
Roosevelt and the New Deal of the 1930s. Three federal
government agencies were given roles in
disaster management: the Reconstruction Finance Corporation,
which could provide loans to states
to help repair damage resulting out of an earthquake; The
Bureau of Public Roads, which could
provide funds to repair roads and bridges after a hurricane; and
the U.S. Army Corps of Engineers,
which was allowed to intervene to help out in floods. However,
the federal government had only a
small. Over time this role in disaster relief gradually increased.
In 1979, President Jimmy Carter created Federal Emergency
Management Agency (FEMA). FEMA
centralized the federal government’s disaster relief programs
into one agency. By 1992, FEMA had
roughly 2,500 employees and a budget of $4 billion.
FEMA coordinates the federal government’s response to
national disasters. It can provide
experts to assist state and local forces, high-tech
communications teams, search and rescue team
and, recently, the assistance of FEMA Corps (like the Peace
Corps but trained in emergency relief). In
the longer term, FEMA provides funding for rebuilding and
low-interest loans to state and local
authorities.
Yet, FEMA cannot (usually) act without a declaration of a
“state of emergency” by a state governor
and a request to the President from that state governor to issue a
national disaster or emergency
declaration.
In between disasters, FEMA coordinates performance standards
for emergency preparedness.
FEMA sets standards (in the National Response Framework),
after lengthy consultations with
representatives from other federal agencies, states, territories,
cities, counties, townships, tribes, and
nongovernmental first responders, and encourages states and
localities to adopt common procedures
and planning standards on things like transportation and
communications. Key in this
encouragement is the provision of funding for states to develop
their own, high-standard, emergency
plans and response capabilities. It also trains state and local
officials.
In all of this, the core assumption guiding the response to and
planning for disasters is that
emergencies are typically managed best at the lowest possible
geographic, organizational, and
jurisdictional level. These assumptions are adopted by the
federal government in its centralized plan
for disaster management, the National Response Framework (to
which all the states and local
governments adhere). The irony notwithstanding, the logic goes
that since every community is
unique, preparedness planning must account for local conditions
of culture, geography, language,
infrastructure, politics, and numerous other factors. For
example, Washington bureaucrats are
unlikely to that the Nutwood Ave Exit of the 57 is closed and
the National Guard needs to take the
Chapman Ave exits. In any case, the federal government lacks
the resources to serve as a first
responder during every disaster within the United States—they
don’t own the fire engines, buses,
police cars etc needed to respond to every disaster.
When the scale of an incident exceeds the capacity of state and
local actors to respond, the Federal
Emergency Management Agency (FEMA) and other U.S.
government
agencies mobilize to provide assistance. Such intervention
requires the
President, following an appeal from a state governor, to issue a
disaster or
emergency declaration that authorizes supplemental federal
assistance to
the stricken area. Even in this case, however, state bodies
preserve much
authority over the response. For instance, the governor can
retain control
over the state National Guard, and state disaster managers
continue to
decide what role, if any, they want FEMA to play in distributing
emergency
supplies.
What role do the states have?
State and local officials do most of the response planning,
subject to national guidelines and
standards. In Louisiana the planning is coordinated by the
Governor’s Office of Homeland Security
and Emergency Preparedness. In accordance with the principles
of federalism, each state determines
for itself the precise delineation of authorities and
responsibilities for emergency response between
state-wide and local public bodies (e.g., municipalities,
counties, etc.).
The state Governor is responsible for declaring a State of
Emergency (required before a request for federal assistance
can be made to the President). The state Governor is the
commander of the state National Guard. The federal
government may appropriate funds for the deployment of the
National Guard, but the President cannot deploy them unless
the Governor asks the President to federalize the forces. The
Governor, of course, controls the state police and other state
executive forces that can provide assistance and law and
order. State (and local) authorities have the initial lead role
in managing emergencies within the United States.
What role for local authorities?
Local authorities are the first responders to disasters. The
common planning assumption is that
communities need to manage a local emergency largely by
themselves for up to 72 hours until
substantial state and federal assistance can be mobilized and
deployed on the scene. Local officials
can declare a State of Emergency. Local officials are in charge
of local evacuation plans. Local officials
deploy firefighters, police and public transportation services to
assist in evacuation and law and
order maintenance.
Government Agencies Available to Respond to a Natural
Disaster (2005)
Federal Government
– Tracks, names and predicts the
likely behavior of tropical storms
and hurricanes and issues appropriate watches and warnings to
the public.
– provides
supplies, equipment, financial
assistance to victims and Disaster Medical Assistance Teams to
areas hit by natural disasters.
– provides aircraft, patrol boats and cutters
to conduct search, rescue and
humanitarian aid operations.
– Plans, designs, builds and
operates dams, levees and other civil
engineering projects.
- deploys U.S.
Public Health Service Officers to
affected areas on standby for deployment to support medical
response.
