[Senate Hearing 111-418]
[From the U.S. Government Publishing Office]
S. Hrg. 111-418
NOMINATIONS TO THE
DEPARTMENT OF TRANSPORTATION,
THE DEPARTMENT OF COMMERCE, AND
THE EXECUTIVE OFFICE OF THE PRESIDENT
=======================================================================
HEARING
before the
COMMITTEE ON COMMERCE,
SCIENCE, AND TRANSPORTATION
UNITED STATES SENATE
ONE HUNDRED ELEVENTH CONGRESS
FIRST SESSION
__________
APRIL 21, 2009
__________
Printed for the use of the Committee on Commerce, Science, and
Transportation
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SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION
ONE HUNDRED ELEVENTH CONGRESS
FIRST SESSION
JOHN D. ROCKEFELLER IV, West Virginia, Chairman
DANIEL K. INOUYE, Hawaii KAY BAILEY HUTCHISON, Texas,
JOHN F. KERRY, Massachusetts Ranking
BYRON L. DORGAN, North Dakota OLYMPIA J. SNOWE, Maine
BARBARA BOXER, California JOHN ENSIGN, Nevada
BILL NELSON, Florida JIM DeMINT, South Carolina
MARIA CANTWELL, Washington JOHN THUNE, South Dakota
FRANK R. LAUTENBERG, New Jersey ROGER F. WICKER, Mississippi
MARK PRYOR, Arkansas JOHNNY ISAKSON, Georgia
CLAIRE McCASKILL, Missouri DAVID VITTER, Louisiana
AMY KLOBUCHAR, Minnesota SAM BROWNBACK, Kansas
TOM UDALL, New Mexico MEL MARTINEZ, Florida
MARK WARNER, Virginia MIKE JOHANNS, Nebraska
MARK BEGICH, Alaska
Ellen L. Doneski, Chief of Staff
James Reid, Deputy Chief of Staff
Bruce H. Andrews, General Counsel
Christine D. Kurth, Republican Staff Director and General Counsel
Paul Nagle, Republican Chief Counsel
C O N T E N T S
----------
Page
Hearing held on April 21, 2009................................... 1
Statement of Senator Inouye...................................... 1
Prepared statement of Hon. John D. Rockefeller IV submitted
by Hon. Daniel K. Inouye................................... 2
Statement of Senator Hutchison................................... 3
Statement of Senator Kerry....................................... 5
Statement of Senator Dorgan...................................... 41
Prepared statement of Hon. Ellen O. Tauscher, U.S.
Representative from California, Tenth District, submitted
by Hon. Byron L. Dorgan.................................... 63
Statement of Senator Warner...................................... 49
Prepared statement........................................... 49
Statement of Senator Johanns..................................... 52
Statement of Senator Begich...................................... 53
Statement of Senator Lautenberg.................................. 55
Statement of Senator Klobuchar................................... 56
Statement of Senator Thune....................................... 58
Statement of Senator Cantwell.................................... 90
Witnesses
Hon. Richard Durbin, U.S. Senator from Illinois.................. 6
Peter H. Appel, Administrator-Designate, Research and Innovative
Technology Administration, Department of Transportation........ 8
Prepared statement........................................... 10
Biographical information..................................... 10
Hon. Joseph C. Szabo, Administrator-Designate, Federal Railroad
Administration, Department of Transportation................... 17
Prepared statement........................................... 18
Biographical information..................................... 20
Dana G. Gresham, Assistant Secretary-Designate of Transportation
for Governmental Affairs, Department of Transportation......... 26
Prepared statement........................................... 27
Biographical information..................................... 28
Robert S. Rivkin, General Counsel-Designate, Department of
Transportation................................................. 32
Prepared statement........................................... 34
Biographical information..................................... 34
Roy W. Kienitz, Under Secretary-Designate, Department of
Transportation................................................. 41
Prepared statement........................................... 42
Biographical information..................................... 43
April Boyd, Assistant Secretary-Designate, Office of Legislative
and Intergovernmental Affairs, Department of Commerce.......... 64
Prepared statement........................................... 65
Biographical information..................................... 66
Letter, dated February 20, 2009, from April S. Boyd to
Barbara S.
Fredericks, Assistant General Counsel for Administration,
U.S. Department of Commerce................................ 72
Cameron F. Kerry, General Counsel-Designate, Department of
Commerce....................................................... 73
Prepared statement........................................... 75
Biographical information..................................... 76
Sherburne B. Abbott, Associate Director-Designate of Environment,
Office of Science and Technology Policy, Executive Office of
the President.................................................. 90
Prepared statement........................................... 92
Biographical information..................................... 94
Appendix
Response to written questions submitted to Peter H. Appel by:
Hon. John D. Rockefeller IV.................................. 109
Hon. Mark Begich............................................. 111
Response to written questions submitted to Joseph C. Szabo by:
Hon. John D. Rockefeller IV.................................. 111
Hon. Byron L. Dorgan......................................... 113
Hon. John Kerry.............................................. 114
Hon. Frank R. Lautenberg..................................... 114
Hon. Mark Begich............................................. 115
Hon. Tom Udall............................................... 115
Hon. Sam Brownback........................................... 116
Response to written questions submitted by Hon. John D.
Rockefeller IV to Dana G. Gresham.............................. 117
Response to written questions submitted to Robert S. Rivkin by:
Hon. John D. Rockefeller IV.................................. 118
Hon. Frank R. Lautenberg..................................... 119
Response to written questions submitted to Roy W. Kienitz by:
Hon. John D. Rockefeller IV.................................. 119
Hon. Byron L. Dorgan......................................... 120
Hon. Tom Udall............................................... 121
Hon. John Thune.............................................. 122
Hon. David Vitter............................................ 123
Response to written questions submitted by Hon. John D.
Rockefeller IV to Cameron F. Kerry............................. 124
Response to written questions submitted to Sherburne B. Abbott
by:
Hon. John D. Rockefeller IV.................................. 124
Hon. Tom Udall............................................... 125
Hon. Mark Begich............................................. 126
Hon. John Thune.............................................. 127
NOMINATIONS TO THE
DEPARTMENT OF TRANSPORTATION,
THE DEPARTMENT OF COMMERCE, AND
THE EXECUTIVE OFFICE OF THE PRESIDENT
----------
TUESDAY, APRIL 21, 2009
U.S. Senate,
Committee on Commerce, Science, and Transportation,
Washington, DC.
The Committee met, pursuant to notice, at 2:30 p.m., in
room SR-253, Russell Senate Office Building, Hon. Daniel K.
Inouye, presiding.
OPENING STATEMENT OF HON. DANIEL K. INOUYE,
U.S. SENATOR FROM HAWAII
Senator Inouye. The Committee will come to order.
Unfortunately, Chairman Rockefeller cannot be here with us
today. He had a very serious, painful knee injury last week,
and he has to be hospitalized and underwent surgery. I think we
all wish him the best for a speedy recovery.
I hope you will forgive me for my voice. That is what
happens to politicians who talk too much.
[Laughter.]
Senator Inouye. The Committee will consider nominees for
the United States Department of Transportation, the United
States Department of Commerce, and the Office of Science and
Technology Policy.
If confirmed, these men and women will be charged with
leading the Federal Government's efforts to promote
transportation mobility, advance commerce, strengthen ocean
management, and improve environmental science and technology
throughout the Nation and the world.
Working together, we have the opportunity to creatively
reform our entire transportation system. Mr. Robert Rivkin, Mr.
Dana Gresham, Mr. Roy Kienitz, Mr. Joseph Szabo, and Mr. Peter
Appel will face many important issues and challenges as we work
to improve our Nation's transportation and infrastructure in an
environmentally sustainable manner.
The two nominees for the Department of Commerce, Mr.
Cameron Kerry and Ms. April Boyd, have enormous tasks ahead in
support of diverse responsibilities for the Department, ranging
from fisheries management to the census.
I would also like to welcome Ms. Sherburne Abbott, the
nominee for Associate Director for Environment at the Office of
Science and Technology Policy. This important position has been
left vacant for the past 8 years, and I am pleased that this
Administration has made filling this position a priority.
Climate change is a critical long-term issue this country must
address. Therefore, it is important that we have coordination
across the many Federal agencies responsible for developing the
solution.
I wish to congratulate the nominees and express the
Committee's appreciation for their commitment to public
service.
Before I proceed any further, I have a statement for the
record by Senator John D. Rockefeller IV, the Chairman of this
Committee. Without objection, it will be made part of the
record.
[The prepared statement of Senator Rockefeller follows:]
Prepared Statement of Hon. John D. Rockefeller IV,
U.S. Senator from West Virginia
I wish to congratulate all of you on your nomination for positions
in the United States Department of Transportation (DOT), the United
States Department of Commerce, and the Office of Science and Technology
Policy. It is a true honor to be selected by President Obama to serve
in these important positions, and, if confirmed, you will be emboldened
with leading the Federal Government's efforts to promote transportation
mobility, advance commerce, strengthen ocean management, and improve
environmental science and technology throughout the Nation and the
world.
Mr. Appel, Mr. Gresham, Mr. Kienitz, Mr. Rivkin, and Mr. Szabo--the
timely and efficient movement of people and goods is an integral
component of our daily lives. Given the current economic climate,
considerable energy and resources must be devoted to make sure the
severe challenges our transportation system faces do not inhibit the
flow of national and global commerce. Carbon emissions--both from the
transportation choices we make and the growing congestion across the
system--contribute significantly to climate change. Increased freight
and passenger demand has begun to overwhelm our entire transportation
network, creating congestion and bottlenecks at our ports, in our
skies, and on our roads and rails. Safety continues to plague our
roadways--in 2007 alone, over 41,000 people were killed in highway
accidents, with more than 2,400,000 injured. Out of this total, nearly
5,000 people were killed in large truck crashes alone and over 10,000
people were killed in vehicle rollover accidents.
Together with the Congress, President Obama, and Secretary LaHood,
we have the opportunity to creatively reform our entire transportation
system and address the many challenges it faces. We must rethink the
way that the transportation network operates, the way projects and
programs are funded, what technologies must be incorporated into the
system, and the proper role for Federal involvement in developing and
managing the system. Mr. Rivkin, the upcoming reauthorization of our
surface transportation policies and programs is an opportunity to
prepare our infrastructure for 21st century demands and reprioritize
our travel methods in a more environmentally sustainable way.
Similarly, I hope to continue modernizing our aviation system with the
reauthorization of the Federal Aviation Administration (FAA). In both
these situations, and others facing the DOT, Mr. Appel, we will have to
rely on trustworthy research and data in order to accurately
incorporate technological solutions into our expanding transportation
system.
As the Committee responsible for establishing the Nation's policies
and goals for all modes of transportation, I plan for this Committee to
be very active in setting clear objectives for our Federal surface,
aviation, and maritime transportation programs, Mr. Gresham, and hope
that we can build the strong partnership needed to accomplish the type
of change that President Obama and Vice President Biden have discussed
and that we all agree must occur.
The attention this Administration is devoting to passenger rail is
unprecedented. Mr. Szabo, I applaud the Department's high-speed rail
strategic plan released last week for implementing the $8 billion
investment included in the American Recovery and Reinvestment Act. We
will be closely monitoring the implementation of this plan to make sure
it achieves the goals set forth in the Passenger Rail Investment and
Improvement Act passed last fall, including furthering the development
of a national rail system. We will also work with the Federal Railroad
Administration to make sure that the aggressive goals in the Rail
Safety Improvement Act for the establishment of positive train control
systems and the improvement to rail workers hours of service are
successfully implemented.
Finally, I am concerned about the strength of our maritime and
freight systems. In this increasingly competitive global economy,
America must maintain efficient access to the world's markets. Far too
many of our ports and trade corridors are mired by inadequate
infrastructure and limited capacity. We need to develop a strong
multimodal program that will provide investments in essential port and
freight infrastructure projects that have national significance and
will be looking to you, Mr. Kienitz, and your Policy office, to work
with us to move this critical issue forward.
For our two distinguished nominees for the Department of Commerce,
Mr. Kerry and Ms. Boyd, I would again like to congratulate you on your
appointments and also remind you of the enormous tasks which you are
nominated to oversee. The mission of the Department of Commerce is
wide-ranging. It affects almost all sectors of our Nation's economy,
from international trade to local economic development. The
Department's programs literally touch each of our lives, whether
providing daily weather forecasts, aiding communities with economic
development, or conducting the decennial Census. The Department of
Commerce is preparing to undertake a massive and critically important
2010 U.S. Census. It goes without saying that a tremendous amount of
pressure and many eyes will be on this Department and its leaders until
its successful completion. This is only one important area that you
both will be vested in overseeing.
In these difficult economic times, I hope you use your talents to
promote U.S. exports, our country's unbeatable travel and tourism
industry, and stand up for U.S. manufacturers by vigorously enforcing
our international trade laws. For too long, we have seen a slow
weakening of these laws and in some instances have seen the World Trade
Organization overstepping its jurisdiction through its
misinterpretation of the Antidumping laws. Though we cannot deny our
interdependence on foreign countries for trade--in fact I heartily
welcome trade with our foreign friends--we cannot do so at the expense
of running roughshod over our own laws and putting U.S. companies at a
comparative disadvantage. This includes addressing countries that have
instituted retaliatory tactics on certain goods and services. I hope
you can tell us today that you plan on remaining vigilant in these
areas.
Our oceans and climate are significant economic drivers for our
economy. The National Oceanic and Atmospheric Administration's (NOAA)
programs and services affect more than one-third of the Nation's gross
domestic product, including supporting our fisheries, farmers, and
maritime industry. NOAA makes up the largest part of the Department of
Commerce's resources, accounting for more than fifty percent of the
Department's overall budget. The economic health of our Nation depends
on our coastal economies, which generate one-half of our Nation's Gross
Domestic Product and are home to more than 50 percent of the Nation's
population. Our Nation's fisheries generate $111 billion for state
economies, yet the United States currently has an $8 billion seafood
trade deficit. There is great untapped wealth in our oceans.
Maintaining the economic and ecological viability of our coastal
communities and oceans, rebuilding our wild fisheries, promoting
sustainable aquaculture, and monitoring our Nation's weather and
climate are vital to building our Nation's economic and environmental
wealth. Unfortunately, NOAA's value to our communities often goes
unrecognized. I hope that you will make it a priority to work with
Congress to strengthen NOAA's critical programs and services and its
role within the Department of Commerce.
I look forward to your quick confirmation and excellent work at the
Department of Commerce.
I would like also like to welcome Ms. Shereburne Abbott, nominee
for Associate Director for Environment at the Office of Science and
Technology Policy. This important position has been left vacant for the
past 8 years, and so I am pleased to see it finally filled. Since
climate change will be a critical long issue this country will be
addressing, it is important that we have coordination across the many
Federal agencies responsible for developing the solution.
I look forward to hearing your testimony and will do my best to
facilitate a quick confirmation process so that we can get started with
the work ahead of us.
Senator Inouye. And now may I call on our Ranking Member,
Senator Hutchison.
STATEMENT OF HON. KAY BAILEY HUTCHISON,
U.S. SENATOR FROM TEXAS
Senator Hutchison. Well, thank you very much, Mr. Chairman.
I really appreciate, as I know all of us do, that you are
presiding over this hearing in Senator Rockefeller's absence,
and we all wish him well with his recovery.
I want to thank all of you for coming. I am so pleased that
we are having a hearing and putting these nominees forward
because we know that the agencies need all of you to start
taking some of the load off the beleaguered Secretaries.
Let me say I also want to introduce my Texas constituent
before us today, Shere Abbott, who you mentioned earlier is the
nominee for Associate Director of Environment for the Office of
Science and Technology Policy. She has had 25 years of human
development and environmental research education and policy
experience and has been an active faculty member of the
University of Texas at Austin for 3 years where she has served
as Director of the Center for Science and Practice of
Sustainability in the Office of the Executive Vice President
and Provost.
She has also worked as a consultant before that, advising
the World Bank, private foundations, and nongovernmental
foundations. She was Chief International Officer for the
American Association for the Advancement of Science from 2003
through 2005 and has vast experience in this field.
She graduated from Goucher College and earned her Masters
of Forest Science from Yale University where she was a Dodge
Fellow in human animal ecology.
In 2000, she was appointed Senior Research Fellow at
Harvard's Kennedy School of Government.
I am very pleased that she is a nominee to be a part of
this Administration.
I just want to make a general statement that the Committee
cannot do the work that we are expected to do without the
cooperation and help from the legal and governmental affairs
officers at all of our agencies and our cabinet offices. These
offices are charged with the task of keeping us aware of
activities and undertakings at the agencies and responding to
our information requests, often within a very short timeframe.
This Committee has successfully maintained a productive and
bipartisan working relationship with the agencies within our
jurisdiction, and I look forward to continuing that bipartisan
cooperation during this Administration.
I also note that we have a number of important positions at
the Department of Transportation that we will consider today.
It is very important that we have a lot of input from the
nominees here because we have both the FAA reauthorization and
the highway reauthorization bills, both very important for our
transportation infrastructure. I hope very much that we will be
able to work through getting the NextGen air traffic control
system at the Department of Transportation enacted. We also
hope to be able to move on the highway reauthorization
legislation, which is so important to so many States.
So I appreciate all of you for being here and thank you,
Mr. Chairman, for subbing for our Chairman.
Senator Inouye. Thank you very much.
I am pleased to call upon Senator Kerry. He has a statement
and introductions.
STATEMENT OF HON. JOHN F. KERRY,
U.S. SENATOR FROM MASSACHUSETTS
Senator Kerry. Thank you, Mr. Chairman.
Obviously, we wish Senator Rockefeller were here, but we
are also pleased to see you back in the chair, though
temporarily.
