Donald F. Kettl is the Potomac Chronicle columnist for GOVERNING. He is the dean of the School of Public Policy at the University of Maryland and a nonresident senior fellow at the Brookings Institution.E-mail: email@example.com
When Hurricane Katrina hit New Orleans, only one thing disintegrated as fast as the earthen levees that were supposed to protect the city, and that was the intergovernmental relationship that is supposed to connect local, state and federal officials before, during and after such a catastrophe.
In sifting through the debris of the disaster response, the first question is why intergovernmental cooperation broke down so completely. While it's hard even at this point to get an official accounting of exactly what happened, clearly there were significant communication and coordination problems at all levels of government. At the moment, much time and effort is being spent assigning culpability--for a lack of preparation, delayed decision making, bureaucratic tie-ups and political infighting--to individuals and agencies. But in the end, such investigations may produce little that is of widespread practical use.
What is more critical, and has significant implications for the future of emergency management in the United States, is the need to explicitly and thoroughly define governments' roles and responsibilities so that officials in other jurisdictions don't suffer the same sort of meltdown in the next natural or man-made disaster. The lurching tactical responses to the terrorist attacks of 2001 and this year's rash of major hurricanes only underline the truly fundamental issue: how to sort out who should do what--and how to make sure the public sector is ready to act when the unexpected but inevitable happens.
It won't be easy. Some in the federal government clearly feel that if they're going to be blamed for failures--failures that they ascribe at least in part to state and local officials--then they'd prefer a system where the federal government has the option of being much more preemptive in handling large-scale domestic disasters. States as a whole, though, are not going to go along with any emergency management plan that involves the feds declaring something like martial law. They would much prefer that existing protocols be continued and the Federal Emergency Management Agency regain its independence from the Department of Homeland Security and be led by experienced professionals rather than political appointees.
In fact, the history of disaster response and recovery in the United States has witnessed an ever-increasing federal role. On April 22, 1927, President Calvin Coolidge named a special cabinet-level committee headed by Commerce Secretary Herbert Hoover to deal with the massive flooding that was ravaging communities up and down the Mississippi River Valley that year. The scene, described in John M. Barry's highly topical chronicle, 'Rising Tide: The Great Mississippi Flood of 1927 and How It Changed America," arguably represents the beginning of the modern era of intergovernmental disaster response. (It also represents the first clear attempt to politicize federal disaster response, with Hoover consciously riding his performance during the disaster all the way to the White House.)
In 1950, the federal government began trying to formalize intergovernmental roles and responsibilities through the Federal Civil Defense Act, which defined the scope and type of assistance that the federal government would extend to states and localities after certain kinds of disasters or emergencies (although Congress had been offering financial aid to states and localities in a piecemeal fashion since the early 1800s). In 1979, President Jimmy Carter created the Federal Emergency Management Agency, largely in response to governors' complaints about the fragmented nature of federal disaster planning and assistance. And in 1988, Congress, passed the Robert T. Stafford Disaster Relief Act, which outlined the protocols for disaster declaration and what sort of intergovernmental response would follow.
From 1989 to 1992, a succession of disasters, including the Loma Prieta earthquake in California and hurricanes Hugo in South Carolina and Andrew in Florida put the whole issue of intergovernmental emergency response in the public hot seat, notes Tom Birkland, director of the Center for Policy Research at the Rockefeller College of Public Affairs and Policy. In particular, the disasters highlighted the federal government's slow-footed and bureaucratic response in the wake of such catastrophic events. (To be sure, such events were also teaching state and local governments plenty about THEIR emergency response capabilities). That, in turn, led to a major turnaround at FEMA, with the appointment of James Lee Witt, the first FEMA director to arrive on the job with actual state emergency management experience.
In general, two things were going on around the increasing federal role in emergency readiness and response, Birkland says. States and localities were getting hooked on federal money--especially for recovery. But American presidents were also discovering the political benefits of declaring disasters, which allowed them to liberally sprinkle significant amounts of cash around various states and localities in distress. "That spending grew considerably under the Clinton administration," says Birkland. "And it created the expectation of federal government largesse. Federal spending, however, was always meant to supplement and not supplant state and local spending."
But if the federal role in disaster response and recovery has increased--along with expectations of federal help--emergency management experts at all levels still agree on the basics of existing emergency response protocol: All emergencies are, initially at least, local--or local and state--events. "For the first 48 to 72 hours, it's understood that local and state first responders are principally responsible," says Bill Jenkins, director of the Homeland Security and Justice Issues Group, which is currently looking into the intergovernmental response to Katrina. "The feds come in as requested after that."