- dispatches trucks deliver
millions of meals ready to eat, water
and supplies, mobile homes, generators, etc. to affected areas
- coordinates damage assessments
to area crops and livestock
- Assists FEMA and National Guard
after disaster declarations are
issued for assistance in security, clean-up, search and rescue.
– provides disaster unemployment
assistance and National Emergency
Grants and assists in job recovery programs.
Louisiana State Government (includes the Governor, State
Legislatures and Agencies)
– though a federal entity, may be called by
governors to provide search and
rescue, assisting local law enforcement, and supplies to victims.
State Department of Health – assists in disease control, and
management of public health crisis
in affected areas.
– helps to coordinate
shelters, supplies, health care
and transportation for recovery efforts.
State Department of Education – help displaced school
children and teachers integrate back
into other schools.
– state law enforcement.
Local Government (includes Mayors, Municipal or County
Boards or Councils, Agencies)
Enforcement – police, sheriff departments with
primary law enforcement
responsibility.
– first responders to carry out search
and rescue operations.
– first responders to medical
emergencies.
al Public Transportation services (buses, trains, subways)
– evacuation transportation.
– provides assistance to families,
individuals in need.
Mistakes made before and after Hurricane Katrina
The Federal Government gets a harsh grilling over for its
behavior: Democratic Louisiana Governor Kathleen Blanco
asked why the FEMA was so slow to respond to the disaster
and why active-duty military forces were not sent to help
provide shelter, food and water, and order. Democratic Mayor
Ray Nagin complained about the slow federal response in
radio and television interviews, and estimated that at least
10,000 people died from the flooding, violence, loss of power,
and toxic wastes. FEMA director Michael Brown defended
FEMA, claiming the formal request for federal assistance had
not been made for Orleans County.
Yet, it is true that FEMA failed to requisition sufficient rescue
teams and supplies and responded
slowly when the levees broke. It also took the president and his
team a few days to realize that state
and local officials were absolutely overwhelmed.
Brown and some White House officials (though not President
Bush) laid the blame squarely on state
and local officials for failing to plan properly for the
emergency, botching the evacuation, and failing
to enforce law and order. For its part, the Louisiana state
government failed to meet its core
responsibilities. It did not come close to implementing its own
disaster mitigation and relief plan.
Furthermore, over the years it had adopted a series of tax,
subsidy, and regulatory policies that
encouraged construction along low-lying coastal areas, putting
people at risk and help destroying
wetlands that once protected populated areas from hurricane
storm surges.
And the local New Orleans officials also failed to meet
their core responsibilities. The mayor delayed in ordering a
mandatory evacuation, failed to provide transportation for
people without cars once the order was given, and failed to
provide adequate policing during and after the emergency.
In addition, city officials had for years avoided upgrading
and protecting vital infrastructure (pumps, sewage
treatment facilities, emergency medical services, and
more) or improving building codes for residential and
commercial structures.
A key issue in the analysis of the governmental response is
communication. It is unclear how the
various governments communicated. White House officials
claim, for example, that Governor Blanco
refused to ask the federal government to take control of the
Louisiana National Guard and New
Orleans police. They also say they wanted to send the 82nd
Airborne to restore order and coordinate
logistics, but hesitated because the governor had not made a
specific request. The governor said she
told President Bush, "I need everything you have got." She
never specified what kinds of troops she
needed because "nobody told me that I had to request that. I
thought that I requested everything they
had...We were in a war zone by then."
The Changes made after Hurricane Katrina
After Hurricane Katrina, Congress has strengthened the role of
FEMA in disaster management and
centralized planning and administration of disaster relief.
Planning is more “Washington-centric”
and lower thresholds for what may trigger a federal emergency
declaration (e.g., a major disaster,
emergency, or fire) without a state governor requesting
assistance have been adopted. The federal
government has gotten more powerful.
Adapted from Robin Malloy & John Lovett, Law and Recovery
from Disaster: Hurricane Katrina
(2009); Erin Ryan, How the New Federalism Failed Katrina
Victims (2008); Ryan, Federalism and the
Tug of War Within (2007); Greenbeg and Page, Struggle for
Democracy (2005)
http://papers.ssrn.com/sol3/papers.cfm?abstract_id=1636788
http://scholarship.law.wm.edu/cgi/viewcontent.cgi?article=1086
&context=facpubs
http://scholarship.law.wm.edu/cgi/viewcontent.cgi?article=1086
&context=facpubs
http://wps.ablongman.com/long_greenberg_sd_7/28/7256/18577
32.cw/-/2837428/index.html
1
POSC100: AMERICAN GOVERNMENT
HURRICANE KATRINA AND A FEDERAL SYSTEM: WHO'S
IN CHARGE HERE?