Mr. Chairman, this is a great pleasure for me and,
obviously, a special privilege. I am going to recuse myself
from the vote because I think that is the appropriate thing to
do, but I am not going to recuse myself from the introduction
to the Committee of my brother.
And we are in that rare situation where an introducer gets
to actually say, ``I have known somebody all my life.''
[Laughter.]
Senator Kerry. Here, there is not much question about that.
I think he was the first person I ever babysat for and some
might allege that I am here doing that again, but I do not
think so.
He is accompanied by his wife who is an attorney in her own
right and, in fact, President of the Boston Bar Association,
Kathy Weinman. They are joined by my niece, his daughter,
Jessica, who is a recent graduate of Brown and has been deeply
involved in guess what--politics--for the last year or so and
more.
But, Mr. Chairman, what is important here is whether or not
Cameron Kerry is qualified for this job, and I believe, through
all my years of service on this Committee and knowing what the
job is about, that he is highly qualified. He is a thoroughly
public service-minded person. He is a gifted and capable lawyer
who will make a terrific legal counsel for the Department of
Commerce. He has spent all his life in the private sector as a
lawyer, navigating very complicated legal issues ranging from
environmental law to toxic torts, privacy, insurance
regulation.
As we know, the Department of Commerce has a very broad,
diverse portfolio. It calls for a general counsel who is able
to bring public judgment tested in public policy. In fact,
Cameron has all his life been involved in supporting other
people, myself included, who have run for office and is very,
very knowledgeable about those issues. I think he brings a
judgment and a facility with a range of issues, and that has
been the nature of his career as a litigator, as a regulatory
lawyer at leading law firms in both Boston and Washington, D.C.
and also as a teacher of communications law.
I think he has a special appreciation of the needs and
interests of the Department's business stakeholders. He has
represented the private sector. He has been on the front lines
of seeing the kinds of conflicts and tensions and needs that
businesses have, and he has a deep understanding of the
economic crisis that our country and our people are facing
today.
He also, I might add, has a very strong sense of the
Internet and technology because we come from Massachusetts
where we are privileged to have an extraordinary network of
colleges and universities and research laboratories and people
who are on the front lines of much of the business that comes
before this committee.
So I know that he believes deeply in President Obama's
agenda, and he will roll up his sleeves and put everything he
has into serving the Administration and our country. He will
uphold the best standards of legal judgment and of the
Constitution of the country. I think he will put country ahead
of politics, which is an important ingredient in all of this.
Senator Inouye. Will you yield at this point?
Senator Kerry. Yes, sir.
Senator Inouye. Since I will not be here to hear Mr. Kerry
speak, may I ask that Mr. and Mrs. Kerry stand to be
recognized?
Senator Kerry. Thank you, sir.
Senator Inouye. Welcome. Congratulations.
Senator Kerry. Thank you, Mr. Chairman.
Senator Inouye. He is a good-looking fellow.
[Laughter.]
Senator Kerry. We have argued about that for 57 years.
[Laughter.]
Senator Kerry. Mr. Chairman, can I also say I am also very
proud of another nominee before the Committee today, April
Boyd, who has been nominated, as we know, to head up the
legislative and intergovernmental affairs at Commerce. I have
not known April her whole life, but I have known her long
enough to share the President's confidence in her skills that
she brings to this job.
She served as my national press secretary between 2004 and
2006, and before that, she was Chief of Staff to Representative
Ellen Tauscher of California, and before that, a Special
Assistant in the Department of Energy and a Media Liaison at
GSA. I think the President in nominating her has found someone
who will work with us on the Hill with knowledge of the Hill,
of our lives and of the intersection of the requirements of the
Department of Commerce.
So I am really pleased to be able to commend both nominees,
maybe one slightly more than the other, but both nominees. And
I thank you, Mr. Chairman, for the courtesy. Thank you.
Senator Inouye. I thank you very much.
Senator Kerry. I have another meeting going on right now,
so I need to excuse myself. I apologize.
Senator Inouye. It is my great pleasure to call upon
Senator Durbin. He has introductions to make.
STATEMENT OF HON. RICHARD DURBIN,
U.S. SENATOR FROM ILLINOIS
Senator Durbin. Chairman Inouye, Ranking Member Hutchison,
Members of the Committee, thank you for the opportunity to
introduce two Illinoisans, Robert Rivkin and Joe Szabo for
their nominations to the Department of Transportation. Both men
have made significant contributions to the State of Illinois,
and I believe they will make a significant contribution to our
Nation at the federal Department of Transportation.
First, a few words about Bob Rivkin. He has a long,
successful legal career, and his experience will serve him
well. He recently served as Vice President and Deputy General
Counsel of Aon Corporation, a Chicago-based management and
financial services firm. In this capacity, he has been
responsible for all litigation, employment law, and regulatory
and government affairs for Aon's businesses in North and South
America.
In addition to his work at Aon, Bob Rivkin has developed a
long resume working on transportation issues. From 2001 to
2004, Bob was General Counsel to the Chicago Transit Authority,
the second largest public transportation system in America.
There, Bob was instrumental in negotiating a $530 million full-
funding agreement between the Federal Transit Administration
and the CTA for the massive overhaul of the Brown Line. Today,
that project enables thousands of commuters to have quality
access to public transportation. Because of Bob's work early in
the process, the project has been on budget and on schedule.
I would like to mention one more thing about Bob. It is
something that he is going to bring to this position of General
Counsel at DOT. That is his family's dedication to public
service. Bob's father, William R. Rivkin, served this country
honorably, as the Chairman did, as a Lieutenant Colonel in the
U.S. Army during World War II, where he earned the Bronze Star.
Following his decorated service in the military, President
Kennedy appointed William Rivkin Ambassador to Luxembourg where
he served from 1962 to 1965. President Johnson then appointed
William Rivkin Ambassador to Senegal and Gambia where he served
until 1967.
Bob begins the process of Senate confirmation today with
this hearing, a process his father underwent more than 40 years
ago. I am sure this Committee will learn today that Bob Rivkin
is ready to serve this country and continue his family's legacy
of distinguished public service.
Mr. Chairman and Members of the Committee, I am also
pleased to introduce Joe Szabo of Chicago, Illinois, the
nominee for the Administrator of the Federal Railroad
Administration. Joe is here today with his father, Joseph F.
Szabo, and three sisters, Jo Clark, Susan Stables, and Peggy
Szabo.
The FBI investigation found only one major flaw when it
came to Joe Szabo, and I think we should put that on the record
early in the hearing. And that flaw is that Joe Szabo is a die-
hard Cubs fan.
[Laughter.]
Senator Durbin. Luckily for all of us, the Cubs are playing
a night game so they will not miss any of the action at Wrigley
Field to come here to Washington.
Seriously, I am pleased they could join us today for this
important and proud moment for Joe and his family.
Joe Szabo understands better than most the long days,
unpredictable schedules, and sometimes hazardous working
conditions that come with the railroad industry. He has worked
for the railroad, both the Illinois Central and METRA, since he
was 18 years old, including stints as yard switchman, road
trainman, and commuter passenger conductor. Five generations of
his family have worked in the railroad. Joe learned firsthand
about the railroad from his dad. His father instilled in him a
passion for rail work that has helped Joe become a trusted and
respected voice in rail labor and in the industry. Joseph F.
Szabo, a 40-year switchman for the Illinois Central Railroad,
today is watching from the front row as his son, Joe Szabo,
goes through this confirmation hearing to be the chief railroad
official in the Obama Administration, a job he is uniquely
qualified to hold.
Joe has a distinguished career in public service and many
accomplishments. As an elected mayor of Riverdale, Illinois and
State Legislative Director for the United Transportation Union,
UTU, Joe has developed a reputation as a passionate advocate of
freight and passenger rail and its workers. During his tenure
as UTU's State Director, Joe's work was integral to the State
of Illinois doubling its investment in passenger rail. This
additional State investment allowed Illinois to double the
frequency of Amtrak trains leaving Chicago for Quincy,
Carbondale, and St. Louis and lay the groundwork for expanding
Amtrak service. His advocacy helped Illinois passenger rail
achieve the fastest growth in ridership and revenue in the
entire Amtrak system.
Joe now brings his passion for the railroad industry and
his experience with rail labor to a national stage. As all of
us know, President Obama, Vice President Biden, and this
Congress have made the single largest investment in passenger
rail in our country's history. The $8 billion we included in
the stimulus for high-speed rail and outlined by the President
last week represents a commitment to taking the next step in
the next generation of inter-city passenger rail. Implementing
this vision will not be easy. It will be monumental. It will
take a good faith working relationship between Congress, the
Administration, the railroads, State and local government.
Joe has earned the confidence and full support of President
Obama. They worked closely together when the President served
as State Senator in Springfield. And I am here to tell you what
President Obama and I already know. When it comes to making
high-speed rail a reality and ensuring that millions of
Americans have access to safe, reliable passenger and freight
rail, there is no one better for the job than Joe Szabo.
Chairman Inouye and Members of the Committee, I want to
thank you for the opportunity to introduce my good friend and
neighbor and fellow Illinoisans, Joe Szabo and Bob Rivkin. As
you conduct this hearing and the strong oversight that is to
follow, I can assure you that you will find that both of them
understand their unique responsibilities at the Federal level
and look forward anxiously to serving our Nation in this new
capacity. I thank you very much for giving me this opportunity.
Senator Inouye. I thank you very much, sir. Will Mr. Rivkin
rise so that we may recognize him and your family?
And Mr. Szabo and your family?
Mr. Szabo. My father, Joseph Szabo.
Senator Inouye. Congratulations. Thank you very much.
And now may we have the panel? I would like to call upon
our first nominee, Peter Appel.
STATEMENT OF PETER H. APPEL, ADMINISTRATOR-
DESIGNATE, RESEARCH AND INNOVATIVE TECHNOLOGY
ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
Mr. Appel. Thank you. Mr. Chairman and Ranking Member
Hutchison, distinguished Members of the Committee, it is a
privilege to appear before you today. Thank you very much for
your time and your consideration.
I would also like to wish Chairman Rockefeller a very
speedy recovery.
I want to express my appreciation to President Obama for
nominating me and to Secretary Ray LaHood for his confidence in
me.
And I would like to thank my wife Barbara who has provided
tremendous support as I pursue further public service. Barbara
is sitting right here behind me.
The U.S. Department of Transportation today faces
challenges and opportunities unlike any it has seen in its 42-
year history. Never before has the DOT had a better opportunity
to leverage the talents of its people and the commitment of
Congress and the Administration to improve the lives of the
American people. We see frequent reminders of the need to
continually improve safety, the pressing need to achieve
economic recovery, the critical need to rebuild our
infrastructure and to improve mobility, and the imperative of
sustainability. The Department is well positioned to
simultaneously advance the goals of safety, mobility,
livability, sustainability, and economic growth through well-
thought-out policies and investments in transportation systems
and infrastructure.
DOT's Research and Innovative Technology Administration,
known as RITA, is in an ideal position to help ensure that our
investments make the best use of our taxpayers' dollars. RITA
sets out to bring together first-rate transportation research
and training, thorough data and analysis, and an innovative
spirit to ensure the safest, most efficient, most sustainable,
and robust transportation network across every mode of
transportation.
My background in transportation research and analysis and
Federal transportation policy, management consulting to large
and complex organizations, and innovative problem-solving
across every mode of transportation, positions me well to lead
this agency at this critical time.
One of RITA's mandates is to foster top-notch
transportation education through its University Transportation
Centers, and another is to bring together some of the country's
best engineers and scientists to do multimodal research at the
Volpe National Transportation Systems Center. I am a product of
one of those University Transportation Centers, the MIT
transportation program, and my studies there 22 years ago, just
a few hundred yards from what is now called the Volpe Center,
allowed me to see firsthand the kind of advanced thinking that
this Department produces. In these challenging times for our
Nation, we must ensure that all this great thinking is brought
to bear in tackling the complex issues that we do face.
I very much look forward to the opportunity to work with
this Committee and the Secretary to advance our Nation's
transportation interests. Thank you very much for the
opportunity to appear before you, and I welcome any questions
the Committee may have.
[The prepared statement and biographical information of Mr.
Appel follows:]
Prepared Statement of Peter H. Appel, Administrator-Designate, Research
and Innovative Technology Administration, Department of Transportation
Chairman Rockefeller, Ranking Member Hutchison, Distinguished
Members of the Committee, it is a privilege to appear before you today.
Thank you very much for your time and consideration.
I want express my appreciation to President Obama for nominating me
and to Secretary LaHood for the confidence he has placed in me. I would
also like to thank my wife Barbara, who has provided tremendous support
as I pursue further public service.
The U.S. Department of Transportation faces challenges and
opportunities unlike any it has seen in its 42-year history. Never
before has DOT had a better opportunity to leverage the talents of its
people and the commitment of Congress and the Administration to improve
the lives of the American people. We see frequent reminders of the need
to continually improve safety, the pressing need to achieve economic
recovery, the critical need to rebuild our infrastructure and to
improve mobility, and the imperative of sustainability. The Department
is well positioned to simultaneously advance the goals of safety,
mobility, livability, sustainability, and economic growth through well
thought-out policies and investments in transportation and
infrastructure.
DOT's Research and Innovative Technology Administration (RITA), is
in an ideal position to help ensure that our investments make the best
use of the taxpayers' dollars. RITA sets out to bring together first-
rate transportation research and training, thorough data and analysis,
and an innovative spirit to ensure the safest, most efficient, most
sustainable, and most robust transportation network across every mode.
My background--in transportation research and analysis, Federal
transportation policy, management consulting to large and complex
organizations, and innovative problem-solving across every mode of
transportation--positions me well to lead this agency at this critical
time.
One of RITA's mandates is to foster top-notch transportation
education through its University Transportation Centers, and another is
to bring together some of the country's best engineers and scientists
to do multi-modal research at the Volpe National Transportation Systems
Center. I am a product of one of those University Transportation
Centers--the MIT transportation program. My studies there 22 years ago,
just a few hundred yards from what is now called the Volpe Center,
allowed me to see firsthand the kind of advanced thinking that this
department produces. In these challenging times for our nation, we must
ensure that all this great thinking is brought to bear in tackling the
issues we face.
I very much look forward to the opportunity to work with this
Committee and the Secretary to advance our Nation's transportation
interests. Thank you for the opportunity to appear before you. I
welcome any questions that the Committee may have.
______
a. biographical information
1. Name (Include any former names or nicknames used): Peter H.
Appel.
2. Position to which nominated: Administrator, Research and
Innovative Technology Administration, U.S. Department of
Transportation.
3. Date of Nomination: 4/20/09.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: A.T. Kearney, Inc., 8100 Boone Blvd. Suite #400,
Vienna, VA 22182.
5. Date and Place of Birth: 08/20/64; Princeton, NJ.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Barbara Zamora-Appel (spouse, not employed); I have no
children.
7. List all college and graduate degrees. Provide year and school
attended.
Master of Science, Transportation, Massachusetts Institute of
Technology, 1987.
Bachelor of Arts, Economics and Computer Science, Brandeis
University, 1985.
General Course Certificate, London School of Economics and
Political Science, 1984.
8. List all post-undergraduate employment, and highlight all
management- level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
1997-Present, A.T. Kearney, Inc. (Management Consulting);
Principal, Manager, Associate.
Relevance to RITA Position: Consultant to senior
executives at large corporations and public sector
agencies, on strategy, operations improvement, and
other management initiatives, with particular focus on
transportation and infrastructure. Managed teams of
consultants and joint consultant/client project teams.
Significant focus on transportation, technology, and
infrastructure.
1993-1997, U.S. Dept. of Transportation, Federal Aviation
Administration; Special Assistant to the Administrator.
Relevance to RITA Position: Advised and assisted the
FAA Administrator on a range of management and
strategic planning activities associated with
overseeing 47,000 person DOT modal administration.
Coordinated outreach and intra-governmental initiatives
between the FAA, the office of the Secretary of
Transportation, and other agencies.
1989-1993, Amtrak; Assistant Director, Pricing and Yield
Management; Manager, Pricing Policy and Analysis; Associate
Economist.
Relevance to RITA Position: Managed staff and a range
of analytical activities to increase revenue to the
railroad, leveraging complex computer models and
extensive transportation data.
1987-1989, Dukakis for President Campaign and Dukakis/Bentsen
Committee Inc., Director of Information Systems.
Relevance to RITA Position: Managed information
technology acquisition, contracts, and staff.
1985-1987, Massachusetts Institute of Technology, Flight
Transportation Laboratory; Research Assistant.
Relevance to RITA Position: Conducted research to
improve asset utilization in transportation operations
using information systems technology. This and other
research done at MIT's Flight Transportation Laboratory
relates to the kind of research coordinated by RITA.
9. Attach a copy of your resume. A copy is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last 5 years.
As a management consultant with A.T. Kearney, Inc., provided
consulting services to U.S. Department of the Navy, Naval Sea Systems
Command, in 2005-2007.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last 5 years.
Principal, A.T. Kearney, Inc. (Management Consulting), 1997-
Present.
As an employee of A.T. Kearney, provided management
consulting services to the following clients in the
last 5 years:
CenterPoint Properties (2008).
Eclipse Aviation (2008).
Brookfield Asset Management (2008).
Goldman Sachs (2008).
Morgan Stanley (2008).
Landrum and Brown (2008).
Credit Suisse (2006-2007, 2008).
Dubai Aerospace Enterprise (2006).
CSC, in conjunction with work for the U.S. Department
of the Navy (2005-2007).
A.T. Kearney, Inc. (2004).
12. Please list each membership you have had during the past 10
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religious organization, private club, or other membership organization.