The extent to which the local-state-federal response ramps up depends on a host of factors, including the size of the incident and what plans and agreements are in place prior to any event. It also very much depends on the capacity of the governments involved. Some local and state governments have the ability to deal with disasters on their own and seem less inclined to ask for outside help. Others seem to hit the intergovernmental panic button more quickly. But whichever it is, say those on the front line of emergency response, how various governmental partners in emergency response and recovery are going to respond shouldn't be a surprise-filled adventure. Key players at every level of government should have a very good idea of what each will be expected to do or provide when a particular disaster hits.
Most important to the strength of the intergovernmental chain are solid relationships among those who might be called upon to work closely together in times of high stress. "You don't want to meet someone for the first time while you're standing around in the rubble," says Jarrod Bernstein, spokesman for the New York City Office of Emergency Management. "You want to meet them during drills and exercises." In New York, says Bernstein, the city has very tight relationships with state and federal officials in a variety of agencies. "They're involved in all our planning and all our drills. They have a seat at all the tabletop exercises we do."
During those exercises, says Bernstein, federal, state and local officials establish and agree on what their respective jobs will be when a "big one" hits. Last summer, for example, the city worked with FEMA, the U.S. Department of Health and Human Services, the Federal Bureau of Investigation and New York State health and emergency response officials on an exercise aimed at collecting 8 million doses of medicine and distributing them throughout the city in a 48-hour window. "What we were looking at is how we'd receive medical stockpiles from the federal government, break them down and push them out citywide. There is a built-in federal component to that plan," Bernstein says.
While pre-plans and dry runs are all well and good, they're not much use if not taken seriously, however. In 2004, FEMA and Louisiana's Office of Homeland Security and Emergency Preparedness, conducted a tabletop exercise, called Hurricane Pam, that simulated a Category 3 storm hitting and flooding New Orleans. It identified a huge gap in disaster planning: An estimated 100,000 people wouldn't be able to get out of the city without assistance. As is standard in emergency management practice, it is the locality's responsibility--at least initially--to evacuate residents, unless other partners are identified beforehand.
Critics of Mayor Ray Nagin say he failed to follow up aggressively on the finding. Last spring, the city floated the notion that it would rely primarily on the faith-based community to organize and mobilize caravans for those without cars or who needed special assistance getting out of the city. The faith-based community balked, however, citing liability issues. The city never came up with a Plan B.
Meanwhile, the Department of Homeland Security had great confidence in its 426-page "all-hazards" National Response Plan. Unveiled last January, it "establishes standardized training, organization and communications procedures for multi-jurisdictional interaction; clearly identifies authority and leadership responsibilities; enables incident response to be handled at the lowest possible organizational and jurisdictional level; ensures the seamless integration of the federal government when an incident exceeds state or local capabilities; and provides the means to swiftly deliver federal support in response to catastrophic incidents."
Katrina was its first test. And in the wake of the Category 4 storm and subsequent flooding, the city's vital resources--communications, transportation, supplies and manpower--were quickly overwhelmed. But DHS Secretary Michael Chertoff waited until 24 hours after the levees were breached to designate the hurricane as an "incident of national significance--requiring an extensive and well-coordinated response by federal, state, local tribal and nongovernmental authorities to save lives, minimize damage and provide the basis for long-term community and economic recovery."
The nation--indeed the world--bore painful witness to its failure. "There are mechanisms and protocols set up as part of the National Response Plan, and those were not followed," says John R. Harrald, director of the Institute for Crisis, Disaster and Risk Management at George Washington University. Harrald notes that under the response plan, one of the first things that's supposed to happen is the rapid activation of a joint operations center to coordinate the intergovernmental response. In Louisiana, that didn't happen quickly enough, he says.
As a result of Katrina, and to a lesser extent hurricanes Rita and Wilma, the general citizenry and elected leaders at all levels of government, as well as emergency responders up and down the chain of command, are demanding a comprehensive review of how local, state and federal governments work (or don't work) together.
Part of that discussion has to include what to do when a state or local government's ability to prepare, respond or to ask for help is either impaired or wiped out altogether. "The question is what do you do when state and local capacity fails for one reason or another, either because they're overwhelmed or they're incompetent," says GWU's Harrald. "Do we have a system that allows us to scale up adequately or do we need a system where we can bring the military in sooner but that doesn't give away state and local control?"
Bill Leighty, Virginia Governor Mark Warner's chief of staff, who volunteered to spend two weeks in Louisiana helping manage the state response to Katrina, says he thinks there needs to be a serious intergovernmental discussion about when, for example, it might be appropriate to involve the military more directly in a domestic crisis. It is a position born of watching FEMA in action, versus what he saw of the military while he was in New Orleans. FEMA's bureaucratic approach to every item it provided or action it took was, at times, brutally exasperating, says Leighty. "But when you tell the 82nd Airborne, 'Secure New Orleans,' they come in and they know exactly what to do and it gets done."