Draw on the class discussions, videos and supplementary
materials on Titanium to
answer these questions:
1. In what did the government fail to adequately respond to
Hurricane Katrina? Which
level(s) of government
failed?_______________________________________________
_____
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
2. Consider your expectations about the federal government’s
role in disaster management
and relief efforts before these classes. How did your
expectations of the federal
government match up with its actual role? Should the Federal
Government be more
involved in disaster relief and planning? Should they be in
charge? _______________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
3. By considering their responsibilities and the agencies
available, upon reflection, which
level of government— local, state or federal government—do
you believe was most at
fault for not effectively responding to the catastrophe of
Hurricane Katrina? Why? ______
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
___________________
4. The role of the federal government in Disaster Relief is
fiercely contested, especially in the
South. For the South, federal government intervention in
aspects of government like law
enforcement and transportation reeks of the Reconstruction and
Civil Rights eras. For
example, in the Washington Post just a month after Hurricane
Katrina hit, Florida
Governor Jeb Bush (R) argued that:
The most effective response is one that starts at the local level
and grows with the support of
surrounding communities, the state and then the federal
government. The bottom-up
approach yields the best and quickest results--saving lives,
protecting property and getting
life back to normal as soon as possible. Furthermore, when local
and state governments
understand and follow emergency plans appropriately, less
taxpayer money is needed from
the federal government for relief. (September 30, 2005)
Do you think the events of Hurricane Katrina bear Bush’s claim
to be true? _____________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
2
5. In thinking about broader values about government (freedom,
equality, order etc), why
do you think Democrats are more likely to prefer to make policy
at the national level?
Why are Republicans more likely to prefer to leave
policymaking to state and local
governments?_________________________________________
____________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
6. Why might Louisianan Democrats—like Senator Mary
Landreiu or former Governor
Kathleen Blanco—be resistant to a greater federal role in
disaster management? (Hint:
think about Lousiana’s history and cultural
heritage)________________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
___________________
7. How did conflicts between the national government and state
and local governments
contribute to damage caused by Hurricane Katrina? Why do you
think federalism broke
down in that
case?________________________________________________
__________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
8. Could it be argued that at its core, the Hurricane Katrina
debacle shows that in a stressful,
unexpected event, the potential for confusion and for failure in
the American federal
system is high? What do you think of that argument?
_______________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_____________________
9. Is occasional governmental failure in the face of unexpected
events an inherent
consequence of a federal system in which government is
deliberately designed and
understood to be inefficient?
__________________________________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
10. What do you think of the concentration of power over
disaster management in FEMA and
the federal government since Hurricane Katrina? Is this a
natural progression of
federalism?
_____________________________________________________
______________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_________________________
_____________________________________________________
_____________________
Federalism
AN INEFFICIENT DESIGN OR
INEFFICIENT BY DESIGN?
FEDERALISM: ONE OF THOSE 5
INNOVATIONS
2
What is it?
b et ween 2 ( or more ) l evels
T h i s d i vis ion i s wri t ten i nto t h e C ons t i t ut ion
FEDERALISM BASICS
3
Be sure to get a worksheet, work through it and
hand it up 26 Februar y at the beginning of class
4
FEDERALISM AFFECTS “THE
GOVERNMENT’S” RESPONSE TO CRISES
5
HURRICANE KATRINA
http://on.natgeo.com/MXLIvo
h e
g overnment ’s r e s pons e?
1 . I n wh at way s d i d t h e g ove rnment f ai l to re s p
ond to
H u rri c ane Kat ri na ad e quately ?
2 . W h i c h l evel of g ove rnment — l ocal, s t ate or fe d e
ral
g ove rnment — do you b e l i eve was mos t at f au l t for
not
e f fec t ively re s p onding to t h e c at as t rophe of H urri c
ane
Kat ri na?
3 . W h at s h ou l d b e t h e fe d eral g ove rnment ’s rol e i
n d i s as ter
manag ement and re l i ef e f for t s ?
4 . C an you t h i nk of a c ons t i t ut ional p rovi s ion re l
ated to nat ural
d i s aster s ?
*Use pages 1 and 2 of your worksheet*
6
IN GROUPS BRAINSTORM…
Vi de o o n Hurri c an e Kat ri n a
HURRICANE KATRINA
7
http://gln.dcccd.edu/GOVT2301_Pilot/Lessons/Lesson06/htm/vi
deo.htm
—l ocal, s t ate or fe d e ral
g ove rnment — do you b e l i eve was mos t at f au l t for
not
e f fec t ively re s p onding to H u rri c ane Kat ri na?
De c i d e on wh i c h l evel and wri te d own a re as on why
you c h os e
t h at l evel
8
IN GROUPS, REFLECT…
AS A CLASS…
Fe d e r a l i s m ’ s
C o n s e q u e n c e s
P. S . T h i s
s e c t i o n w i l l
h e l p yo u w i t h
yo u r w o r k s h e e t
a n s w e r s !
10
BACK TO LECTURING
the US Constitution gives it
– any powers not
given to Feds lie with the states (“Reserved
Powers”)
11
DIVISION OF POWERS IN THE
CONSTITUTION
OK. BUT WHY DO WE HAVE IT? AND WHAT
ARE ITS CONSEQUENCE'S?
12
share security or international relations
WHY FEDERALISM?