Include dates of membership and any positions you have held with any
organization. Please note whether any such club or organization
restricts membership on the basis of sex, race, color, religion,
national origin, age, or handicap.
Member, Aero Club of Washington (1998-2009).
Member, National Aeronautical Association (1998-2009).
Member, Intermodal Association of North America (2008-2009).
Member, Belle Haven Citizens Association (1998-2009).
None of these organizations restricts membership on the basis of
sex, race, color, religion, national origin, age, or handicap.
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt.
I have been appointed to one public office, as a Schedule C
appointee of the U.S. Department of Transportation, in the position of
Special Assistant to the Administrator, FAA, 1993-1997.
I have never been a candidate for elected public office.
14. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past 10 years. Also list all offices you
have held with, and services rendered to, a state or national political
party or election committee during the same period.
Obama Victory Fund, $496, 10/26/2008.
Obama Victory Fund, $500, 10/23/2008.
Obama Victory Fund, $1,000, 7/31/2008.
Obama for America, Primary Fund, $1,000, 3/31/2007.
Obama for America, Primary Fund, $1,300, 10/12/2007.
James Webb for U.S. Senate, $350, 11/01/06.
James Webb for U.S. Senate, $250, 8/28/06.
Kaine for Governor, $500, 9/15/05.
A Lot Of People Supporting Tom Daschle/New Leadership for
America PAC, $1,000, 9/10/2004.
John Kerry for President, $1,000, 7/14/04.
John Kerry for President, $325, 7/7/2004.
John Kerry for President, $500, 1/14/04.
DNC Services Corporation, Democratic National Committee, 10/26/
2000, $1,000.
In addition, in the last 10 years I have performed volunteer work
for political campaigns as follows:
Volunteer Roles on Political Campaigns
------------------------------------------------------------------------
Political Campaign
Organization Year Key Roles
------------------------------------------------------------------------
Obama for America 2007-20 Delegate Analysis and Strategy
08 Development
Voter Targeting Analysis
Boiler Room Operations
Fundraiser Host Committee Chair
------------------------------------------------------------------------
Fenty for Mayor (DC) 2006 Fundraiser Host Committee Member
------------------------------------------------------------------------
John Kerry for President 2004 Voter Targeting Analysis
Delegate Analysis and Strategy
Development
Get-Out-The-Vote Planning and Boiler
Room Operations, Florida
------------------------------------------------------------------------
Booker for Mayor (NJ) 2002 Get-Out-The-Vote/Field Operations
------------------------------------------------------------------------
Gore for President 2000 Delegate Analysis and Strategy
Development
Get-Out-The-Vote Planning and Boiler
Room Operations, Missouri
------------------------------------------------------------------------
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Sigma Gamma Tau, Aerospace Honor Society, 1987.
Sigma Xi, Scientific Research Honor Society, 1987.
Magna Cum Laude, Brandeis University, 1985.
Highest Honors in Computer Science, Brandeis University, 1985.
Michtom Prize for Outstanding Honors Work in Computer Science,
1985.
16. Please list each book, article, column, or publication you have
authored, individually or with others. Also list any speeches that you
have given on topics relevant to the position for which you have been
nominated. Do not attach copies of these publications unless otherwise
instructed.
Made presentation on ``Transportation in the New Economy'' to a
conference of the Association of Railway Communicators, 2000.
Published article ``Facilitating International Air Freight
Hubs'' in Transportation & Distribution, August, 1997.
Made presentation on ``Yield Management in the Railroad
Industry'' at conference of the Transportation Research Forum,
October 1992.
Made presentation on ``Amtrak at 20'' Transportation Research
Board, 1991.
Authored MIT Report ``A Flexible Scheduling Environment using
Dynamic Exception Handling'', MIT Flight Transportation
Laboratory, 1987.
17. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony.
I have not testified orally or in writing before Congress.
18. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
The Research and Innovative Technology Administration sets out to
bring together first-rate transportation research, the most thorough
and relevant data, and an entrepreneurial and innovative spirit to
ensure the safest, most efficient, and most robust possible
transportation network across every mode. My background--in
transportation research and analysis, Federal transportation policy,
management consulting to large and complex private and public sector
organizations, and innovative problem solving across every mode of
transportation--positions me well to lead this agency in a time when
its mission is more critical than ever.
Throughout my career, I have worked extensively with transportation
research and statistics. In my graduate work at MIT in the Flight
Transportation Laboratory, I developed computer models to improve air
carrier scheduling efficiency. At Amtrak, I built analytical models
using railroad operational data and passenger demand data to develop
effective rail product offerings such as for the Northeast Corridor. At
the FAA, I got to know firsthand the implications of how new
technology--and the frequent issues associated with its
implementation--can have a profound impact on the transportation system
and the commerce that relies on it. In my work for many management
consulting clients across rail, air, highway, and ocean transportation,
I have incorporated a thorough understanding of available technology
and robust data to help clients make sound business decisions affecting
billions of dollars of investments.
My background in Federal transportation policy as Special Assistant
to the FAA Administrator positions me well to address the sensitive
inter-agency issues that RITA faces. During 4 years at FAA--in which I
worked to coordinate policy development on behalf of the Administrator
across divisions within the FAA, and between the FAA and the rest of
the DOT--I gained experience in managing policy initiatives that must
reflect the views of a range of stakeholders. RITA can only be
effective if it works well across each modal administration and the
rest or DOT--and my experience with and understanding of the priorities
and unique issues of each part of DOT will help me achieve its
potential.
For the last twelve years, I have been a management consultant at
the global management consulting firm of A.T. Kearney, Inc. A.T.
Kearney, which works globally across every industry, has worked in
transportation since its founding in 1926. My clients conic to our firm
both to solve operational issues and to develop strategies to grow in
the marketplace. I have worked with the private and public sectors to
significantly improve operational efficiency and to identify the best
ways to grow. RITA is a large organization that needs to maximize its
efficiency and identify how to bring the most value to its customers,
and I want to bring my management experience to bear in achieving this
goal.
19. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
If confirmed at the Administrator, I will be fully responsible--to
the Secretary and the President--to ensure that RITA makes the most
effective use of taxpayer dollars, both those directly budgeted to it
and those for which it plays a coordinating role. I believe strongly in
ensuring strong management reporting capabilities, clear metrics to
show success or failure in achieving goals, and full accountability in
each unit within an organization. I have served as a management
consultant helping leaders of large organizations drive toward major
efficiency improvements, have led teams to achieve aggressive goals,
and have worked closely with the FAA Administrator to build
organizational and management models to ensure executive accountability
across a 47,000 person agency.
20. What do you believe to be the top three challenges facing the
department/agency and why?
1. RITA must identify ways that it can accelerate and amplify
the economic impact of the 2009 stimulus package and other
transportation investment. By bringing to hear technologies--
such as Intelligent Transportation Systems--for which it has
been leading ongoing research and deployment, RITA can help
ensure that when the Administration invests in infrastructure
such as roads and transit, that investment will have the
maximum impact on mobility, resulting economic activity, and
ultimate job creation in our communities.
2. RITA must establish and articulate a clear value proposition
to the rest of DOT and the Federal Government to show how it
can ensure that RD&T programs across DOT are aligned to achieve
the goals of the department--including safety, mobility, and
sustainability.
3. RITA must fully identify the needs of its customers--such as
the users of the data and analysis produced by the Bureau of
Transportation Statistics, its transportation safety training
programs, and research across every mode--and ensure that the
government's investment in these products are effectively
aligned with those customer needs. By clearly understanding who
uses its products, who might potentially use its products if
they were modified or enhanced, and what value its customers
derive. RITA can expand its customer base and its impact. RITA
has an excellent opportunity--with the top-notch research
performed at the Volpe National Transportation Systems Center
and the University Transportation Centers--to remove barriers
to technological innovation, and it is important to demonstrate
to a broader audience how RITA can address needs across every
mode.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
My only financial arrangements with my employer are:
a. to receive my normal compensation from A.T. Kearney while
still employed with the firm until and if I am confirmed for
the prospective position.
b. to receive the second of two installments of my 2008 A.T.
Kearney bonus, scheduled to be paid in second quarter of 2009.
c. my ownership of stock shares in ATK Holdings, for which a
sale will he executed following my departure from the firm and
the proceeds will be distributed to me over a 3-year period.
My retirement accounts are 100 percent vested and are maintained by
investment funds outside of my employer organization.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain: No.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will be resolved in accordance with the
terms of an ethics agreement that I have entered into with the
Department's designated agency ethics official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last 10 years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will be resolved in accordance with the
terms of an ethics agreement that I have entered into with the
Department's designated agency ethics official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
5. Describe any activity during the past 10 years in which you have
been engaged for the purpose of directly or indirectly influencing the
passage, defeat, or modification of any legislation or affecting the
administration and execution of law or public policy.
In 2000, under while performing management consulting services at
A.T. Kearney, Inc., I conducted business analysis of potential railroad
operations associated with the proposed merger of the Canadian National
Railway and the Burlington Northern--Santa Fe Railroad. The results of
my analysis were used in conjunction with Canadian National Railway's
application to the Surface Transportation Board for approval of the
proposed merger, which was ultimately not approved.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will be resolved in accordance with the
terms of an ethics agreement that I have entered into with the
Department's designated agency ethics official and that has been
provided to this Committee.
c. legal matters
Have you ever been disciplined or cited for a breach of ethics by,
or been the subject of a complaint to any court, administrative agency,
professional association, disciplinary committee, or other professional
group? If so, please explain: No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain: No.
3. Have you or any business of which you are or were an officer
ever been involved as a party in an administrative agency proceeding or
civil litigation? If so, please explain: No.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain: No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain: No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should he disclosed in
connection with your nomination. None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by Congressional committees? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect Congressional witnesses and whistleblowers from reprisal for
their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
resume of peter h. appel
Work Experience
A.T. Kearney, Inc., April 1997-present, Principal.
Led over 40 management consulting engagements to develop and
implement strategic initiatives for private sector and public
sector clients in Transportation, Infrastructure, and
Aerospace, focusing on:
Strategic Planning.
Public-Private Partnerships.
Acquisition Due Diligence.
Organizational Design.
Operations Improvement.
Post-Merger Integration.
For a major North American railroad, assessed potential growth
markets, developed acquisition strategies, and managed
successful post-merger integration initiatives.
Led strategy engagements for two major North American airports,
identifying specific ways to improve asset performance and
achieve significant commercial revenue growth opportunities.
Developed intermodal transportation strategy for major investor
in rail, trucking, and maritime transportation.
Re-engineered onboard service procedures to reduce costs and
improve service at major U.S. airline.
For a global maritime shipping company and port operator,
assessed transportation networks and trade growth across
several regions to identify and quantify market growth
opportunities.
Developed trucking operations improvement program for major
U.S. manufacturer--encompassing improved fleet allocation and
network strategies.
Led an initiative to improve supply chain efficiency for a
major U.S. Navy shipbuilding program.
Developed business strategy for space launch vehicle division
of major aerospace systems manufacturer.
Federal Aviation Administration, May 1993-April 1997, Special
Assistant to the Administrator.
Assisted head of FAA in strategic planning and operational
aspects of managing 47,000-person agency, including supporting
successful initiatives to overhaul the agency's personnel and
acquisitions systems.
Coordinated a major agency-wide reorganization that more
clearly defined executive accountability.
Managed outreach on policy decisions to airlines, aerospace
industry, Congress, and government agencies.
Coordinated FAA involvement in major cross-departmental White
House initiatives.
National Railroad Passenger Corporation: Amtrak, Feb. 1989-May
1993, Assistant Director for Pricing and Yield Management.
Directed pricing and inventory control activities for national
railroad.
Managed staff in pricing analysis, yield management, and
operations research to develop targeted pricing strategies to
optimize revenue on a route-by-route basis.
Designed and executed targeted marketing programs, generating
several million dollars in incremental revenue.
Education
Massachusetts Institute of Technology, M.S. Transportation I
Aeronautics, 1987.
Brandeis University, B.A., Economics & Computer Science,
Highest Honors, 1985.
London School of Economics, General Course, Economics and
Transportation, 1983-84.
Additional Experience
Obama for America, April 2007-Nov. 2008.
National Delegate Operations
Managed campaign's national delegate count throughout primary
season and provided analysis and rationale to support
correction of any inaccuracies in media delegate counts.
Built detailed targeting model to identify delegate win
opportunities across congressional districts, territories, and
other sources, and used this analysis to inform resource
allocation.
Advised Director of National Delegate Operations on delegate
tracking and national convention operations.
Iowa Caucus
Developed detailed turnout-tracking systems and forecasting
models to develop earliest estimates of caucus turnout for use
in caucus-night strategy.
Supported development and execution of statewide Boiler Room
operation.
Targeting and Analysis National Boiler Room Operations
Worked with targeting staff for each region to develop and
update statewide turnout forecasts and targets across each
demographic group.
Managed analysis of Early Vote across battleground states to
support resource allocation.
As part of national Boiler Room team, tracked turnout levels
across targeted groups to develop real-time recommendations for
election day resource allocation.
Office of the President-Elect and Vice President-Elect, Dec. 1992-
Jan. 1993.
Member, Clinton-Gore Presidential Transition Team, Transportation
Policy Cluster
Developed strategic recommendations and policy briefings for
incoming U.S. Secretary of Transportation focusing on key
pending issues associated with airline and rail industries.
Senator Inouye. May I now call upon Mr. Joe Szabo?
STATEMENT OF HON. JOSEPH C. SZABO, ADMINISTRATOR-
DESIGNATE, FEDERAL RAILROAD ADMINISTRATION,
DEPARTMENT OF TRANSPORTATION
Mr. Szabo. Thank you, Chairman Inouye, and I would also
like to thank Chairman Rockefeller and Ranking Member Hutchison
for calling this hearing today and, of course, the Members of
the Committee for the privilege of appearing here today.
Certainly also I would like to thank Secretary LaHood for
his trust in offering me an opportunity to serve the
Administration and, of course, to thank Senator Durbin for the
incredibly kind introduction.
As a fifth-generation railroader, it is certainly an honor
to have been nominated by President Obama and have the
opportunity to serve.
And I am especially pleased to have with me members of my
family today, especially my father, who is a 40-year rank-and-
file switchman for the Illinois Central. It is from him that I
inherited my genetic affinity for railroading, as well as for
the Chicago Cubs. It was from my father, as well as my mother,
that I learned the importance of civic duty.
When I hired out on the railroad and first began breaking
in as a railroad switchman, on my very first day it was my
father that was training me out there in that rail yard. And
that is when I learned firsthand the dangers of railroading.
The mission that FRA has is very, very personal for me. I
have had friends and coworkers killed in the line of duty. I
have been on the locomotive when we have been involved in grade
crossing accidents that have caused fatalities to motorists. I
have been the mayor of a community that had two major railroad
yards and so, from a public safety perspective, I understand
the issues of railroading and public safety.
If confirmed, heading FRA would allow me to enforce the
Federal rail safety laws to protect rail workers and enhance
public safety. But equally as important, it would allow me to
help grow an industry that I truly love. It would give me the
opportunity to implement financial assistance programs that
would help both freight and passenger rail and help the
industry prosper. And this, in turn, would improve the mobility
of goods and people, reduce vehicle congestion, and reduce
greenhouse gas emissions.
If confirmed, I will make it a priority to implement the
many new statutory requirements of the Rail Safety Improvement
Act of 2008, and this includes more than 40 rail safety
rulemakings, studies and model State laws. Obviously, it
includes a high priority of this Committee implementing
positive train control on major freight railroads and passenger
railroads no later than the end of 2015. It means implementing
the mandates of hours of service reform passed by this
Committee and, of course, the opportunity for more creative
risk reduction programs.
It also means implementing those statutes and mandates in
the Passenger Rail Investment and Improvement Act of 2008
which, of course, reauthorizes Amtrak for the first time since
1997. It provides capital grants for States, congestion relief
programs, and the development of high-speed rail corridors.
And if those were not enough, add to it the requirements of
the American Recovery and Reinvestment Act of 2009, which
includes the $8 billion in capital grants for high-speed rail.
Truly what we are seeing is a renaissance in rail as part of a
balanced transportation network in our Nation.
If confirmed, it would be my duty to ensure that all of
these programs are carried out effectively, efficiently, and in
a timely and transparent manner. Obviously, the plate is full,
but I truly cannot think of a better time, a more exciting time
to be leading FRA.
I look forward to your questions, comments, and any
guidance that you might provide.
[The prepared statement and biographical information of Mr.
Szabo follows:]
Prepared Statement of Hon. Joseph C. Szabo, Administrator-Designate,
Federal Railroad Administration, Department of Transportation
Chairman Rockefeller, Ranking Member Hutchison, and other Members
of the Committee, thank you for the privilege of appearing before you
today. Thank you, Senator Durbin, for your gracious introduction. I am
honored to have been nominated by President Obama to serve as the
Administrator of the Federal Railroad Administration (FRA), and if I am
confirmed, I will do my best to bring my substantial experience, as a
railroad operating employee, as a union representative of railroad
employees, and as a public servant in my hometown and home state, to
Secretary LaHood's management team at the Department of Transportation.
Today I would like to let you know what my approach would be to serving
as FRA Administrator, if I am confirmed, and then learn from you which
issues and matters you believe are most important for our country's
freight and passenger rail transportation system.
