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Effects of Federalism on the United States National Guard’S Emergency Response Mission

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Effects of Federalism on the United States National Guard’S Emergency Response Mission The Duel Over Duality: Effects of Federalism on the United States National Guard’s Emergency Response Mission A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Public Administration School of Public Affairs University of Baltimore Baltimore, Maryland March, 2010 Copyright © 2010 by Aaron Sean Poynton All Rights Reserved ii The Duel Over Duality: Effects of Federalism on the United States National Guard’s Emergency Response Mission A Dissertation Submitted to Yale Gordon College of Liberal Arts, University of Baltimore in partial fulfillment of the requirements for the degree of Doctor of Public Administration by Aaron Sean Poynton _____________________________________ Dr. John J. Callahan, Chair University of Baltimore ______________________________ ______________________________ Dr. Lenneal Henderson, Member Dr. Lorenda Ann Naylor, Member University of Baltimore University of Baltimore ______________________________ Dr. Charles Barry, Outside Member National Defense University School of Public Affairs University of Baltimore Baltimore, Maryland March, 2010 iii ACKNOWLEDGMENTS This dissertation represents the culminating point of a lifetime of academic preparation and it could not have been achieved alone. I am thankful for having the opportunity to study under the tutelage of admirable professors and for being lucky enough to have the loving support of family and friends. I would like to acknowledge and extend my heartfelt gratitude to several specific persons who have made the completion of this dissertation possible. First, I wish to express special thanks to Dr. John J. Callahan, my dissertation chair, for his vital encouragement, support, and guidance. Also, I would like to extend appreciation to my dissertation committee members, Dr. Lenneal Henderson, Dr. Lorenda Ann Naylor, and Dr. Charles Barry. The collective efforts of the entire committee made me a better scholar, and for that I am grateful and humble. On a personal note, my doctoral studies could not have been completed without the unwavering support and encouragement from all of my family and friends. I offer sincere thanks to my parents, Kevin and June, who instilled me with the core values needed to achieve such an arduous goal. I would also like to extend my deepest gratitude to my best friend and wife, Jennifer, for her support and patience throughout this undertaking. Thank you for your understanding of my passion for higher learning and for bearing the temporary sacrifices. Finally, thanks to God, who makes all things possible. This dissertation is dedicated to the steadfast citizen-soldiers of the National Guard who risk everything to uphold the ideals of America and defend the world from evil. Thank you—you are true patriots. iv ABSTRACT The Duel Over Duality: Effects of Federalism on the United States National Guard’s Emergency Response Mission Aaron Sean Poynton The United States of America was created around the concept of federalism, which embraces the principles of shared governance and balance of power between the sovereign states and the supreme national government. Due to distinctive constitutional, legal, organizational, and historical reasons, the U.S. National Guard operates as a dual- purpose force within this system of federal government. As a result, the Guard has separate state and federal missions and separate and independent command and control authorities. This study is exploratory in nature and its primary purpose is to understand how federalism affects the National Guard’s domestic emergency response mission and to relate the findings to practice. The study follows a mixed methods concurrent nested strategy with a qualitative predominance. Qualitative data was collected through personal interviews, observation, and documented literature. Quantitative data was collected through an online survey administered to the fifty-four offices of the adjutant generals. The data was simultaneously analyzed to answer the primary research question and four related secondary questions. Variables were identified and a framework was created. The findings indicate that increasingly strong federal influences have affected nearly every aspect of the National Guard’s existence. The two independent variables of state government influences and federal government influence affect the dependent variable, the National Guard’s emergency response mission, through a series of moderator variables: mission and funding, organization and structure, personnel and equipment, and planning and training. Additionally, related secondary research questions on the topics of emergency management assistance compacts, organizational and structural alternatives, command and control structures, and State Defense Forces were examined. This exploratory study lays the foundation for future research. v To serve in the National Guard is to accept a dual mission. You can be called on to defend the country against enemies abroad, or to protect lives and property here at home in times of local emergency. — Richard B. Cheney vi CONTENTS Chapter PREFACE..............................................................................................................xv 1. INTRODUCTION .............................................................................................1 Introduction to the Study .............................................................................1 Statement of the Problem.............................................................................6 History..............................................................................................8 Contemporary Issues......................................................................12 Purpose of the Study ..................................................................................18 Research Questions....................................................................................22 Delimitations and Limitations....................................................................30 2. REVIEW OF THE LITERATURE .................................................................43 Introduction................................................................................................43 American Federalism and Intergovernmental Relations............................45 Definitions......................................................................................47 Background....................................................................................50 Purpose, Benefits, and Drawbacks.................................................54 Powers and Responsibilities ..........................................................56 Military Affairs ..............................................................................62 Emergency Management ...........................................................................67 Definitions and Scope....................................................................67 Theories and Models......................................................................78 Practice and Profession..................................................................90 vii The Role of Government .........................................................................102 The Federal Government .............................................................103 The Department of Homeland Security .......................................106 The Federal Emergency Management Agency............................110 State and Local.............................................................................116 The Role of the U.S. Military ..................................................................121 The U.S. Department of Defense.................................................122 Emergency Management and Homeland Defense.......................129 The Militia and State Defense Forces..........................................137 The Reserves and the Total Force Policy ....................................148 The U.S. National Guard .............................................................153 Existing Studies .......................................................................................167 3. PROCEDURES..............................................................................................178 Characteristics of Mixed Methods Research ...........................................178 Type of Mixed Methods Design ..............................................................182 Visual Models and Procedures of the Design..........................................186 Data Collection Procedures......................................................................188 Data Analysis and Validity Procedures ...................................................297 Role of the Researcher.............................................................................204 Potential Ethical Issues ............................................................................206 Report Presentation Structure ..................................................................209 Significance of the Study.........................................................................211 Preliminary Studies..................................................................................213 viii Expected Outcomes .................................................................................215 4. FINDINGS.....................................................................................................219 Results Qualitative Data ..........................................................................220
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