13
THE STATES GAVE UP THEIR POWERS
In the US
Constitution
In state
constitutions
and laws
14
share security or international relations
ensure any government is not too
powerful
WHY FEDERALISM?
15
16
share security or international relations
eptually:
powerful
for local conditions
WHY FEDERALISM?
17
18
States exist first and want to continue, but want to
share security or international relations
powerful
between different units to cater
for local conditions
– small theaters or
“laboratories” for experimentation.
WHY FEDERALISM?
19
LABORATORIES FOR EXPERIMENT
Lilliard E. Richardson, Jr. and David J. Houston “Federalism
and Safety on America's Highways” Publius (2009) 39(1): 117-
137
In the past:
Primary
elections,
Australian
ballot,
workers’
compensation
Today: trans-
fat bans?
16 oz sodas?
Carbon
trading?
20
What does it mean?
Several governments making laws for the same area
Even with a well -worded division of powers …
Federalism
Creates inefficiency, allows inequality and
encourages conflict
FEDERALISM
21
– both state and federal legislate on the same
matter; local, state and federal bureaucracies
1 . INCREASES INEFFICIENCY
22
23
1 . INCREASES INEFFICIENCY
e and
federal law
-state” tuition
for undocumented (in state law), illegal (in federal
law) immigrants
24
INCREASES INEFFICIENCY 1 . INCREASES
INEFFICIENCY
25
TIME SPENT COMPETING FOR POWER
INCREASES INEFFICIENCY 1 . INCREASES
INEFFICIENCY
Confusion about responsibilities
INCREASES INEFFICIENCY 1 . INCREASES
INEFFICIENCY
CONFUSION ABOUT WHO’S RESPONSIBLE
27
1 . INCREASES INEFFICIENCY
blame for a law (or who to contact about a
law reform idea)
or officials – federalism ensures
that local, state and federal bureaucrats and
officials have to be careful about
overstepping their powers.
CONFUSION
28
1 . INCREASES INEFFICIENCY
29
2. ALLOWS FOR INEQUALIT Y
de of diversity across
states.
standards between states = inequality in
the people from state to state
30
2. ALLOWS FOR INEQUALIT Y
31
U N I FO R M I T Y ( = E Q UA L I T Y ) C O M E S F R O
M F E D E R A L
I N T E R V E N T I O N
2. ALLOWS FOR INEQUALIT Y
h ave a
s u b minimum
wag e ( $ 2 .1 3 an
h our) for t i p p ed
e mp loyees
( Se e Nat io n al
J o ur n al 1 / 27 / 14 )
32
U N E Q UA L ( M I N I M U M )
WAG E S
2. ALLOWS FOR INEQUALIT Y
http://www.nationaljournal.com/economy/the-subminimum-
wage-has-been-stuck-at-2-13-since-1991-20140127
http://www.nationaljournal.com/economy/the-subminimum-
wage-has-been-stuck-at-2-13-since-1991-20140127
33
3. CREATES CONFLICT
34
Conflicts over the extent of federal power THE major
American political issues: States’ Rights vs Equality
In addition to a bloody war,
the Supreme Court is
flooded with endless
conflicts between state and
federal government and
the two political parties are
divided over the character
of the federal government
35
REMEMBER:
WORKSHEET DUE 26
FEBRUARY
POSC100 AMERICAN GOVERNMENT HURRICANE KATRINA AND FEDERALISM.docx

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  • 1. POSC100 AMERICAN GOVERNMENT HURRICANE KATRINA AND FEDERALISM EXERCISE These pages present some additional data to help you answer the questions on the Hurricane Katrina worksheet handed out in class on the 19 th of February. Read and reflect on this information. If you’re interested, the world of the internet has much much more information on the government’s response. Be cautious, however, for many of the opinions expressed on blogs and other commentary is ill-informed to the extreme. Disaster Planning and Relief In the area of disaster relief, there are a good many jurisdictional gray areas. The Constitution is silent on the federal government’s role—there are no enumerated powers,; only implied powers: From Article I, Section 8: (1) The Congress shall have power to lay and collect taxes, duties, imposts and excises, to pay the debts and provide for the common defense and general welfare of the United States; but all duties, imposts and excises shall be uniform throughout the United States".