I am excited about the possibility of serving as FRA's
Administrator because of my long, possibly genetic affinity for
railroading and my equally deep-seated desire to make government work
even better for the many dimensions of the public good. I would like to
serve FRA because of what the agency is commissioned to do: to enforce
the Federal railroad safety laws and prescribe new regulations that
will enhance railroad safety; to implement railroad financial
assistance programs to help address the needs of the freight railroads
and stimulate the development of high-speed intercity passenger rail
service; to conduct research and development necessary to improve
railroad safety; and to consolidate government support of rail
transportation activities while ensuring that rail plays a continuing
role in meeting the challenges of moving people and goods safely and
efficiently. Leading such a broad range of missions would be
exhilarating enough, but the prospect of becoming FRA's Administrator
is particularly appealing to me given where the agency stands at this
juncture in time: today it is FRA's job to carry out not only most of
the provisions of two very significant reauthorization statutes enacted
last fall, but also to play a central role in managing historic
investments provided for in this year's economic recovery legislation.
If confirmed, I will make it a priority to implement the many new
statutory measures that Secretary LaHood has assigned to FRA.
With regard to the Rail Safety Improvement Act of 2008, which
became law in October 2008, it would be a special honor to play a role
in its implementation because of my longstanding involvement in rail
safety issues both as an operating employee and as a union
representative of other employees. Despite both recent and long-term
improvements in rail safety, the September 2008 collision between a
commuter train and a freight train in Chatsworth, California,
underscores the clear need to act aggressively for safety in the rail
mode, as well as in the other modes of transportation. As Secretary
LaHood told this Committee in his confirmation hearing, ``safety . . .
has always been and must continue to be the central focus of the
Department of Transportation.'' My understanding is that this new law
mandates more than 40 rail safety rulemakings, studies, and model state
laws. These statutory mandates include a rulemaking to establish the
essential functionalities required for positive train control systems
that the Act requires to be installed on major freight and passenger
railroads by 2015. The Act also improves the statutory protections
afforded by the hours of service laws and, for the first time, grants
the Secretary the authority to set hours of service standards for
passenger train crews. If confirmed, I plan to make the implementation
of these new safety provisions a priority.
The other legislation enacted last fall that is primarily FRA's to
carry out is the Passenger Rail Investment and Improvement Act of 2008.
That Act represents the first reauthorization of Amtrak and rail
passenger programs since 1997, and the most comprehensive Amtrak
legislation in recent decades. The Act authorizes very substantial
levels of funding for Amtrak capital investments, operating expenses,
and repayment of principal and interest on the railroad's long-term
debt. It also authorizes significant new funding programs, including
capital investment grants to States to support improved intercity
passenger rail service, a congestion relief program, and a high-speed
rail corridor development program. Again, if confirmed, I plan to make
the successful implementation of these new provisions a priority.
The last set of legislative mandates that are FRA's responsibility
to carry out were established by the American Recovery and Reinvestment
Act (ARRA) and entail two major types of rail grant programs. One is
funded at $1.3 billion for capital grants to Amtrak, of which $450
million is for security improvements, including life safety
improvements. The other grant program is funded at $8 billion for
capital grants for high-speed rail corridors and intercity passenger
rail service, programs authorized in the Passenger Rail Investment and
Improvement Act of 2008. President Obama has proposed to reshape the
Nation's transportation system by building a world-class network of
high-speed passenger rail corridors to complement our other modes. This
new strategy begins with the $8 billion provided in ARRA and continues
with the President's proposed budget for Fiscal Year 2010, which calls
for a $5-billion, 5-year high-speed rail grant program. I am thrilled
at the possibility of leading FRA's implementation of these programs so
necessary to the restoration and growth of our economy.
Finally, as we look to the next surface transportation
reauthorization, I would, if confirmed, advocate that rail be
considered an integral part of a larger solution for reducing highway
and airway traffic congestion as well as promoting environmental
protection, energy independence, and livable communities. The benefits
of moving passengers and freight by rail can support reductions in
emissions and greenhouse gases while at the same time providing the
much needed capacity enhancements that help to promote improved
mobility and economic growth.
Thank you so much for inviting me to speak with you today. I would
be happy to respond to any questions you may have.
______
a. biographical information
1. Name (Include any former names or nicknames used): Joseph (Joe)
C. Szabo.
2. Position to which nominated: Administrator, Federal Railroad
Administration, United States Department of Transportation.
3. Date of Nomination: 03/26/2009.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: United Transportation Union, 304 Pennsylvania, SE,
Washington, DC 20003.
5. Date and Place of Birth: December 26, 1957; Evergreen Park, Cook
County, IL.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage). None.
7. List all college and graduate degrees. Provide year and school
attended.
Bachelors of Arts, Personnel Management and Labor Relations,
1990, Governors State University.
Associate of Applied Science, Accounting, 1984, South Suburban
College.
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
Management experience as related to each position is highlighted in
italics:
Alternate National Legislative Director, United Transportation
Union, 01/09 to Present: Assist in providing direction to rail
safety and regulatory issues in the United States, as well as
advocacy for improving passenger and freight rail service.
Illinois State Legislative Director, United Transportation
Union, 02/96 to 01/09: Provided direction to rail safety and
regulatory issues in Illinois, as well as advocacy for
improving passenger and freight rail service.
Vice President, Illinois AFL-CIO, 10/06 to Present.
Mayor, Village of Riverdale, 1997-2000: Served as CEO of a
community of approximately 15,000 residents, 90 full-time and
35 part-time employees, and an annual $9 million budget.
Village Trustee, Village of Riverdale, 1987-97: Drafted annual
budgets for the Village and assisted in negotiating labor
contracts from a management perspective.
Train Conductor, Metra/Illinois Central Railroads, 1976-96:
Performed railroad duties as a yard switchman, freight road
trainman, and commuter passenger conductor in accordance with
Federal railroad regulations and operating rules.
9. Attach a copy of your resume. A copy is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last 5 years.
Mayor Emeritus, Village of Riverdale, 11/2000-4/2009.
Federal Railroad Administration, Rail Safety Advisory Committee
(RSAC), 9/2000-2/2009.
State of Illinois, Climate Change Advisory Group, 1/2007-12/
2007.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last 5 years.
Metropolis 2020, Executive Council Member, 2/99 to Present.
Illinois AFL-CIO, Vice President. 10/06 to Present.
Historic Pullman Foundation. Board of Directors. 4/00 to 9/07.
12. Please list each membership you have had during the past 10
years or currently hold with any civic, social. charitable,
educational, political, professional, fraternal, benevolent or
religious organization, private club, or other membership organization.
Include dates of membership and any positions you have held with any
organization. Please note whether any such club or organization
restricts membership on the basis of sex, race, color, religion,
national origin, age, or handicap.
Transportation For Illinois Coalition, Member, 12/07 to
Present, No resrictions.
Dolton Elks, Member 02/88 to 03/01, No restrictions.
Metropolitan Planning Council, Member 02/01 to Present, No
restrictions.
Business Leaders for Transportation, Member 02/20011 to
Present, No restrictions.
Eugene V. Debs Society, Member 11/96 to Present, No
restrictions.
National Association of Railroad Passengers, Member 12/03 to
Present. No restrictions.
AARP, Member, 04/08 to Present, No restrictions.
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt.
Ivanhoe Park Board, Commissioner, 1982-87; no debt.
Candidate for State Representative, Illinois 33rd District,
1984: no debt.
Village Trustee, Village of Riverdale, 1987-97; no debt.
Mayor, Village of Riverdale, 1997-2000; no debt.
14. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past 10 years. Also list all offices you
have held with, and services rendered to, a state or national political
party or election committee during the same period.
As of April 15, 2009:
United Transportation Union PAC
1998--$1,200
1999--$1,200
2000--$1,200
2001--$1,200
2002--$1,200
2003--$1,200
2004--$2,100
2005--$2,400
2006--$2,400
2007--$2,500
2008--$2,400
2009--$600
Friends of Dick Durbin
1996--$1,000
1999--$500
2000--$500
2001--$500
2002--$500
2005--$1,000
2006--$1,000
2007--$1,000
2008--$1,350
John Kerry for President
2004--$1,000
Obama for America
2008--$4,600
Volunteer Work: Knocked on doors in precincts to get
out the vote
Jesse Jackson, Jr. for Congress
1999--$1,000
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
2000, Village of Riverdale Employee of the Year awarded by the
Riverdale Chamber of Commerce.
1999, Golden Eagle Award by the Riverdale Redevelopment
Corporation.
1982, Outstanding Local President by the Illinois Jaycees.
16. Please list each book, article, column, or publication you have
authored, individually or with others. Also list any speeches that you
have given on topics relevant to the position for which you have been
nominated. Do not attach copies of these publications unless otherwise
instructed.
Mayor's Column, Riverdale Review, Quarterly 1997-2000.
State Director's Column, UTU Illini-Line, Irregularly 1996-08.
``U.S. 66 Coal-Mining Town Gets Recognized After 106 Years: The
Battle of Virden at Last Gets Its Monument,'' Route 66
Federation News, Spring 2007.
``Four Miles of Futility: How Railroad Improvements Can Solve
Chicago's Highway Congestion Problems,'' Speech to the Council
of Mayors--Chicago Area Transportation Study, April 29, 2003.
``CREATE: Improvements to Chicago's Rail Infrastructure,''
Speech to the UTU Tri-State Rail Conference, June 4, 2004.
``California's Passenger Rail Success Story,'' Speech to
Illinois Municipal League Rail Workshop, September 24, 2005.
17. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony.
Testified before the House Transportation & Infrastructure
Subcommittee on Railroads, April 25, 2001, in support of H.R. 1020 the
Railroad Track Modernization Act of 2001.
18. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
I bring a blend of hands-on experience in governmental management,
railroad safety, passenger and freight rail advocacy and practical
railroad operating experience. My goal is to apply the full spectrum of
my experience toward carrying out the President's stated policies for
rail development and safety.
19. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting,
controls, and what experience do you have in managing a large
organization?
The agency must follow all applicable regulations governing
financial and accounting matters and he responsible in all
expenditures--they must return value. I am quite conscious of my
fiduciary responsibility due to my experience as the Mayor of Riverdale
where I confronted these issues on a daily basis. As a result of my
years in managing local government and managing people, I have learned
how to effectively set direction and utilize delegation to allow staff
to perform to the best of their capabilities. I will be responsive to
the direction and oversight of Congress and the Senate Commerce
Committee in executing my duties.
20. What do you believe to be the top three challenges facing the
department/agency and why?
Implementing provisions of the Rail Safety Improvement Act of 2008,
the Passenger Rail Investment Act of 2008, and the American Recovery
and Reinvestment Act of 2009. FRA is a relatively small agency that has
3 significant pieces of legislation to deal with in a cost effective
and timely manner. There are several complex regulatory issues that
will have a profound effect on the safety of our Nation's railroads as
well as statutory deadlines for completing this important work. Just as
important is FRA's ability to shape the future high-speed rail
opportunities that are a centerpiece to the Recovery and Reinvestment
Act and included in President Obama's 2010 budget as a Presidential
initiative. This is both a challenging and exciting time for FRA.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
I have a pension with the United Transportation Union.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain: None.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will be resolved in accordance with the
terms of an ethics agreement that I have entered into with the
Department's designated agency ethics official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last 10 years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will be resolved in accordance with the
terms of an ethics agreement that I have entered into with the
Department's designated agency ethics official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
5. Describe any activity during the past 10 years in which you have
been engaged for the purpose of directly or indirectly influencing the
passage, defeat, or modification of any legislation or affecting the
administration and execution of law or public policy.
As Alternate National Legislative Director for the United
Transportation Union I assist in providing direction to rail safety and
regulatory issues in the United States, as well as advocate for
improving passenger and freight rail service.
As State Legislative Director for the United Transportation Union,
and Vice President for the Illinois AFL-CIO, I have been involved in
advocating for rail safety legislation in Illinois, and passenger and
freight rail advocacy. This included the passage of a state statute for
railroad crew van safety standards; railroad walkway safety standards;
trauma counseling for rail workers involved in serious incidents;
prohibition of rail carriers from delaying, denying or interfering with
the medical treatment of injured workers; and amendments to the
Railroad Police Act to provide objective oversight. I also worked to
increase state and Federal funding for freight, commuter, and intercity
passenger rail service, and for modifications to the Federal Railroad
Retirement system. I also discussed with Congressional staff the
language regarding delaying, denying or interfering with the medical
treatment of injured rail workers in S. 1889, Rail Safety Enhancement
Act of 2007 and had a limited role in its passage.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will he resolved in accordance with the
terms of an ethics agreement that I have entered into with the
Department's designated agency ethics official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics
by, or been the subject of a complaint to any court, administrative
agency, professional association, disciplinary committee, or other
professional group? If so, please explain: No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain.
May 1976, I was arrested in Macomb, Illinois, for attempting to use
a false I.D. to purchase beer. I was 18 and the drinking age at the
time for beer and wine was 19. The charges were dropped.
3. Have you or any business of which you are or were an officer
ever been involved as a party in an administrative agency proceeding or
civil litigation? If so, please explain.
I have not personally been named in any administrative agency
proceeding or civil litigation. As State Legislative Director for the
United Transportation Union, I have signed rail safety complaints on
behalf of the union and its members that were adjudicated before an
Administrative Law Judge of the Illinois Commerce Commission and have
occasionally testified at the hearings.
While Mayor, the Village of Riverdale was party to a number of
lawsuits. To my knowledge I was not personally named in any of those
lawsuits.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain: No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain: No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should he disclosed in
connection with your nomination. None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by Congressional committees? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect Congressional witnesses and whistle blowers from reprisal
for their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
Are you willing to appear and testify before any duly constituted
committee of the Congress on such occasions as you may be reasonably
requested to do so? Yes.
______
resume of joseph c. szabo
Seeking the position of Administrator, Federal Railroad
Administration
Summary of Qualifications
Broad experience in railroad safety and development. Proven success
in drafting and enactment of state rail safety laws and contributing to
the adoption of Federal regulations. Experience in implementing state
supported rail service and expanding rail service to populations in
need. Experience in managing budgets and working with state and local
elected officials, as well as Members of Congress.
Professional Highlights
United Transportation Union, 1996-present, Alternate National
Legislative Director.
From January 2009 to present, assisted the National Legislative
Director with rail safety and regulatory issues, and provided
leadership and direction for UTU State Legislative Directors.
Illinois State Legislative Director.
From 1996 to 2009, provided vision and direction to rail safety
and regulatory issues in Illinois, drafted safety laws and
regulations, and prepared and delivered testimony before
Illinois House and Senate Committees on rail safety issues.
Served on the Federal Railroad Administration's Rail Safety
Advisory Committee participating in the development of Federal
regulations on rail safety. Provided advocacy for improving
passenger and freight rail service in Illinois.
Key Contributions:
Provided leadership to the coalition that doubled intercity
passenger rail service in Illinois, creating the Nation's
second largest state-sponsored passenger rail program.
Provided state-wide vision as co-chairman of the Freight Rail
Subcommittee for Illinois Governor Rod Blagojevich's 2002
Transition Team.
Contributed practical rail safety insight as a national United
Transportation Union representative for the Federal Railroad
Administration's Rail Safety Advisory Committee regulatory
efforts covering Operating Rules, Locomotive Safety Standards,
Passenger Safety, and Medical Standards.
Drafted and coordinated enactment into state law key safety
legislation to provide injured rail employees prompt medical
treatment, and which language was adopted in the Federal Rail
Safety Improvement Act of 2008.
Strategically led one of three coalitions that modernized the
Illinois Railroad Facilities Code.
Prepared language and led discussions with the rail industry
for agreed-to regulatory language for walkway safety standards
in Illinois.
Drafted and coordinated enactment into Illinois law crew van
safety standards, hours of service for crew van drivers and
inspection requirements for crew vans.
Provided training to United Transportation Union staff on
Effective Workplace Safety Programs; developed in partnership
with the University of Illinois a training module on Effective
Documentation and Writing.
Village of Riverdale, 1987-2000, Mayor.
From 1997-2000, elected to serve as Chief Executive Officer of
a community of approximately 15,000 residents, 90 full-time and
35 part-time employees, and an annual $9 million budget.
Village Trustee.
From 1987-1997, elected to serve as a member of the Village
Board, chairing Finance, Personnel, and Economic Development
Committees. Reviewed and adopted ordinances and policies.
Drafted annual budgets and served on labor contract negotiating
committees. Acted as Mayor pro tempore in absence of the Mayor.
Key Contributions:
Provided regional leadership as member of the Executive Board
of the South Suburban Mayors and Managers Association (SSMMA)
and expertise in freight and passenger rail issues as a member
of the SSMMA Transportation Committee.
Provided expertise on commuter and freight rail matters as
Member and Vice Chairman of the Executive Committee of the
Chicago Area Transportation Study.
In conjunction with the Chicago Area Transportation Study,
assisted the Federal Railroad Administration in grade-crossing
safety discussions with communities across Chicago metro
region.
Initiated Reinvestment in Riverdale program to acquire eyesore
properties, revitalize decaying neighborhoods. and institute
principles of Transit Oriented Development.
Through careful budgeting and cost containment, eliminated an
accumulated deficit in the Village General Fund.
Achieved Certificate of Excellence in Financial Reporting from
the international Government Finance Officers Association six
consecutive years.
In an effort to address diversity in the Riverdale Police and
Fire Departments and ensure ethical enforcement of laws,
partnered with Operation PUSH, the local NAACP, and
neighborhood churches to create the Citizens Policy Review
Committee.
Developed a sense of volunteerism and ensured strict community
standards by involving residents as volunteer property
maintenance code inspectors and also in the Community Awareness
Policing Academy.
Provided vision to the region as Riverdale's member on the
Board of Directors of the Calumet Region Enterprise Zone.
Other Positions
Vice President, Illinois AFL-CIO, 2006-present.
Executive Council, Chicago Metropolis 2020, 1998-present.
Focusing on regional issues of Education, Economic Development,
Governance, Land Use and Housing, Transportation and Taxation.