Even some long-time New Orleans residents, who watched helplessly as looters rampaged through parts of the city, say they wouldn't have minded at all if the military had stepped in to restore order. "There are times when people are overwhelmed," says Frank Cilluffo, director of the Homeland Security Policy Institute at George Washington University, "and they don't care what color uniform is involved in coming to the rescue--red, blue or green."
However, both Kathleen Babineaux Blanco, the Democratic governor of Louisiana, and Haley Barbour, the Republican governor of Mississippi, strenuously objected to requests from the White House to give the Pentagon command over their states' National Guard troops. And President George W. Bush's suggestion of a quick resort to the military in future disasters stunned many observers, including those in his own party. In a television address from New Orleans, he argued that only the armed forces were "capable of massive logistical operations on a moment's notice."
But governors were aghast at the idea that the military would become America's first responders. In a USA Today poll, 36 of 38 governors (including brother Jeb Bush) opposed the plan. Michigan Governor Jennifer Granholm put it bluntly: "Whether a governor is a Republican or Democrat, I would expect the response would be, 'Hell no.'" For one blogger, the worry was "How long before a creek flooding in a small town in Idaho will activate the 82d Airborne Division?"
Bush grabbed the military option in part because of the poor performance of state and local governments. Indeed, everyone breathed a sigh of relief when Coast Guard Admiral Thad Allen arrived to assume command.
Part of the explanation also lies in public opinion polls. A Pew Research Center survey just after the storm revealed that nearly half of those surveyed believed state and local governments had done a fair or poor job--and there was no partisan difference on that conclusion. That meant the smart political play for Bush, although he didn't fare much better in the poll, was to suggest that the military might have to do what state and local governments could not.
That idea, of course, could scarcely be further from the strategy the Republicans had spent a generation building. The Richard Nixon-Ronald Reagan model of new federalism revolved around giving the states more autonomy and less money. But faced with the need to do something--and lacking any alternative--Bush reached back to Lyndon Johnson's Great Society philosophy of an expanded role for the federal government.
But Bush's plan to push the military into a first-response role was clearly less a broad policy strategy than a tactic to find a safe haven in the post-Katrina blame game. That became clear in November, when he announced his avian flu initiative. In that plan, he penciled in a heavy role for state and local public health officials.
Some believe there is a middle ground when it comes to issues of authority and autonomy. James A. Stever, director of the Center for Integrated Homeland Security and Crisis Management at the University of Cincinnati, says he and colleagues had forwarded a paper to the former head of Homeland Security, Tom Ridge, outlining the concept of "homeland restoration districts." The idea is to have established criteria for when a more robust federal disaster response might be appropriate. Recovery districts would allow for ad hoc federal takeovers of specific geographic areas when appropriate, says Stever, rather than creating some new, overriding national response protocol that calls for broad federal preemption of local and state authority.
But sifting through such ideas--and the others that are sure to surface--is going to mean rekindling the sort of conversation about intergovernmental coordination and cooperation that Washington hasn't seen in a long time. Whether the current Congress and administration will be willing to conduct that conversation isn't clear. State and local officials, for their part, have been called in by Congress to testify on how the intergovernmental response to disasters ought to go. But such sessions have frequently had the familiar ring of both state and local tensions over who controls federal funding, as well as a little tin-cup rattling.
For example, in testimony before the House Homeland Security Committee, David Wallace, mayor of Sugar Land, Texas, argued that the first lesson learned in the wake of Katrina is that local governments should have more control over how federal homeland security first- responder money should be spent. "There was a real concern from the beginning that an over-reliance by the federal government on a state- based distribution system for first responder resources and training would be slow and result in serious delays in funding reaching high- threat, high-risk population areas." Wallace concluded his testimony with a request for federal funding for what he describes as Regional Logistics Centers, designed to bring local regional resources to bear in the immediate aftermath of disasters.
Nor is it only touchy issues of funding and control related to readiness and response that need discussing, points out Paul Posner, who spent years as a GAO intergovernmental affairs analyst. "There's other knotty issues that cause a lot of intergovernmental friction, like federal insurance policies, local building codes and state land use policies." These are key issues that Posner points out all influence how vulnerable certain places are to disasters in the first place.
From hurricanes and pandemics and to earthquakes and terrorism, the United States is grappling with the prospect of a host of cataclysmic events. Taken individually, most communities face a small chance of being hit, but experts agree that its not a matter of "if" but "when" another large-scale disaster will occur somewhere in the United States. As Katrina so powerfully illustrated, a fragmented intergovernmental response can be disastrous.