  • 2. … [the remaining 16 provisions enumerating the powers of Congress] (18) To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof. In the early days, it was unclear if these provisions allowed Congress to even appropriate funds to help out a specific geographical affected by a disaster. 1 1 Jack M. Balkin from Yale University explains: One of the earliest and most contentious debates during the first years of the Constitution's history was whether or not the federal government had the power, under its authority "to pay the debts and provide for the common defence and general welfare of the United States," to spend money for disaster relief for a specific community. Jeffersonian strict constructionists argued that the words "general welfare" precluded such a power, arguing first, that the general welfare clause only gave Congress the power to spend on behalf of one of its other enumerated powers, and second, that even if the power to spend for the general welfare were an independent power, Congress could not devote money to a specific locality or region, but must spend for the entire country as a whole, i.e., "the general welfare of the United States." Loose constructionists, following
  • 3. Alexander Hamilton, argued that the general welfare clause gave Congress a separate power, and that the clause gave Congress wide latitude to spend money to promote what it viewed as conducive to the general welfare. These competing ideas took center stage in the aftermath of a devastating fire in Savannah, Georgia in 1796. Hamilton and his federalist friends appealed emotionally to Southern Representatives in Congress to encourage a broad reading of the Art 1, s 8(1). However, Southern Representatives, many of whom were Jeffersonian Republicans, stood firm to their original understanding and refused to provide federal funds to assist a specific area of the country. Over time, Hamilton's view has won out. Nobody in the federal government today has any constitutional qualms about sending federal money and assistance to New Orleans—so long as the states and/or local governments ask. (Jack M. Balkin, Disaster Relief and the Constitution: A History of “Strict Construction”) http://balkin.blogspot.com/2005/08/disaster-relief-and- constitution.html http://balkin.blogspot.com/2005/08/disaster-relief-and- constitution.html Nowadays, the implied powers of the federal government to appropriate for the general welfare are shared (or “concurrent”) with many state and local powers and responsibilities. Traditionally state and local governments have been the first responders to disasters, with the federal government providing backup, financial and logistical aid, and help with long-term
  • 4. recovery. The federal government will enter the picture earlier if state officials ask. Increasingly, however, the people have looked to the federal government for a quick and decisive response, in conflict with its traditional role and constitutional powers. In the aftermath of Hurricane Katrina, it didn't take very long for the "blame game" to begin. Even as scenes of utter chaos and destruction in New Orleans were still being broadcast live around the world in late August 2005, federal, state, and local officials started pointing fingers at each other. Assigning blame is difficult. It is pretty clear that the “government” responded poorly. Emergency procedures, even though many had been rehearsed, were not followed; communication between different agencies never began or broke down. Yet, some of the problems surrounding Katrina arose from very real confusion about who was to do what and when. Our task today is to figure out which part of “the government” is responsible for what when disaster hits and to apply that knowledge to the response to the response to Hurricane Katrina. What role does the federal government have in disaster management and planning? The federal government had no role in disaster management until—you guessed it—President Roosevelt and the New Deal of the 1930s. Three federal government agencies were given roles in disaster management: the Reconstruction Finance Corporation,
  • 5. which could provide loans to states to help repair damage resulting out of an earthquake; The Bureau of Public Roads, which could provide funds to repair roads and bridges after a hurricane; and the U.S. Army Corps of Engineers, which was allowed to intervene to help out in floods. However, the federal government had only a small. Over time this role in disaster relief gradually increased. In 1979, President Jimmy Carter created Federal Emergency Management Agency (FEMA). FEMA centralized the federal government’s disaster relief programs into one agency. By 1992, FEMA had roughly 2,500 employees and a budget of $4 billion. FEMA coordinates the federal government’s response to national disasters. It can provide experts to assist state and local forces, high-tech communications teams, search and rescue team and, recently, the assistance of FEMA Corps (like the Peace Corps but trained in emergency relief). In the longer term, FEMA provides funding for rebuilding and low-interest loans to state and local authorities. Yet, FEMA cannot (usually) act without a declaration of a “state of emergency” by a state governor and a request to the President from that state governor to issue a national disaster or emergency declaration. In between disasters, FEMA coordinates performance standards for emergency preparedness. FEMA sets standards (in the National Response Framework), after lengthy consultations with
  • 6. representatives from other federal agencies, states, territories, cities, counties, townships, tribes, and nongovernmental first responders, and encourages states and localities to adopt common procedures and planning standards on things like transportation and communications. Key in this encouragement is the provision of funding for states to develop their own, high-standard, emergency plans and response capabilities. It also trains state and local officials. In all of this, the core assumption guiding the response to and planning for disasters is that emergencies are typically managed best at the lowest possible geographic, organizational, and jurisdictional level. These assumptions are adopted by the federal government in its centralized plan for disaster management, the National Response Framework (to which all the states and local governments adhere). The irony notwithstanding, the logic goes that since every community is unique, preparedness planning must account for local conditions of culture, geography, language, infrastructure, politics, and numerous other factors. For example, Washington bureaucrats are unlikely to that the Nutwood Ave Exit of the 57 is closed and the National Guard needs to take the Chapman Ave exits. In any case, the federal government lacks the resources to serve as a first responder during every disaster within the United States—they don’t own the fire engines, buses, police cars etc needed to respond to every disaster. When the scale of an incident exceeds the capacity of state and