Train Conductor, Metra/Illinois Central Railroads, 1976-1996.
Performed railroad duties as a yard switchman, freight road
trainman, and commuter passenger conductor in accordance with
Federal railroad regulations and operating rules for the
Illinois Central Railroad from 1976 to 1987, and Metra from
1987 to 1996. Served as a member of the Metra Labor-Management
System Safety Oversight Committee.
Commissioner, Ivanhoe Park District, 1982-1987.
Riverdale Zoning Board of Appeals, 1980-1985.
Served as Chairman, 1982-1985.
Education
Governors State University
Bachelors of Arts, Personnel Management and Labor Relations,
1991.
Candidate for Masters in Public Administration, 2002-2004.
South Suburban College
Associate of Applied Science, Accounting, 1984.
University of Wisconsin--Extension
Continuing Education Units, Land Use Management and
Administration, 1983 and 1984.
Senator Inouye. I thank you very much, Mr. Szabo.
And now may I call upon Mr. Dana Gresham. Mr. Gresham?
STATEMENT OF DANA G. GRESHAM, ASSISTANT SECRETARY-DESIGNATE OF
TRANSPORTATION FOR GOVERNMENTAL
AFFAIRS, DEPARTMENT OF TRANSPORTATION
Mr. Gresham. Mr. Chairman, with your permission, I would
like to summarize my remarks and ask that my full statement be
entered into the record.
Senator Inouye. Without objection, so ordered.
Mr. Gresham. Thank you, Mr. Chairman.
Mr. Chairman and members of the Committee, thank you for
the opportunity to appear before you today to discuss my
nomination for the position of Assistant Secretary for
Governmental Affairs at the Department of Transportation. I am
deeply honored to be here as President Obama's nominee for this
important position, and I am also grateful for Secretary
LaHood's support of my nomination.
In addition, I would like to thank my wife, Kathy, who is
here with me today--stand up, Kathy--for all of her support
throughout this process.
Mr. Chairman, this is an extraordinary moment in our
Nation's history. While there is no doubt that we are faced
with enormous challenges, we are also presented with enormous
opportunities to improve the lives of our fellow citizens. This
is particularly the case in matters related to transportation.
In the coming months, the Department and the Congress will have
an opportunity to work together on many important initiatives,
including both the aviation and surface reauthorization bills.
As work begins in earnest on these and other major
initiatives, it is critically important that there be clear and
open lines of communication between the Department and
Congress. Indeed, in his testimony before this very committee,
Secretary LaHood made a commitment to be available to you and
to be receptive to your ideas and input.
Mr. Chairman, I share Secretary LaHood's commitment. If
confirmed, I will work diligently to ensure that we are
responsive and available to you and that your voices are heard
within the Department, that we effectively communicate the
Department's efforts to implement the legislative mandates
passed by the Congress and signed into law by the President,
and that we work closely with the modal administrations
throughout the Department and the White House to ensure that
the Department is not only speaking with one voice to Congress,
but also to State and local elected officials, other Federal
agencies, and all of the relevant transportation stakeholders.
Mr. Chairman, Ranking Member Hutchison, and members of the
Committee, it is an honor and a privilege to appear before you
today. Should I be confirmed, please know that I will always be
available to answer your questions and will maintain an open
line of communication with you. Thank you for your
consideration of my nomination. I will be pleased to answer
your questions.
[The prepared statement and biographical information of Mr.
Gresham follows:]
Prepared Statement of Dana G. Gresham, Assistant Secretary-Designate of
Transportation for Governmental Affairs, Department of Transportation
Chairman Rockefeller, Ranking Member Hutchison, and distinguished
Members of the Committee, thank you for the opportunity to appear
before you today to discuss my nomination for the position of Assistant
Secretary for Governmental Affairs at the Department of Transportation.
I am deeply honored to be here as President Obama's nominee for this
important position. I am also grateful for Secretary LaHood's support
of my nomination.
In addition, I would be remiss if I did not thank my wife for her
patience and steadfast support as I have continued to pursue a career
of public service.
Mr. Chairman, this is an extraordinary moment in our Nation's
history. While there is no doubt that we are faced with enormous
challenges, we are also presented with enormous opportunities to
improve the lives of our fellow citizens. This is particularly the case
in matters related to transportation. Indeed, already the
Administration and Congress have come together to pass an Economic
Recovery bill that is creating jobs and spurring additional investment
in transportation infrastructure in every region of the country. In
addition, in the coming months, the Department of Transportation and
the Congress will have an opportunity to improve communities throughout
the country for years to come by working together to reauthorize both
the aviation and surface authorization bills.
As the Congress and the Department work together on these major
initiatives, it is critically important that there be clear and open
lines of communication. In his testimony before this very committee,
Secretary LaHood made a commitment to be available to you and receptive
to you and your colleagues' ideas and input. As the nominee for the
position of Assistant Secretary of Governmental Affairs, I share
Secretary LaHood's commitment. If confirmed, I will work diligently to
ensure that the Department is responsive and available to you and your
staff and that your voices are heard within the Department.
Mr. Chairman, as you know, I am a product of the House of
Representatives. Over the course of more than 14 years, I've worked for
three different Members of Congress, starting as a Staff Assistant and
culminating as a Chief of Staff. My experience working on
transportation issues for these Members has given me a great affinity
for Congress as an institution. If confirmed, I intend to make sure
that the Office of Governmental Affairs responds quickly and accurately
to your inquiries; that we effectively communicate the Department's
efforts to implement the legislative mandates passed by the Congress
and signed into law by the President; and that we work closely with the
modal administrations throughout the Department and the White House to
ensure that the Department is not only speaking with one voice to the
Congress, but also to state and local elected officials, other Federal
agencies, and all the relevant transportation stakeholders.
Mr. Chairman, Members of the Committee, it is an honor and a
privilege to appear before you today. I am profoundly grateful for this
opportunity to serve alongside such a respected public servant as
Secretary LaHood and his entire team at the Department. Should I be
confirmed, please know that I will always be available to answer your
questions and will maintain an open line of communication with you. I
look forward to working closely with you and your staff to move our
Nation's transportation agenda forward.
Thank you for your consideration of my nomination. I would be
pleased to answer your questions.
______
a. biographical information
1. Name (Include any former names or nicknames used): Dana Grant
Gresham.
2. Position to which nominated: Assistant Secretary for
Governmental Affairs, United States Department of Transportation.
3. Date of Nomination: March 10, 2009.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
5. Date and Place of Birth: August 12, 1971; Birmingham, Alabama.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Spouse: Kathryn Shelton Gresham, Trial Attorney, U.S.
Department of Transportation; child: Justin Nathaniel Gresham--
Age 2.
7. List all college and graduate degrees. Provide year and school
attended.
B.S., Foreign Service--Georgetown University, 1994.
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
Summer 1994--Temporary Employee.
Washington, D.C. based Temporary Employee Placement Firm.
September 1994 to July 1997--Office of Representative Eva
Clayton.
Positions held: Staff Assistant and Legislative Assistant.
Relevant experience: As Legislative Assistant, I handled
transportation issues during the reauthorization of the
Intermodal Surface Transportation and Equity Act (ISTEA).
July 1997 to December 2002--Office of Representative Bud
Cramer.
Positions held: Legislative Assistant and Legislative Director.
Managerial experience: As Legislative Director, I gave
legislative and strategic guidance to staff.
Relevant experience: During my tenure in the office, Rep.
Cramer was a Member of the Transportation and Infrastructure
Committee as well as a Member of the House Appropriations
Committee. As a Legislative Assistant and then Legislative
Director, I handled his transportation authorization committee
work and then his transportation appropriations committee work.
January 2003 to January 2009--Office of Representative Artur
Davis.
Positions held: Chief of Staff and Senior Advisor.
Managerial experience: As Chief of Staff, I was the direct
supervisor of staff in the Washington, D.C. office and
exercised general oversight over the District office staff. I
also managed a budget of approximately $1.3 million.
November 2008 to January 2009--Presidential Transition Team.
Positions held: Liaison, Congressional Relations staff and
Legislative Liaison, Department of Transportation Secretary
Designate Confirmation Team.
9. Attach a copy of your resume. A copy is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last 5 years. None.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last 5 years.
Member, DKG Associates, LLC--October 2004 to November 2005.
12. Please list each membership you have had during the past 10
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religious organization, private club, or other membership organization.
Include dates of membership and any positions you have held with any
organization. Please note whether any such club or organization
restricts membership on the basis of sex, race, color, religion,
national origin, age, or handicap.
Congressional Black Associates (CBA)
Member, 1995 to 2000; 2004 to 2005; 2007 to 2008 (est.)
Chair, Membership Committee, 1996.
President, 1997.
(No restrictions on Membership based on sex, race,
color, religion, national origin, age or handicap).
Alpha Phi Alpha Fraternity, Inc.
Member, 1997 to Present.
(No restrictions on Membership based on sex, race,
color, religion, national origin, age or handicap).
Emerging Leaders Institute
Member, 1997 to 1998.
(No restrictions on Membership based on sex, race,
color, religion, national origin, age or handicap).
House Chiefs of Staff Association
Member, 2003 to 2006 (est.)
(No restrictions on Membership based on sex, race,
color, religion, national origin, age or handicap).
Congressional Legislative Staff Association
Member 1996 to 1998 (est.)
(No restrictions on Membership based on sex, race,
color, religion, national origin, age or handicap).
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt. No.
14. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past 10 years. Also list all offices you
have held with, and services rendered to, a state or national political
party or election committee during the same period. None.
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements. None.
16. Please list each book, article, column, or publication you have
authored, individually or with others. Also list any speeches that you
have given on topics relevant to the position for which you have been
nominated. Do not attach copies of these publications unless otherwise
instructed. None.
17. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony. None.
18. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
I believe my 14 years of experience working on Capitol Hill for
three Members of the House of Representatives affirmatively qualifies
me to be Assistant Secretary for Governmental Affairs. Over the course
of this period, I've served in almost every legislative position there
is to serve in a Member's personal congressional office, beginning my
career on the Hill as a Staff Assistant for Representative Eva Clayton
and culminating as Chief of Staff for Representative Artur Davis.
Throughout my tenure on the Hill, I've worked on transportation
issues. In particular, first as a Legislative Assistant and then as the
Legislative Director for Representative Bud Cramer, I worked on
transportation issues from both the authorization and the
appropriations standpoint. In these capacities, I served as
Representative Cramer's primary transportation staffer when he was a
Member of the House Transportation and Infrastructure Committee and
then later when he moved to the House Appropriations Committee,
initially serving on the Transportation Appropriations Subcommittee. As
Chief of Staff to Representative Artur Davis, a position I held for
nearly 6 years, I maintained my substantive involvement with
transportation issues while taking on a much broader managerial and
policy portfolio. As such, I managed a budget of approximately $1.3
million and directly supervised a staff of seven in the D.C. Office,
while exercising general oversight over an average of eleven District
employees spread across five District Offices. Moreover, as Chief of
Staff to a Member who served in a leadership position with the New
Democrat Coalition (NDC), while also being a Member of the
Congressional Black Caucus (CBC), I worked closely with the Leadership
of the House of Representatives and the various organized caucuses
within the Democratic Caucus (i.e., the CBC, the New Dems, and the Blue
Dogs).
Over the course of a 14-year career on the Hill, I believe I have
developed strong relationships with key institutional players and
decisionmakers both on and off of the Hill. Consequently, I will bring
to the job a broad and sophisticated knowledge of the legislative
process and an understanding of the connection between policy and
politics that drive decision-making on Capitol Hill. These qualities
and experiences, I believe, make me qualified for the position to which
I've been nominated.
19.What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
As I understand the position, my primary responsibilities will be
to: (1) supervise and coordinate all legislative and non-legislative
matters between the Department and Congress; (2) Serve as the liaison
with state and local elected officials, as well as the local and state
transportation planning organizations; and (3) coordinate activities
with other Federal Agencies, as necessary.
I have 6 years of managerial experience serving as Chief-of-Staff
to Representative Artur Davis with the responsibility of managing a
staff of almost 20 employees and a budget of approximately $1.3
million.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
I believe the top three challenges facing the Department today are:
1. Improving transportation safety. This is an on-going
Departmental responsibility and one of the Department's highest
priorities. Making sure that Americans are safe, whether on the
roads, the rails, or in the air must continue to be a central
guiding principal for the Department. Technological advancement
must be a key component of this mission. In this regard, the
implementation of the FAA's NextGen system is essential;
2. The Department must ensure that the economic recovery funds
are being monitored and used efficiently and effectively; and
3. It is critical to our Nation's infrastructure and overall
economy that the Administration work with Congress to pass both
the aviation and surface reauthorization bills this Congress.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
I have no financial arrangements, deferred compensation agreements,
or other continuing dealings with business associates, clients, or
customer. My only retirement account is the Federal Government's Thrift
Savings Plan.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain: No.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated: None.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last 10 years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated: None.
5. Describe any activity during the past 10 years in which you have
been engaged for the purpose of directly or indirectly influencing the
passage, defeat, or modification of any legislation or affecting the
administration and execution of law or public policy.
Over the course of the past 10 years, I have served in senior
legislative positions for two Members of Congress. I served as
Legislative Director for Congressman Bud Cramer from 1999-2002. In
addition, I served as Chief of Staff and Senior Advisor for Congressman
Artur Davis from 2003-2009. I was directly involved in drafting
legislation and devising a legislative strategy to get legislation
passed to further my Office's legislative agenda. This includes being
actively involved in transportation legislation.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
Should any conflict of interest arise, I will immediately recuse
myself from all activities concerning that conflict.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics
by, or been the subject of a complaint to any court, administrative
agency, professional association, disciplinary committee, or other
professional group? If so, please explain: No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain: No.
3. Have you or any business of which you are or were an officer
ever been involved as a party in an administrative agency proceeding or
civil litigation? If so, please explain: No.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain: No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain: No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination: None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by Congressional committees? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect Congressional witnesses and whistle blowers from reprisal
for their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
resume of dana g. gresham
Professional Experience
Obama-Biden Presidential Transition Team, Washington, D.C.;
Congressional Relations Team, November 2008-January 2009.
Served as the Legislative Liaison on the Confirmation Team for
the Department of Transportation Secretary Designate,
Congressman Ray LaHood. In this capacity, helped to
successfully guide Secretary Designate LaHood through the
Senate Confirmation process.
Primary liaison within the Transition Team for the following
Committees of the U.S. House of Representatives:
Transportation, Judiciary Science, and Agriculture. This
entailed coordinating and attending meetings between the
leadership of these four committees and the members of the
Agency Review Teams within the Transition in order to identify
legislative and regulatory issues to be addressed by the Obama
Administration.
Office of Representative Artur Davis (AL-7), Washington, D.C.;
Senior Advisor, November 2008-January 2009; Chief of Staff, January
2003-November 2008.
Primary political and policy advisor to Member of Ways and
Means.
Served as lead staffer for Member in his role as Vice Chair of
the New Democrat Coalition. In this capacity, helped guide
overall legislative and political direction of the coalition.
This included working closely with the House Democratic
Leadership to further the legislative agenda of the coalition.
Staffed Member in his role as Recruitment Committee Chair and
Co-Chair of the Red to Blue Program of the Democratic
Congressional Campaign Committee.
Developed and maintained relationships with outside interest
groups and coalitions, as well as internal Democratic Caucus
groups in order to fulfill Member's legislative and political
agendas.
Developed overall legislative agenda, provided broad strategic
counsel, and coordinated all activities of the legislative
staff, with emphasis placed on legislative activities Member's
committee assignments.
Oversaw all legislative matters related to Transportation
issues and the Appropriations process.
Directly supervised 7 employees in the Washington, D.C. Office
and exercised general oversight over ii employees in 5 District
Offices. Responsibilities included, planning and executing $1.3
million annual budget.
Office of Representative Bud Cramer (AL-5), Washington, D.C.;
Legislative Director, May 1999-December 2002.
Primary legislative advisor to a Founding Member of the Blue
Dog Coalition.
Exercised general oversight over all legislative activities
within Congressional Office. This included developing and
implementing legislative strategy as it relates to assignment
on the House Appropriations Committee and pursuing funding for
Alabama specific projects in the various Appropriations
Subcommittees--specifically Transportation, and VA-HUD.
Legislative Assistant, June 1997-May 1999.
Performed duties related to Member's assignment on
Appropriations Subcommittee on Transportation, including but
not limited to, securing funding for District specific projects
in DOT budget accounts. In the absence of earmarks, developed
directive report and bill language, and crafted committee
amendments as necessary.
Exercised primary responsibility over several legislative
issues, including Transportation. In particular, managed
transportation issues while Member was on the Transportation
and Infrastructure Committee.
Office of Representative Eva Clayton (NC-1), Washington, D.C.;
Legislative Assistant, October 1995-June 1997.
Researched, analyzed, and summarized legislation pertaining to
Small Business Committee with a special emphasis on minority
business development and the SBA's 8(a) program.
Managed Member's transportation legislative issues during the
reauthorization of the ISTEA legislation.
Staff Assistant, September 1994-October 1995.
Education
Georgetown University, Washington, D.C., Bachelor of Science in
Foreign Service, May 1994.
Major: International Politics with a concentration in Diplomacy
and International Security.
Affiliations
Member and Past President, Congressional Black Associates
(CBA).
Member, Alpha Phi Alpha Fraternity, Incorporated.
Senator Inouye. Thank you very much and congratulations.
May I now call upon Mr. Robert Rivkin?