  • 7. local actors to respond, the Federal Emergency Management Agency (FEMA) and other U.S. government agencies mobilize to provide assistance. Such intervention requires the President, following an appeal from a state governor, to issue a disaster or emergency declaration that authorizes supplemental federal assistance to the stricken area. Even in this case, however, state bodies preserve much authority over the response. For instance, the governor can retain control over the state National Guard, and state disaster managers continue to decide what role, if any, they want FEMA to play in distributing emergency supplies. What role do the states have? State and local officials do most of the response planning, subject to national guidelines and standards. In Louisiana the planning is coordinated by the Governor’s Office of Homeland Security and Emergency Preparedness. In accordance with the principles of federalism, each state determines for itself the precise delineation of authorities and responsibilities for emergency response between state-wide and local public bodies (e.g., municipalities, counties, etc.). The state Governor is responsible for declaring a State of Emergency (required before a request for federal assistance can be made to the President). The state Governor is the commander of the state National Guard. The federal
  • 8. government may appropriate funds for the deployment of the National Guard, but the President cannot deploy them unless the Governor asks the President to federalize the forces. The Governor, of course, controls the state police and other state executive forces that can provide assistance and law and order. State (and local) authorities have the initial lead role in managing emergencies within the United States. What role for local authorities? Local authorities are the first responders to disasters. The common planning assumption is that communities need to manage a local emergency largely by themselves for up to 72 hours until substantial state and federal assistance can be mobilized and deployed on the scene. Local officials can declare a State of Emergency. Local officials are in charge of local evacuation plans. Local officials deploy firefighters, police and public transportation services to assist in evacuation and law and order maintenance. Government Agencies Available to Respond to a Natural Disaster (2005) Federal Government – Tracks, names and predicts the likely behavior of tropical storms and hurricanes and issues appropriate watches and warnings to the public. – provides
  • 9. supplies, equipment, financial assistance to victims and Disaster Medical Assistance Teams to areas hit by natural disasters. – provides aircraft, patrol boats and cutters to conduct search, rescue and humanitarian aid operations. – Plans, designs, builds and operates dams, levees and other civil engineering projects. - deploys U.S. Public Health Service Officers to affected areas on standby for deployment to support medical response. - dispatches trucks deliver millions of meals ready to eat, water and supplies, mobile homes, generators, etc. to affected areas - coordinates damage assessments to area crops and livestock - Assists FEMA and National Guard after disaster declarations are issued for assistance in security, clean-up, search and rescue. – provides disaster unemployment assistance and National Emergency Grants and assists in job recovery programs. Louisiana State Government (includes the Governor, State Legislatures and Agencies)
  • 10. – though a federal entity, may be called by governors to provide search and rescue, assisting local law enforcement, and supplies to victims. State Department of Health – assists in disease control, and management of public health crisis in affected areas. – helps to coordinate shelters, supplies, health care and transportation for recovery efforts. State Department of Education – help displaced school children and teachers integrate back into other schools. – state law enforcement. Local Government (includes Mayors, Municipal or County Boards or Councils, Agencies) Enforcement – police, sheriff departments with primary law enforcement responsibility. – first responders to carry out search and rescue operations. – first responders to medical emergencies. al Public Transportation services (buses, trains, subways) – evacuation transportation. – provides assistance to families, individuals in need.
  • 11. Mistakes made before and after Hurricane Katrina The Federal Government gets a harsh grilling over for its behavior: Democratic Louisiana Governor Kathleen Blanco asked why the FEMA was so slow to respond to the disaster and why active-duty military forces were not sent to help provide shelter, food and water, and order. Democratic Mayor Ray Nagin complained about the slow federal response in radio and television interviews, and estimated that at least 10,000 people died from the flooding, violence, loss of power, and toxic wastes. FEMA director Michael Brown defended FEMA, claiming the formal request for federal assistance had not been made for Orleans County. Yet, it is true that FEMA failed to requisition sufficient rescue teams and supplies and responded slowly when the levees broke. It also took the president and his team a few days to realize that state and local officials were absolutely overwhelmed. Brown and some White House officials (though not President Bush) laid the blame squarely on state and local officials for failing to plan properly for the emergency, botching the evacuation, and failing to enforce law and order. For its part, the Louisiana state government failed to meet its core responsibilities. It did not come close to implementing its own disaster mitigation and relief plan. Furthermore, over the years it had adopted a series of tax, subsidy, and regulatory policies that encouraged construction along low-lying coastal areas, putting people at risk and help destroying wetlands that once protected populated areas from hurricane storm surges.
  • 12. And the local New Orleans officials also failed to meet their core responsibilities. The mayor delayed in ordering a mandatory evacuation, failed to provide transportation for people without cars once the order was given, and failed to provide adequate policing during and after the emergency. In addition, city officials had for years avoided upgrading and protecting vital infrastructure (pumps, sewage treatment facilities, emergency medical services, and more) or improving building codes for residential and commercial structures. A key issue in the analysis of the governmental response is communication. It is unclear how the various governments communicated. White House officials claim, for example, that Governor Blanco refused to ask the federal government to take control of the Louisiana National Guard and New Orleans police. They also say they wanted to send the 82nd Airborne to restore order and coordinate logistics, but hesitated because the governor had not made a specific request. The governor said she told President Bush, "I need everything you have got." She never specified what kinds of troops she needed because "nobody told me that I had to request that. I thought that I requested everything they had...We were in a war zone by then." The Changes made after Hurricane Katrina After Hurricane Katrina, Congress has strengthened the role of FEMA in disaster management and centralized planning and administration of disaster relief.
  • 13. Planning is more “Washington-centric” and lower thresholds for what may trigger a federal emergency declaration (e.g., a major disaster, emergency, or fire) without a state governor requesting assistance have been adopted. The federal government has gotten more powerful. Adapted from Robin Malloy & John Lovett, Law and Recovery from Disaster: Hurricane Katrina (2009); Erin Ryan, How the New Federalism Failed Katrina Victims (2008); Ryan, Federalism and the Tug of War Within (2007); Greenbeg and Page, Struggle for Democracy (2005) http://papers.ssrn.com/sol3/papers.cfm?abstract_id=1636788 http://scholarship.law.wm.edu/cgi/viewcontent.cgi?article=1086 &context=facpubs http://scholarship.law.wm.edu/cgi/viewcontent.cgi?article=1086 &context=facpubs http://wps.ablongman.com/long_greenberg_sd_7/28/7256/18577 32.cw/-/2837428/index.html 1 POSC100: AMERICAN GOVERNMENT HURRICANE KATRINA AND A FEDERAL SYSTEM: WHO'S IN CHARGE HERE?
  • 14. Draw on the class discussions, videos and supplementary materials on Titanium to answer these questions: 1. In what did the government fail to adequately respond to Hurricane Katrina? Which level(s) of government failed?_______________________________________________ _____ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ 2. Consider your expectations about the federal government’s role in disaster management and relief efforts before these classes. How did your expectations of the federal government match up with its actual role? Should the Federal Government be more involved in disaster relief and planning? Should they be in charge? _______________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________
  • 15. 3. By considering their responsibilities and the agencies available, upon reflection, which level of government— local, state or federal government—do you believe was most at fault for not effectively responding to the catastrophe of Hurricane Katrina? Why? ______ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ ___________________ 4. The role of the federal government in Disaster Relief is fiercely contested, especially in the South. For the South, federal government intervention in aspects of government like law enforcement and transportation reeks of the Reconstruction and Civil Rights eras. For example, in the Washington Post just a month after Hurricane Katrina hit, Florida Governor Jeb Bush (R) argued that: The most effective response is one that starts at the local level and grows with the support of surrounding communities, the state and then the federal government. The bottom-up approach yields the best and quickest results--saving lives, protecting property and getting life back to normal as soon as possible. Furthermore, when local and state governments understand and follow emergency plans appropriately, less taxpayer money is needed from the federal government for relief. (September 30, 2005)
  • 16. Do you think the events of Hurricane Katrina bear Bush’s claim to be true? _____________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ 2 5. In thinking about broader values about government (freedom, equality, order etc), why do you think Democrats are more likely to prefer to make policy at the national level? Why are Republicans more likely to prefer to leave policymaking to state and local governments?_________________________________________ ____________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ 6. Why might Louisianan Democrats—like Senator Mary Landreiu or former Governor Kathleen Blanco—be resistant to a greater federal role in disaster management? (Hint:
  • 17. think about Lousiana’s history and cultural heritage)________________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ ___________________ 7. How did conflicts between the national government and state and local governments contribute to damage caused by Hurricane Katrina? Why do you think federalism broke down in that case?________________________________________________ __________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ 8. Could it be argued that at its core, the Hurricane Katrina debacle shows that in a stressful, unexpected event, the potential for confusion and for failure in the American federal system is high? What do you think of that argument? _______________________________ _____________________________________________________ _________________________ _____________________________________________________
  • 18. _________________________ _____________________________________________________ _____________________ 9. Is occasional governmental failure in the face of unexpected events an inherent consequence of a federal system in which government is deliberately designed and understood to be inefficient? __________________________________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ 10. What do you think of the concentration of power over disaster management in FEMA and the federal government since Hurricane Katrina? Is this a natural progression of federalism? _____________________________________________________ ______________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _________________________ _____________________________________________________ _____________________
  • 19. Federalism AN INEFFICIENT DESIGN OR INEFFICIENT BY DESIGN? FEDERALISM: ONE OF THOSE 5 INNOVATIONS 2 What is it? b et ween 2 ( or more ) l evels T h i s d i vis ion i s wri t ten i nto t h e C ons t i t ut ion
  • 20. FEDERALISM BASICS 3 Be sure to get a worksheet, work through it and hand it up 26 Februar y at the beginning of class 4 FEDERALISM AFFECTS “THE GOVERNMENT’S” RESPONSE TO CRISES
  • 21. 5 HURRICANE KATRINA http://on.natgeo.com/MXLIvo h e g overnment ’s r e s pons e? 1 . I n wh at way s d i d t h e g ove rnment f ai l to re s p ond to H u rri c ane Kat ri na ad e quately ? 2 . W h i c h l evel of g ove rnment — l ocal, s t ate or fe d e ral g ove rnment — do you b e l i eve was mos t at f au l t for not e f fec t ively re s p onding to t h e c at as t rophe of H urri c ane Kat ri na? 3 . W h at s h ou l d b e t h e fe d eral g ove rnment ’s rol e i n d i s as ter manag ement and re l i ef e f for t s ? 4 . C an you t h i nk of a c ons t i t ut ional p rovi s ion re l ated to nat ural d i s aster s ?