STATEMENT OF ROBERT S. RIVKIN,
GENERAL COUNSEL-DESIGNATE,
DEPARTMENT OF TRANSPORTATION
Mr. Rivkin. Thank you, Chairman Inouye, Ranking Member
Hutchison, and Members of the Committee. I am proud to appear
before you today as President Obama's nominee to serve as
General Counsel of the Department of Transportation. I deeply
appreciate, as do my colleagues, Secretary LaHood's confidence
in my ability to assist him, if confirmed, with the exciting
challenges and opportunities facing our Nation's transportation
system.
I would also like to thank Senator Durbin for taking the
time out of his busy schedule to introduce me to the Committee
today.
I would like to introduce my wife, Cindy Moelis, who is
here to support me today. Our three children, Stephanie,
Claire, and Alexander Rivkin, are at school back in Chicago and
could not be here today.
Transportation is the lifeblood of our economy, the
foundation for economic development and job growth, and the tie
that binds our communities. It is fundamental to farmers and
manufacturers who ship their goods to markets around the world,
as well as to urban families trying to get their kids to
school, parents to work, grandparents to doctors' appointments.
Helping move people and goods affordably, efficiently,
sustainably, and most important, safely is at the core of our
national transportation policy.
More than any time in recent memory, this moment offers the
opportunity to return our roads, bridges, and rails to a state
of good repair, to bring our aviation system into the 21st
century, to rediscover, reinvigorate, and reinvent freight and
passenger rail, to better utilize and integrate our maritime
assets, and to more tightly knit our transportation resources
into a system that is defined not by its modes, but by its
contribution to our economy, our environment, and our quality
of life.
If confirmed, members of the Committee, I will do my very
best to bring the skills I developed as a lawyer in private
practice, a Federal prosecutor, a municipal legal policy
director, the general counsel of our Nation's second largest
transit system, and a legal executive at a multinational
financial services company to provide the very highest quality
legal advice and representation to the Department of
Transportation. I will address Congressional mandates
expeditiously, work to harmonize the efforts of DOT's operating
administrations, seek creative solutions to complex problems,
listen thoughtfully to the ideas and concerns of others, and
work closely with the Congress, the EPA, HUD, DHS, Energy,
Commerce, and other Departments of Government to implement the
transportation policy goals of this Administration.
If I am entrusted with the position of DOT General Counsel,
I will look forward to working closely with the members of this
Committee and their staffs, as well as engaging all
stakeholders in respectful consultation about the challenges we
face together in the spirit of openness and fairness that is
the hallmark of Secretary LaHood's leadership.
As Senator Durbin mentioned, I was raised in a family that
honored public service, accounting in part for my having left
the private sector on prior occasions to work in government. I
believe that the mission of the Department of Transportation is
crucial to the economic vitality, environment, and safety of
our country, and the opportunity to serve as its chief legal
officer would be the highest honor of my career.
Thank you very much.
[The prepared statement and biographical information of Mr.
Rivkin follows:]
Prepared Statement of Robert S. Rivkin, General Counsel-Designate,
Department of Transportation
Thank you, Chairman Rockefeller, Ranking Member Hutchison, and
Members of the Committee.
I am proud to appear before you today as President Obama's nominee
to serve as General Counsel of the Department of Transportation. I
deeply appreciate Secretary LaHood's confidence in my ability to assist
him, if confirmed, with the exciting challenges and opportunities
facing our Nation's transportation system.
I'd like to thank Senator Durbin for taking the time out of his
busy schedule to introduce me to the Committee today. I'd also like to
introduce my wife, Cindy Moelis. Our three children, Stephanie, Claire
and Alexander Rivkin, are at school back in Chicago and couldn't be
here today.
Transportation is the lifeblood of our economy, the foundation for
economic development and job growth, and the tie that binds our
communities. It is fundamental to farmers and manufacturers who ship
their goods to markets around the world. It remains crucial to urban
families trying to get their kids to school, themselves to work, their
parents to doctor's appointments. Helping move people and goods
affordably, efficiently, sustainably and--most important--safely is the
core of our national transportation policy. More than any time in
recent memory, this moment offers the opportunity to return our roads,
bridges and rails to a state of good repair; to bring our aviation
system into the 21st century; to rediscover, reinvigorate, and reinvent
freight and passenger rail; to better utilize our maritime resources;
and to more tightly knit our transportation resources into a system
that is defined not by its ``modes,'' but by its contribution to our
economy, our environment and our quality of life.
If confirmed, I will do my very best to bring the skills I have
developed as a lawyer in private practice, a Federal prosecutor, a
municipal legal policy director, the general counsel of our Nation's
second largest transit system and a legal executive at a multinational
financial services company to provide the highest quality legal advice
and representation to the Department of Transportation. I will address
Congressional mandates expeditiously, work to harmonize the efforts of
DOT's operating administrations, seek creative solutions to complex
problems, listen thoughtfully to the ideas and concerns of others, and
work closely with the Congress, the EPA, HUD, DHS and other departments
of government to develop and implement the transportation policy goals
of this Administration.
If I am entrusted with the position of DOT General Counsel, I will
look forward to working closely with the members of this Committee and
their staffs, as well as engaging all stakeholders in respectful
consultation about the challenges we face together, in the spirit of
openness and fairness that is the hallmark of Secretary LaHood's
leadership.
I was raised in a family that honored public service, accounting in
part for my having left the private sector on prior occasions to work
in government. I believe that the mission of the Department of
Transportation is crucial to the economic vitality, environment and
safety of our country, and the opportunity to serve as its chief legal
officer would be the highest honor of my career.
______
a. biographical information
1. Name (Include any former names or nicknames used):
Robert Samuel Rivkin (Bob).
2. Position to which nominated: General Counsel of the Department
of Transportation.
3. Date of Nomination: 4/20/09.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: 200 E. Randolph, 8th Floor, Chicago, IL 60601.
5. Date and Place of Birth: December 6, 1960 at Highland Park,
Illinois.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Spouse: Cindy S. Moelis, Director, White House Fellows Program
(as of 4/13/09); children: Stephanie Moelis Rivkin, 18; Claire
Welk Rivkin, 13; Alexander Moelis Rivkin, 11.
7. List all college and graduate degrees. Provide year and school
attended.
Harvard College, A.B., 1982.
Stanford Law School, J.D., 1987.
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated. (* denotes management
position)
9/82-6/83, Paralegal at Sidley & Austin, London, England.
12/82-6/83, Aide to Member of Parliament Greville Janner,
London, England.
2184-8184, Intern at the European Commission, Brussels,
Belgium.
6/85-8/85, Summer Associate at Mayer Brown & Platt, Chicago.
6/86-8/86, Summer Associate at Cleary Gottlieb Steen &
Hamilton, New York & Paris, France.
9/86-1/87, Law Student Intern (unpaid), Public Defender
Service, Washington, D.C.
6/87-8/87, Summer Associate at Jenner & Block, Chicago.
9/87-9/88, Law Clerk to Joel M. Flaum, U.S. Court of Appeals
for the 7th Circuit, Chicago.
10/88-4/89, Associate, Sachnoff Weaver & Rubenstein, Chicago.
4/89-10/94, Assistant U.S. Attorney, Northern District of
Illinois, Chicago.
10/94-1/97, Director of Programs and Policy, City of Chicago
Department of Law.
1/97-4/98, Issues Director, John Schmidt for Governor.
7/98-4/01, Partner, Schiff Hardin & Waite, Chicago.
4/01-2/04, General Counsel, Chicago Transit Authority.*
2/04-Present, Vice President & Deputy General Counsel, Aon
Corporation, Chicago.*
9. Attach a copy of your resume. A copy is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last 5 years: None.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last 5 years.
Vice President and Deputy General Counsel--Aon Corporation, 2/04 to
present.
12. Please list each membership you have had during the past 10
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religious organization, private club, or other membership organization.
Include dates of membership and any positions you have held with any
organization. Please note whether any such club or organization
restricts membership on the basis of sex, race, color, religion,
national origin, age, or handicap.
Director, Harvard Club of Chicago. approx. 1992 to 2008, and
Regional Director of the Harvard Alumni Association, 2001-2004.
Director, City Year Chicago, 2007-present.
Director, Leadership Greater Chicago, 2005-present.
Director, Illinois Chamber of Commerce, 2005-present.
Board of Governors (2008-present), Transportation Committee
(approx. 2002-2008) and Business Leaders for Transportation
(approx. 2000-2004), all of the Metropolitan Planning Council,
Chicago.
Chicago Council on Global Affairs, President's Circle (and
predecessor committees) and 1999 Young Leader, 1999-present.
Chicago Inn of Court, 2002-present.
Economic Club of Chicago, 2005-present.
Standard Club, Chicago, approx. 1999-present.
Chicago Bar Association, 1998-2007.
American Bar Association, 1998-present.
International Bar Association, 2007-2008.
Personal PAC, 1998-2003.
Temple Sholom, approx. 1998-present.
None of these organizations restricts membership on the basis
of sex, race, color, religion, national origin, ace, or
handicap.
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? No. If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt: Not applicable.
14.Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past 10 years. Also list all offices you
have held with, and services rendered to, a state or national political
party or election committee during the same period.
7/14/99, $1,200 in-kind contribution (week at vacation home) to
Personal PAC.
10/6/99, $500 to Obama for Congress 2000.
12/8/99, $500 to Obama for Congress 2000.
10/11/00, $500 to Personal PAC.
6/6/01, $500 to John Schmidt for Attorney General.
7/13/01, $500 to Personal PAC.
11/8/01, $500 to Personal PAC.
1/11/02, $500 to John Schmidt for Attorney General.
9/3/02, $600 in-kind contribution (food) to Lisa Madigan for
Attorney General.
10/3/02, $500 to Personal PAC.
12/23/02, $1,000 to Friends of Barack Obama.
12/22/03, $1,000 to Friends of Barack Obama.
1/16/04, $500 to John Kerry for President, Inc.
6/18/04, $2,000 to Obama for Illinois, Inc.
8/6/04, $1,000 to Kerry Victory 2004.
5/17/05, $1,000 to Obama for Illinois Inc.
1/27/06, $500 to Citizens for Claypool.
1/27/06, $500 to Friends of Eisendrath.
10/19/06, $500 to Friends of Dick Durbin Committee.
1/16/07, $2,100 to Obama for America.
8/24/07, $500 to Markell for Delaware.
9/28/07, $500 to Melissa Bean for Congress.
10/26/07, $500 to Citizens for James M. Houlihan.
7/22/08, $500 to Markell for Delaware.
9/25/08, $2,300 to Obama for America.
Obama for America, National Finance Committee Member, 2007-
2008; Policy Coordinator--helped Policy Director set up
volunteer policy committees, spring 2007; Transportation Policy
Committee Convenor, 2007-2008; Department of Transportation
agency review team. September-October 2008; Canvassing and GOTV
efforts in Iowa, Nevada, Ohio, Pennsylvania, Indiana, Michigan.
Democratic National Convention, Credentials Committee, August
2008.
Presidential Transition Agency Review Team, Department of
Transportation, November-December, 2008.
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Special Achievement Award, U.S. Department of Justice, 9/90.
FBI--recognition in appreciation of invaluable contributions,
10/94.
IRS--award in appreciation for outstanding assistance, 10/94.
DEA--recognition in appreciation of outstanding contributions,
10/94.
ATF--citation in recognition of outstanding assistance, 11/91.
Cook County Medical Examiner certificate of commendation for
outstanding and dedicated service during heat wave of 1995.
Leadership Greater Chicago, Fellow, 1993-1994.
Chicago Council on Foreign Relations, Young Leader, 1999.
Chicago Transit Board, Resolution in Appreciation, 2004
16. Please list each book, article, column, or publication you have
authored, individually or with others. Also list any speeches that you
have given on topics relevant to the position for which you have been
nominated. Do not attach copies of these publications unless otherwise
instructed.
I have written no books or publications, and have given no public
speeches. I wrote two letters to the editor of the International Herald
Tribune in 1983-1984, and another to the Chicago Sun-Times in the mid-
1980s, but I can find no record of them. I co-wrote an article in the
July-August 2008 Foreign Service Journal, entitled ``Telling Truth to
Power,'' commemorating the 40th Annniversary of the William R. Rivkin
Award. I have participated as a panelist at small professional
gatherings over the years, including on litigation and accessibility at
the American Public Transit Association Meetings in Monterrey in
February 2002; on disclosure in the insurance industry at the
University of Chicago Business School in September 2005; on corporate
social responsibility at the International Bar Association in 2007: and
on government investigations at an Association of Corporate Counsel
lunch in October 2008. On December 21, 1994, I appeared on the local
Chicago public television show ``Chicago Tonight'' to discuss the
city's carbon monoxide detector ordinance. On June 30, 2007, a National
Public Radio story on the William R. Rivkin Award featured a brief
sound bite from my presentation of the award.
17. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony: Not applicable.
18. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
First, my diverse experience in private practice, Federal
prosecution, local government and at a fortune 250 company have
provided me with a broad perspective on how best to provide effective,
practical and ethical legal guidance in a fast-moving environment.
Second, I have successfully managed large legal operations. I was
the Chief Legal Officer of public agency with $925 million operating
budget, $2.8 billion capital program and 11,500 employees, managing a
department with 130 employees and a $15 million budget. In that role
supervised inside and outside counsel on legal matters including public
finance, labor and employment, real estate, contracts, construction,
information technology, procurement, intellectual property, all
categories of litigation and appeals. I also provided strategic
direction on key issues facing the agency as part of five-member
executive management team. As a manager, I re-engineered the Law
Department to focus on client service and support, and installed new
personnel, structure, technology and processes to increase quality and
efficiency of the legal support function. More recently, as a corporate
officer of Aon, an $8 billion NYSE insurance brokerage, consulting and
risk management company with offices in 120 countries, I am responsible
for Aon's legal functions in the Americas, including business
counseling, litigation, regulatory affairs, employment law and
government affairs. I currently manage over 60 employees and
expenditures of over $50 million for outside counsel. I have helped
improve the efficiency and effectiveness of Aon's legal services by
adopting and implementing a series of best practices.
Finally, I have substantial experience dealing with transportation
issues and challenges. I was the Chief Legal Officer of the Nation's
second largest public transportation system, the Chicago Transit
Authority. For many years I participated in Business Leaders for
Transportation and the Transportation Committee of Chicago's
Metropolitan Planning Council, on whose board now serve. I was the co-
leader of Obama for America's Transportation Advisory Committee, and a
member of Obama for America's and the Presidential Transition's
Department of Transportation review teams.
I was raised in a family that honored public service, accounting in
part for my having left the private sector on prior occasions to engage
in government service. I believe that the mission of the Department of
Transportation is crucial to the economic vitality, environment and
safety of our country, and the opportunity to serve as its counsel
would he the highest honor of my career.
19.What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
As general counsel, I would consider it a top priority to ensure
that the Department maintains clear and effective management and
accounting controls. As described above in my answer to question 18, I
have experience with managing large organizations in the government and
private sector, and appreciate the importance of clear controls and
responsibilities in ensuring efficient and ethical operations.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
I believe the top three challenges facing the Department of
Transportation are to effectively and efficiently implement the portion
of the stimulus package falling under DOT's jurisdiction; to help
Congress develop new surface transportation and aviation
reauthorization bills reflecting the Nation's transportation priorities
and needs: and to provide strong leadership at the FAA leading to
better labor relations and the development of a new air traffic control
system for the Nation.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
I have a 401(k) account with Aon (the Aon Savings Plan).
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? No. If so,
please explain: Not applicable.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will be resolved in accordance with the
terms of an ethics agreement that I have entered into with tbe
Department's designated agency ethics official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last 10 years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will he resolved in accordance with the
terms of an ethics agreement that have entered into with the
Department's designated agency ethics official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
5. Describe any activity during the past 10 years in which you have
been engaged for the purpose of directly or indirectly influencing the
passage, defeat, or modification of any legislation or affecting the
administration and execution of law or public policy.
In 2001, while I was a lawyer at Schiff Hardin, a client engaged me
to make some inquiries of the City of Chicago regarding the disposition
of what I recall was a city-owned industrial park. I registered as a
lobbyist with the City of Chicago and made a few phone calls on behalf
of the client. I do not remember the details of the engagement, which
was brief. I have not been engaged by any person or entity since then
for the purpose of influencing legislation or public policy.
As an officer of Aon Corporation I supervised company efforts, thus
far unsuccessful, to pass Illinois legislation or regulation requiring
greater disclosure in the commercial insurance field. I had discussions
on this topic with members of the Attorney General's office, the
Division on Insurance of the Illinois Department of Financial and
Professional Regulation, and various state legislators.
Also as a Vice President of Aon Corporation, from 2004 through
2009. I had occasional discussions with Members of Congress and their
staffs regarding potential legislation to reform the regulation of what
are called ``surplus lines'' of insurance, as well as in support of an
Optional Federal Charter for the insurance industry.
In September 2008, I joined an agency review team within the Obama
for America campaign to identify challenges facing the Department of
Transportation. In November, I joined the Presidential Transition
Agency Review Team for the DOT which prepared a report on these
challenges for the incoming Secretary-designee.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
ethics official to identify potential conflicts of interest. Any
potential conflicts of interest will be resolved in accordance with the
terms of an ethics agreement that I have entered into with the
Department's designated agency ethics official and that has been
provided to this Committee.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics
by, or been the subject of a complaint to any court, administrative
agency, professional association, disciplinary committee, or other
professional group? No. If so, please explain: Not applicable.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain: No.
3. Have you or any business of which you are or were an officer
ever been involved as a party in an administrative agency proceeding or
civil litigation? If so, please explain.
Yes. During, the time I have been an officer of Aon Corporation,
Aon and its subsidiaries have had on average over 400 pending matters
in U.S. litigation, as well as a number of other matters in litigation
around the world. As an insurance -``producer'' regulated by the
states. Aon also has a number of administrative matters (e.g., premium
tax calculation matters. licensing matters, audits) pending with state
insurance and revenue departments.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain: No. Not applicable.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain: No. Not applicable.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should he disclosed in
connection with your nomination: None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by Congressional committees? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect Congressional witnesses and whistleblowers from reprisal for
their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
resume of robert s. rivkin
Legal Experience
Aon Corporation, Vice President and Deputy General Counsel; For Aon
Americas, 1/08-present; For Litigation and Government Affairs, 2/04-1/
08.
Corporate officer of $8 billion NYSE insurance brokerage.
consulting and risk management company. Report directly to the
global general counsel. Responsible for Aon's legal functions
in the Americas, including business counseling, litigation,
regulatory affairs, employment law and government affairs.
Manage 60 employees, annual budget of over $14 million, and
outside counsel expenses of over $50 million.
Respond to and resolve investigations by Federal agencies,
state attorneys general and insurance commissioners. Lead Aon
attorney responding to insurance industry investigations.
Established state and Federal Government affairs function.
Established legal functions for Canada and Latin America.
Improved efficiency and effectiveness of legal services by
implementing new preferred provider, matter management, early
case assessment, and electronic billing programs.
Chicago Transit Authority, 4/01-2/04, General Counsel.
Chief Legal Officer of public agency with $925 million
operating budget, $2.8 billion capital program and 11,500
employees, reporting to the President and Board of Directors.
Managed a department with 130 employees and a $15 million
budget; supervised inside and outside counsel on legal matters
including public finance, labor and employment, real estate,
contracts, construction, information technology, procurement,
intellectual property, all categories of litigation and
appeals.
Provided strategic direction on all key issues facing the
agency as part of five-member executive management team.
Re-engineered Law Department to focus on client service and
support.
Installed new personnel, structure, technology and processes to
increase quality and efficiency of the legal support function.
Schiff, Hardin & Waite, 7/98-4/01, Partner.
Litigated commercial cases for clients such as Pepsi, Outboard
Marine, AT&T, Allegiance Telecom, and the City of Chicago.
Conducted corporate internal investigations relating to alleged
fraud, theft and misappropriation of funds.
Represented clients in state regulatory enforcement actions.
Defended corporations, targets, subjects, and witnesses in
state and Federal white-collar criminal investigations of
healthcare, contracting and tax fraud.
City of Chicago Department of Law, 10/94-1/97, Director of Programs
and Policy.
Advised Office of the Mayor and City commissioners on broad
range of legal policy matters.
Managed special projects relating to the 1996 Democratic
National Convention, administrative adjudication system,
internal investigations, and other matters.
Office of the United States Attorney, Northern District of
Illinois, 4/89-10/94, Assistant United States Attorney.
Investigated and prosecuted white collar fraud--including mail,
wire, insurance and securities fraud--as well as RICO, tax and
public corruption violations.
Tried 24 jury trials and numerous appeals.
Received Special Achievement Award from U.S. Department of
Justice and commendations from the FBI, IRS, DEA, and ATF.
Sachnoff & Weaver, 10/88-4/89, Litigation Associate.
U.S. Court of Appeals for the Seventh Circuit, 9/87-9/88, Law Clerk
to Judge Joel M. Flaum.
Education
Stanford Law School, J.D., 1987; Associate Editor, Stanford Law
Review.
Harvard College, A.B., 1982; Magna Cum Laude in Social Studies.
Other Experience
John Schmidt for Governor Campaign, Issues Director (Chicago),
1/97-4/98.
Commission of the European Communities. Stagiaire (Brussels),
2/84-8/84.
Greville Janner, QC, MP, Parliamentary Aide (London), 12/82-6/
83.
U.S. Senator Charles Percy, Senate Intern (Washington, D.C.),
6/81-8/81.
Boards/Affiliations
City Year Chicago, Director.
Illinois Chamber of Commerce, Director.
Leadership Greater Chicago, Director and Fellow.
Metropolitan Planning Council, Board of Governors and
Transportation Committee.
Chicago Council on Global Affairs, President's Circle and Young
Leader 1999.
Chicago Inn of Court, Member.
Economic Club of Chicago, Member.
William R. Rivkin Award (American Foreign Service Association),
Judge.
Democratic National Committee, Credentials Committee, 2008.
Obama for America, National Finance Committee, Policy
Development Committees, 2007-2008.
Federal Defender, N.D. IL, Panel Attorney. 1999-2001.
Harvard Club of Chicago. Director, 1992-2008.
Harvard Alumni Association, Regional Director, 2001-2004.
Personal PAC, Director, 1998-2003.
Admitted to practice in Illinois, the Northern District of Illinois
(trial bar) and the U.S. Seventh Circuit Court of Appeals. Languages:
French (fluent), Spanish (fair).
Senator Inouye. I thank you very much, Mr. Rivkin.
I will have to relinquish the chair to Senator Dorgan. I
have a prior commitment. Mr. Chairman, may I ask that my
questions be submitted?
STATEMENT OF HON. BYRON L. DORGAN,
U.S. SENATOR FROM NORTH DAKOTA
Senator Dorgan [presiding]. Without objection.
The next order of business will be to hear from Mr. Roy
Kienitz. Mr. Kienitz, you may proceed. Your entire statement
will be made a part of the permanent record.
STATEMENT OF ROY W. KIENITZ, UNDER SECRETARY-DESIGNATE,
DEPARTMENT OF TRANSPORTATION
Mr. Kienitz. Thank you, sir. Good afternoon, Mr. Chairman,
Ranking Member Hutchison. Once again, my name is Roy Kienitz,
and I am the President's nominee for Under Secretary of
Transportation for Policy.
A little about myself. I began my professional career in
this building two floors up working for Senator Daniel Patrick
Moynihan of New York, and for those of you who knew him, knew
him to be a great advocate of many things in transportation
policy. And I learned many of my most valuable lessons from
him.
Since then, I have worked in the nonprofit sector and in
State government in the State of Maryland and most recently for
Governor Ed Rendell in Pennsylvania where I was Deputy Chief of
Staff, another well-known advocate of infrastructure
investment.
So I have helped shape transportation policy at the staff
level here in the Senate in the Federal Government and then had
to help implement it at the State level, and I hope that that
will give me a balanced perspective of what is required to take
the ideas we have here and turn them into practical policies on
the ground.
My primary goal at the Department working in the policy
area will be to implement the President's and the Secretary's
policy ideas. So far, I think that that can be summarized in
four key areas, many of which have already been mentioned, the
first of which is, obviously, the economy. We have lost
millions of jobs over the last 2 years, and the Department has
been fortunate enough to participate in the economic recovery
bill, which included $48 billion in transportation investment.
So far, $37 billion of that has actually been made available to
grantees of one kind or another and projects are already
getting underway. Just last week, the President came to the
Department's building and with Secretary LaHood announced the
2,000th transportation project being released by the Federal
Government. So that work is already underway.
Obviously, however, the short-term investments that are
necessary for economic recovery also need to have long-term
benefits, and that will be, obviously, a big focus of the
Department.
Second, when we make investments, we need to improve the
sustainability of the transportation system. This is,
obviously, a key priority for the President across the
Government and will, as such, be a key priority for the
Department of Transportation. Examples of those kinds of
investments include the strategic plan for high-speed rail that
was announced by the President last week, as called for in the
Recovery Act, and billions of dollars of investment that will
go into that.
A third priority and one of particular concern to the
Secretary is something that many people call livability, and
these are sort of transportation investments that are uniquely
tailored to the communities into which they are put. In more
populated areas, that can be things like walking, biking,
public transportation, things that make it easier for people to
avoid traffic. In less populated communities, that can be
reviving main streets or connecting rural communities. The key
idea there, I think, is tailoring the investment very carefully
to the place where it is made rather than a one-size-fits-all
solution.
On March 19, Secretary LaHood and Secretary Donovan
announced the beginning of a partnership between the Department
of Housing and Urban Development and Transportation on this
very subject.
Finally, obviously, something that has been mentioned.
Safety is one of the first missions that was given to the
Department of Transportation upon its creation in 1966, and
that continues to be a major focus today. That will, obviously,
be part of my focus if I have the good fortune to be confirmed.
So these areas, economic competitiveness, sustainability,
livability, and safety, are priorities, and I believe if we can
focus our transportation policy around those areas, it will be
successful for the country. As Senator Hutchison mentioned, we
will have the opportunity potentially for both aviation and
surface reauthorization this year, and if I have the honor of
being confirmed, I look forward to working with the members of
the Committee on those issues.
I will be happy to respond to any questions the members
have. Thank you, sir.
[The prepared statement and biographical information of Mr.
Kienitz follows:]
Prepared Statement of Roy W. Kienitz, Under Secretary-Designate,
Department of Transportation
Chairman Rockefeller, Ranking Member Hutchison, Members of the
Committee, it is an honor for me to appear before you today as
President Obama's nominee for Undersecretary of Transportation for
Policy.
I began my professional career in this very building, working for
Senator Daniel Patrick Moynihan of New York. Those of you who knew him
will remember his great passion for transportation policy. I learned
many of my most valuable lessons from him. Since then I have worked in
the non-profit sector and in state government. I ran the State
Department of Planning in Maryland and most recently served as Deputy
Chief of Staff to Governor Ed Rendell of Pennsylvania, another man with
a passion for infrastructure investment. I have helped shape
transportation polices at the Federal level and helped implement them
at the state level, and I hope this experience will help me take on the
policy role at DOT with a balanced perspective if I have the honor of
being confirmed.
My primary goal at the Department, if confirmed, will be the
implementation of President Obama and Secretary LaHood's priorities for
transportation. So far this seems to break down into four key areas.
First is the economy. As we all know, millions of jobs have been
lost in 2008 and 2009. The inclusion of $48 billion for transportation
projects in the American Recovery and Reinvestment Act has allowed the
Department to be part of the recovery effort. Of the $48 billion
provided, nearly $37 billion has already been released to states and
other grantees. On April 13, the President and Secretary LaHood
announced the 2,000th transportation project funded by the Recovery
Act. Jobs are already being created across the country. The right
investments today will also pay dividends over the long term by, for
example, repairing existing infrastructure in all modes of
transportation and improving the efficiency of freight movement so our
exports are more competitive.
Second, as we make these investments, we must improve the
environmental sustainability of our transportation system. President
Obama and Secretary LaHood are committed to this goal and so am I.
A third priority is the pursuit of what some call livability. For
surface transportation, this means finding ways to make investments
that meet the needs of each individual community. Every city and small
town across the country has its own unique transportation concerns. For
more populated areas, a main consideration may be better opportunities
for public transportation, biking, walking or other methods to help
people avoid traffic congestion. For rural areas, we might focus more
on safety and ensuring connectivity to surrounding communities. We must
be mindful of these varying needs and realize that we cannot create a
one-size-fits-all method of funding transportation projects.
On March 19, Secretary LaHood and Secretary Donovan announced an
interagency partnership between HUD and the Department of
Transportation to address sustainable and livable communities. Work is
already underway.
Finally, safety in all modes of travel has always been and must
continue to be a central focus of the Department of Transportation.
This goal will remain the highest priority for the Department and its
work force. If confirmed, you can rely on my full dedication to
ensuring American citizens are provided with safe and secure means of
transportation.
The areas of economic recovery, sustainability, livable
communities, and safety are high priorities for Secretary LaHood and,
if confirmed, will be my priorities as well. I believe a transportation
system that meets these goals is vital to our long-term national
interest.
In 2009, Congress and the Obama administration will have the
opportunity to set long term policy goals for both our aviation and
surface transportation programs. If I am confirmed, I hope to be
actively engaged with you in these discussions.
To conclude, Mr. Chairman, thank you again for scheduling this
hearing. I would like to reiterate my desire to work with this
Committee as policy and funding matters are discussed and debated, and
I will be happy to respond to any questions you and the members of the
Committee may have. Thank you.
______
a. biographical information
1. Name (Include any former names or nicknames used): Roy Warren
Kienitz.
2. Position to which nominated: Under Secretary of Transportation
for Policy, United States Department of Transportation.
3. Date of Nomination: March 16, 2008.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
5. Date and Place of Birth: September 14, 1962; Mountain View, CA.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Spouse: Katherine L. Kincade, Self-employed consultant to DC
Housing Enterprise.
Children: Simon D. Kienitz Kincade, Age 12; Asa M. Kienitz
Kincade, Age 9.
7. List all college and graduate degrees. Provide year and school
attended.
University of California at Santa Barbara, BA, 1983.
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
United States Peace Corps, Volunteer, 1983-1986.
Senator Daniel Patrick Moynihan, various positions including
Chief of Staff, 1987-1988, 1993-1994.
U.S. Senate Committee on Environment and Public Works,
Professional Staff Member, Deputy Staff Director, 1988 to 1993.
Center for Clean Air Policy, Director of International
Transportation Program, 1995.
Surface Transportation Policy Project, Assistant Director,
Executive Director, 1995 to 2001.
Maryland Department of Planning, Secretary, 2001 to 2003.
Governor Ed Rendell, Pennsylvania, Deputy Chief of Staff, 2003
to March 2009.
Senior Advisor to the Secretary, U.S. Department of
Transportation, March 2009--Present.
9. Attach a copy of your resume. A copy is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last 5 years: None.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last 5 years.
Chairman of the Board, Building America's Future.
12. Please list each membership you have had during the past 10
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religious organization, private club, or other membership organization.
Include dates of membership and any positions you have held with any
organization. Please note whether any such club or organization
restricts membership on the basis of sex, race, color, religion,
national origin, age, or handicap.
Franklin Knolls Swim Club, 2003 to present. No membership
restrictions.
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt.
I have never been a candidate for elective office. I have been a
political appointee in my last two jobs (Office of Governor Rendell and
Maryland Department of Planning.) There is no debt.
14. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past 10 years. Also list all offices you
have held with, and services rendered to, a state or national political
party or election committee during the same period.
$500 to John F. Kerry For President, 7/11/2004.
$500 to Friends of Kathleen Kennedy Townsend, candidate for
Governor of Maryland, 5/30/02.
$500 to Friends of Kathleen Kennedy Townsend, candidate for
Governor of Maryland, 10/20/02.
No party offices held.
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Governor's Citation, for assistance to LaPlata, MD in
rebuilding after the most severe tornado in Maryland history,
2002.
Special Recognition Award, National Park Service, U.S.
Department of the Interior, 2000. For work promoting new
transportation strategies for National Parks.
Award, for Leadership in Intergovernmental Cooperation,
National Association of Regional Councils, 1992 (In recognition
of work on Intermodal Surface Transportation Efficiency Act of
1991).
16. Please list each book, article, column, or publication you have
authored, individually or with others. Also list any speeches that you
have given on topics relevant to the position for which you have been
nominated. Do not attach copies of these publications unless otherwise
instructed.
``Blueprint for ISTEA Reauthorization'', Surface Transportation
Policy Project, 1997.
``TEA-21 Users Guide'', Surface Transportation Policy Project,
1998. ``Road Work Ahead: Is Construction Worth The Wait?'',
Surface transportation Policy Project, 1999.
``Minority Report'', Governor's Transportation Solutions Group,
State of Maryland, 1999, signatory.
``Mean Streets'', Surface transportation Policy Project, 2000.
``Driven to Spend'', Surface Transportation Policy Project,
2000.
``Greetings From Smart Growth America'', Smart Growth America,
2001, co-author.
17. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony.
Senate Environment and Public Works Committee, March 18, 1999;
transportation policy.
Senate Environment and Public Works Committee, April 15, 1999;
transportation policy.
Senate Environment and Public Works Committee, April 29, 1999;
transportation policy.
House Transportation and Infrastructure Committee, July 27,
1999; transportation policy.
Senate Banking, Housing and Urban Affairs Committee, October 8,
2002; transportation policy.
18. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
I have 20+ years experience in transportation policy at the Federal
and state level in both executive and legislative positions, have
authored multiple reports on transportation policy, and have testified
before Congress on multiple occasions as a transportation policy
expert.
19. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
Along with the other managers at USDOT, if confirmed I will be
responsible for assuring proper management and accounting controls. I
have management experience from helping to guide and manage large
capital projects in my work in state government, have been the head of
a state government agency, and have run a non-profit organization.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
1. Effective and open implementation of the nearly $50 billion
in transportation funding included in the American Recovery and
Reinvestment Act.
2. Prompt reauthorization of the FAA's programs to allow for
quick and effective implementation of upgrades to the Nation's
air traffic control system.
3. Reauthorization of the Nation's surface transportation
programs.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
PA state retirement, expected payments for immediate retirement.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain: No.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated: None.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last 10 years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated: None.
5. Describe any activity during the past 10 years in which you have
been engaged for the purpose of directly or indirectly influencing the
passage, defeat, or modification of any legislation or affecting the
administration and execution of law or public policy.
As part of my employment with the Surface Transportation Policy
Project (1995-2001) a portion of my work consisted of making
recommendations on behalf of the organization regarding funding and
policy in Federal transportation legislation. These recommendations
related most directly to the Transportation Equity Act for the 21st
Century (TEA-21), P.L. 105-206. STPP also made recommendations
regarding the execution of laws and policy-making by USDOT.
As part of my employment for Governor Rendell, I have been part of
various efforts to support, oppose or affect legislation and the
execution of laws as they affect the State of Pennsylvania, up to and
including the Congressional debate over what later became the American
Recovery and Reinvestment Act.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
If confirmed, I will follow the advice of USDOT counsel to assure
that no conflict of interest occurs.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics
by, or been the subject of a complaint to any court, administrative
agency, professional association, disciplinary committee, or other
professional group? If so, please explain: No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain: No.