  • 22. *Use pages 1 and 2 of your worksheet* 6 IN GROUPS BRAINSTORM… Vi de o o n Hurri c an e Kat ri n a HURRICANE KATRINA 7 http://gln.dcccd.edu/GOVT2301_Pilot/Lessons/Lesson06/htm/vi deo.htm —l ocal, s t ate or fe d e ral g ove rnment — do you b e l i eve was mos t at f au l t for not e f fec t ively re s p onding to H u rri c ane Kat ri na? De c i d e on wh i c h l evel and wri te d own a re as on why you c h os e t h at l evel 8 IN GROUPS, REFLECT…
  • 23. AS A CLASS… Fe d e r a l i s m ’ s C o n s e q u e n c e s P. S . T h i s s e c t i o n w i l l h e l p yo u w i t h yo u r w o r k s h e e t a n s w e r s ! 10 BACK TO LECTURING
  • 24. the US Constitution gives it – any powers not given to Feds lie with the states (“Reserved Powers”) 11 DIVISION OF POWERS IN THE CONSTITUTION OK. BUT WHY DO WE HAVE IT? AND WHAT ARE ITS CONSEQUENCE'S? 12 share security or international relations WHY FEDERALISM?
  • 25. 13 THE STATES GAVE UP THEIR POWERS In the US Constitution In state constitutions and laws 14 share security or international relations ensure any government is not too powerful WHY FEDERALISM?
  • 26. 15 16 share security or international relations eptually: powerful for local conditions WHY FEDERALISM? 17 18
  • 27. States exist first and want to continue, but want to share security or international relations powerful between different units to cater for local conditions – small theaters or “laboratories” for experimentation. WHY FEDERALISM? 19 LABORATORIES FOR EXPERIMENT
  • 28. Lilliard E. Richardson, Jr. and David J. Houston “Federalism and Safety on America's Highways” Publius (2009) 39(1): 117- 137 In the past: Primary elections, Australian ballot, workers’ compensation Today: trans- fat bans? 16 oz sodas? Carbon trading? 20 What does it mean? Several governments making laws for the same area
  • 29. Even with a well -worded division of powers … Federalism Creates inefficiency, allows inequality and encourages conflict FEDERALISM 21 – both state and federal legislate on the same matter; local, state and federal bureaucracies 1 . INCREASES INEFFICIENCY 22 23 1 . INCREASES INEFFICIENCY
  • 30. e and federal law -state” tuition for undocumented (in state law), illegal (in federal law) immigrants 24 INCREASES INEFFICIENCY 1 . INCREASES INEFFICIENCY 25 TIME SPENT COMPETING FOR POWER INCREASES INEFFICIENCY 1 . INCREASES INEFFICIENCY Confusion about responsibilities INCREASES INEFFICIENCY 1 . INCREASES
  • 31. INEFFICIENCY CONFUSION ABOUT WHO’S RESPONSIBLE 27 1 . INCREASES INEFFICIENCY blame for a law (or who to contact about a law reform idea) or officials – federalism ensures that local, state and federal bureaucrats and officials have to be careful about overstepping their powers. CONFUSION 28 1 . INCREASES INEFFICIENCY 29
  • 32. 2. ALLOWS FOR INEQUALIT Y de of diversity across states. standards between states = inequality in the people from state to state 30 2. ALLOWS FOR INEQUALIT Y 31 U N I FO R M I T Y ( = E Q UA L I T Y ) C O M E S F R O M F E D E R A L I N T E R V E N T I O N 2. ALLOWS FOR INEQUALIT Y
  • 33. h ave a s u b minimum wag e ( $ 2 .1 3 an h our) for t i p p ed e mp loyees ( Se e Nat io n al J o ur n al 1 / 27 / 14 ) 32 U N E Q UA L ( M I N I M U M ) WAG E S 2. ALLOWS FOR INEQUALIT Y http://www.nationaljournal.com/economy/the-subminimum- wage-has-been-stuck-at-2-13-since-1991-20140127 http://www.nationaljournal.com/economy/the-subminimum- wage-has-been-stuck-at-2-13-since-1991-20140127 33 3. CREATES CONFLICT
  • 34. 34 Conflicts over the extent of federal power THE major American political issues: States’ Rights vs Equality In addition to a bloody war, the Supreme Court is flooded with endless conflicts between state and federal government and the two political parties are divided over the character of the federal government 35 REMEMBER: WORKSHEET DUE 26 FEBRUARY