3. Have you or any business of which you are or were an officer
ever been involved as a party in an administrative agency proceeding or
civil litigation? If so, please explain: No.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain: No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain: No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination: None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by Congressional committees? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect Congressional witnesses and whistleblowers from reprisal for
their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
resume of roy w. kienitz
Experience: Government
Deputy Chief of Staff, Governor Edward G. Rendell, Pennsylvania,
2003-Present.
Team leader for major initiatives on transportation,
alternative energy, environment. Oversee major capital
projects: PA Convention Center expansion, Pittsburgh sports
arena, Port of Philadelphia. Guide media strategy and appear on
TV, radio and in print. Politics, strategy, budgeting, problem
solving.
Transportation:
Fix It First. Implemented policy prioritizing repair of
existing roads over new construction.
Public-Private Partnership. Personally structured terms for 75-
year lease of PA Turnpike Leading to winning bid of $12.8
billion, largest such bid in the U.S. so far.
Tolls. Negotiated legislation to add $1+ billion/year in new
funding and authorize new tolls on 1-80; first state to approve
tolls for existing free Interstate highway.
Labor. Personally mediated round-the-clock negotiations on
labor contracts for Philadelphia and Pittsburgh transit
authorities; ended strike in Philadelphia, prevented strike in
Pittsburgh.
Transit. Developed and implemented plan to `flex' $450 million
of road funds to transit after legislature blocked original
transit funding proposal. Prevented service cuts and layoffs.
Alternative Energy:
Conservation. Led administration effort to enact new energy
savings mandates for all electric utilities.
Renewables. Enacted legislation requiring 18 percent of
electricity to come from alternative sources.
Investment. Developed a negotiated passage of $625 million
alternative energy fund.
Green Jobs. Helped attract wind turbine maker Gamesa to build 2
plants and create 1,000 green jobs.
Environment:
Growing Greener. Personally developed $825 million plan for
open space preservation and community reinvestment. Proposal
was approved by legislature and voter referendum.
Clean Cars. Implemented plan for PA to opt-in to CA car
regulations, including CO2 limits.
Mercury. Won approval for plan to cut mercury emissions below
limits allowed by Bush Administration.
Secretary, Maryland Department of Planning, 2001-2003.
Implemented state's Smart Growth policies. Staff of 130, $10
million budget.
Redevelopment. Emphasis on getting mixed-use, transit-oriented
projects funded and built.
Land Preservation. Guided state funding for preserving
agricultural a sensitive lands.
Local Government. Led state participation in key local
government development decisions.
Chief of Staff, Senator Daniel Patrick Moynihan, 1993-1995. Ran
personal staff of 50 for Senior Senator from New York and Senate
Finance Committee Chair.
Politics. Coordinated with successful 1994 campaign.
Legislation. Oversaw legislative agenda including budget,
taxes, health care.
Media. Guided press strategy for Washington, New York and
national media.
Deputy Staff Director, Environment and Public Works Committee, U.S.
Senate, 1992-1993; Professional Staff Member, 1988-1992. Staff of 30,
$2 million budget.
Transportation. Conceived, drafted and managed landmark 1991
transportation bill (ISTEA).
Other Issues. Major work on Clean Air Act, water quality, Corps
of Engineers, nuclear energy.
Experience: Research and Advocacy
Executive Director, Surface Transportation Policy Project, 1998-
2001; Deputy Director, 1996-1998.
Advocated for innovation in transportation policy: smart
growth, better use of transit, environmental sensitivity, Less
reliance on one-size-fits-all highway design.
Policy. Primary voice for progressive transportation policy at
the national level.
Coalition Building. Coordinated with 200 partner organizations.
Management and Fundraising. Ran four offices; raised and
managed $2 million/year budget.
Director, International Transport Program, Center for Clean Air
Policy, 1995-1996.
Worked with policymakers in U.S., Canada and Europe on new
transportation, land use and air quality strategies.
Education
B.A., Aquatic Biology, University of California at Santa
Barbara, 1980-1983. Graduated in 3 years.
Honors and Awards
Governor's Citation, for assistance to LaPlata, MD after the
state's worst recorded tornado, 2002.
Special Recognition Award, National Park Service, U.S.
Department of the Interior, 2000. For work promoting new
transportation strategies for National Parks.
Award, for Leadership in Intergovernmental Cooperation,
National Association of Regional Councils, 1992, in recognition
of work on the 1991 transportation bill (ISTEA.)
Affiliations
Building America's Future, Board of Directors, 2008. Non-profit
started by Gov. Rendell, Gov. Schwarzenegger and Mayor
Bloomberg to promote smarter investment in infrastructure.
Pennsylvania Green Ribbon Commission, Member, 2004. Assessed
methods to invest in open space, community revitalization and
environmental improvement.
Smart Growth America, Founding Chair, 2000-2001. National
coalition to promote smart growth.
National Neighborhood Coalition, Board of Directors, 2001.
Center for Transportation & the Environment, North Carolina
State University, Board of Advisors, 1998-2001.
Environmental Excellence Awards, Federal Highway
Administration, Judge, 1999.
Maryland Transportation Solutions Group, Member, 1998-1999.
Appointed by Governor to panel assessing investment options for
Montgomery and Prince George's Counties, MD.
Congressional Observer Group, United Nations Conference on
Environment and Development (The Earth Summit), Rio de Janeiro,
1992.
Subcommittee on Planning and Policy Review, Transportation
Research Board, National Academy of Sciences, 1992.
Publications
Driven To Spend: The Impact of Sprawl on Household
Transportation Expenses, Surface Transportation Policy Project
(with Barbara McCann, Ryan Tracey-Mooney, Scott Bernstein and
Reid Ewing), 1999.
TEA-21 User's Guide, Surface Transportation Policy Project
(with Elizabeth Thompson), 1998.
A Blueprint for ISTEA Reauthorization: A Common Sense Guide to
Transportation Priorities for the 21st Century, Surface
Transportation Policy Project, 1997.
Personal
Married, father of two
Former Peace Corps Volunteer, Ecuador
Fluent Spanish
Aspiring triathlete
Senator Dorgan. Mr. Kienitz, thank you very much.
I have asked whether those of you who are here for your
nomination hearing had introduced your families or whether you
wished to introduce your families. I suspect that some of you
have your families present. Would any of you wish to do that at
this point?
Mr. Rivkin. We did, Mr. Chairman.
Senator Dorgan. You have. All right.
My understanding also is that Senator Warner wished to
introduce or say a few words about one of the----
STATEMENT OF HON. MARK WARNER,
U.S. SENATOR FROM VIRGINIA
Senator Warner. Mr. Chairman, I wanted to simply indicate
my support for Peter Appel who is from Virginia and as somebody
from Virginia, understands the enormous challenges we have in
transportation. I would like to submit for the record my
introduction comments, as he has already spoken.
Senator Dorgan. Without objection.
[The prepared statement of Senator Warner follows:]
Prepared Statement of Hon. Mark Warner, U.S. Senator from Virginia
Chairman Rockefeller and Ranking Member Hutchison, thank you for
holding this important hearing. I want to introduce and lend my support
to Mr. Peter Appel, of Alexandria, Virginia, who has been nominated by
President Obama to be the Administrator of the Research and Innovative
Technology Administration (RITA) at the U.S. Department of
Transportation.
Peter has focused for more than 20 years on innovative problem
solving and forward-looking policy development in transportation and is
the right person to lead RITA at this critical time. He brings a deep
background in both technology and transportation. Following his studies
in Computer Science and Economics at Brandeis University, he completed
his Master of Science in Transportation at MIT, focusing on using
computer technology to optimize transportation networks. Since then, he
has worked in both the public and private sectors across every mode of
transportation. Peter has led key initiatives at Amtrak, at the Federal
Aviation Administration, and as a management consultant for clients in
ocean shipping, rail, aviation, trucking, and transportation
infrastructure development. His work has helped these organizations
improve their day- to-day operations and develop and implement long-
term strategic plans.
Coming from Virginia, which faces some of the most significant
transportation challenges in the nation, I understand the critical need
to bring our Nation's best thinking to address transportation issues.
And having been a business leader in the high-tech industry for twenty
years, I can attest to the importance of applying innovative technology
to address our Nation's challenges. The Research and Innovative
Technology Administration is positioned to play a key role in ensuring
that our transportation investments effectively use technology and
solid analysis to ensure the most positive impact on the lives of
Americans. In Virginia, we embraced accountability and technology to
fix and restore public confidence in Virginia's transportation system.
With Peter's background in technology, rigorous analysis, and
innovative problem solving, we look forward to a similar approach which
will help our Nation reestablish a sound and effective transportation
policy. I look forward to working with Peter Appel on the
transportation challenges we face, and I urge my colleagues to quickly
confirm him. Thank you, Mr. Chairman.
Senator Dorgan. Although I was not here for the first part
of the hearing, let me thank all of you for your willingness to
serve your country and serve in the Department of
Transportation in some very, very important positions.
Senator Hutchison?
Senator Hutchison. Thank you, Mr. Chairman.
I would like to ask each of you to answer individually,
starting with Mr. Appel, if you will work with members of this
Committee on both sides, the Republicans and the Democrats, to
provide the information that we would ask for and to give us
any updates that you think are relevant to our oversight role.
Mr. Appel?
Mr. Appel. Yes, I will absolutely work with this Committee.
I consider it an extremely valuable part of doing the job for
which I am nominated.
Senator Hutchison. Thank you.
Mr. Szabo?
Mr. Szabo. Senator, I most definitely look forward to
working with the Committee in a very open manner.
Senator Hutchison. Thank you.
Mr. Gresham?
Mr. Gresham. Yes, absolutely. I would consider that a
primary responsibility of this office.
Senator Hutchison. Thank you.
Mr. Rivkin?
Mr. Rivkin. Yes, Senator.
Mr. Kienitz. Yes, ma'am. Obviously, that is a big priority
of the Secretary as well, to do that on a bipartisan basis.
Senator Hutchison. Thank you.
I have a question for Mr. Szabo. Amtrak, our national rail
system, is very important to many states, mine included. At
Secretary LaHood's confirmation hearing, I asked him if he was
committed to a national system for Amtrak to continue to
pursue, and I will ask you that same question because, of
course, you have a major role in Amtrak. I want to know if you
are committed to a national system that covers all of the lines
that are now in existence and what would be your thoughts, if
you do, on how you would go forward helping to further develop
those lines.
Mr. Szabo. Well, Senator, most definitely I believe in a
national network. I believe that that needs to be the backbone
of our passenger rail program, and obviously, then the
development of the high-speed rail corridors and such which
start overlaying on top of that national network. In many ways,
this is very similar to what has been done in Europe where the
different levels of rail overlay each other, feed each other,
supplement each other. So you will have your commuter
railroads. You will have your regional corridors, and then you
will have your national rail network. We consider that a
priority.
Senator Hutchison. Thank you. I certainly agree with you,
and I think it is so important that we look at it from the
national perspective and not just one line in the Northeast,
which is important, but it is not everything.
Let me ask you about the stimulus package, which allocated
$8 billion for high-speed rail projects. How would you, working
with the Secretary, propose to designate funds for communities
that have the best prospects for a high-speed rail projects,
and how would you envision that funding being allocated?
Mr. Szabo. Obviously, if confirmed, I think it is
imperative that we have a merit-based application process that
is very fair, very transparent, and we ensure that the dollars
go to where we get the best return on our investment.
Senator Hutchison. So you would be working with the
Secretary to come up with criteria that you think would be a
fair and open process.
Mr. Szabo. Absolutely.
Senator Hutchison. Thank you.
Mr. Kienitz, one of the areas where Senator Rockefeller and
I have worked very hard in the last Administration, and we
almost passed the FAA reauthorization with NextGen included. In
fact, we also worked on an amendment in the stimulus to try to
get a head start on NextGen, but it was not put in the bill.
There was a resistance to having amendments to that bill. So we
did not get that. But it is important to both the Chairman and
myself that we have the NextGen and a concept and a funding
mechanism to go forward.
What is your thought about how we might jump start NextGen
for the FAA?
Mr. Kienitz. Thank you, ma'am. I think there are two pieces
to it from my perspective, the first of which, obviously, is a
funding source. And that was the source of the disagreement
last year, I think, in Secretary LaHood's private conversations
with you that I was present at and in his public statements has
indicated a very strong desire to achieve agreement on that
question. I think last year, it is fair to say, there was a lot
of interest in the topic and then perhaps not quite enough
interest in reaching agreement on the topic. And I think his
view is there are a lot of good ideas about how to finance it,
but the most important idea is the idea of let us agree to
something and get it done so we can start down the road.
The second piece is an implementation strategy by the
Department and the FAA that inspires confidence, and that is
something also that the Secretary has identified as one of the
chief assignments that he will give the FAA Administrator when
that person is confirmed and on board to roll out a plan that
contains schedules that you all can have confidence and bring
that system to fruition as quickly as possible.
Senator Hutchison. Well, I think we finally came to pretty
much an agreement on the funding, and we were still working on
it. But one of the issues that held it up was a disagreement
about air traffic control contracts and reopening a contract
that has been negotiated. Are you going in with a view about
reopening the air traffic controllers contracts or do you
consider that settled and we should go forward? What is your
view on that?
Mr. Kienitz. I think that the Secretary's view has been
that the current situation is perhaps not perfect although, as
you say, the terms that were imposed a couple of years ago are
currently in place. I think that he takes the optimistic view
that perhaps we could come to some kind of understanding about
terms going forward that will inspire a higher level of morale
among controllers and more confidence going forward in the
future. He has not described in any specifics what exactly he
thinks that needs to be, but once again, that is, I think, one
of the two top priorities he has identified for the FAA
Administrator, is to look into that issue to see if some kind
of change that improves morale among controllers can be agreed
to.
Senator Hutchison. Well, we will have an FAA Administrator,
I am sure, to discuss that with, and it will be a major topic
of interest because there is much disagreement. That is what
really held up the NextGen and the FAA reauthorization, and
there was strong disagreement. So I will just put that out
there and we will talk to the FAA Administrator about it at a
later time.
Thank you, Mr. Chairman.
Senator Dorgan. Senator Johanns.
STATEMENT OF HON. MIKE JOHANNS,
U.S. SENATOR FROM NEBRASKA
Senator Johanns. Mr. Chairman, thank you very much, and to
the panel, congratulations. It is a great honor just to be
here, and having sat where you sat 4 or 5 years ago, I just
want to underscore that.
I am going to ask a question to the whole panel, if I
could, because I am kind of searching for some expertise here.
Has anybody on this panel ever worked rural transportation
issues, roads, intrastate, air service, that sort of thing?
Does somebody want to jump in on that one?
Mr. Kienitz. In my prior work, I worked for Governor
Rendell in Pennsylvania, and although we have big metropolitan
areas, a lot of Pennsylvania is very, very rural. So a big area
of focus was really three things, I would say, the first of
which was trying to maintain commercial air service to our
small airports. Regardless of whatever the EAS program does or
does not allow, we had major struggles with our major airlines
trying to serve those smaller communities.
The second of which is really a lot of money invested in
rural roads which, anyone who has driven in Pennsylvania knows,
are not that great in a lot of places.
The third of which is we struggled very much to support
rural transit systems, particularly for people with
disabilities or others who do not have the ability to drive. I
think by now, we have almost all the counties covered by rural
transit of one kind or another.
Senator Johanns. Both areas that you mentioned,
transportation via air and roads, are hugely important in the
State that I come from. We have really no intrastate air
transportation system, and the difficulty with roads in rural
areas is, of course, that they will not have the traffic count
that a major metropolitan area would have.
How would you deal with that issue as we start thinking
about the highway reauthorization bill and funding? How do you
get money into these rural communities that desperately need
these roads for farm to market, just simple transportation
needs?
Mr. Kienitz. I think, Senator, the Senate in particular has
a tradition of making sure that that issue receives--there are
a lot of Senators who represent a lot of rural communities--to
make sure that initially formula allocations are not, for
example, based entirely on where traffic is or population or
something. So the highway funding formulas have traditionally
been perhaps somewhat more friendly to very rural areas which
do not have the ability to generate tax receipts on their own
from traffic to support roadway investment.
If you look at the profile of where there are roads in poor
condition that need repair across the country, you see huge
concentrations of it in some very rural areas. And I think the
highway program, in particular, so far has been structured to
recognize that. The struggle is how to figure out a program
that does that well but also deals with the terribly
complicated issues you find in a place like Chicago or Los
Angeles or something like that.
Senator Johanns. Anyone else have any thoughts? Yes, sir.
Mr. Szabo. Senator, to a certain extent, I have been
involved with advocating for funding for short line railroads,
which are the smaller mom-and-pop operations that tend to serve
rural communities. So, obviously, we consider that a bloodline
to those communities and part of a network that feeds into the
larger rail system. So we consider that an important linkage.
Senator Johanns. Anyone else want to offer any thoughts?
Mr. Rivkin. Senator, though I have not worked on rural
transportation issues in a rural area, I think we are well
aware that the Administration's policy and the Secretary's
intent is to make sure that all of America is served with a
unified transportation system. The importance of things like
EAS and bus service and train service, as well as rural roads--
all of us are well aware of that.
Senator Johanns. Great.
I will just wrap up, Mr. Chairman, with this thought. I
asked that question mostly to use this opportunity to highlight
the importance of these issues. $8 billion for transit relating
to trains that run back and forth between metropolitan areas is
great. I certainly do not have any problem with it. I do not
know that it will help a lot in Nebraska, if you know what I am
saying. Not to say that it is not insignificant because we do
have Amtrak that goes through the State, but when you focus on
rural transportation issues moving from one small community to
another, it is going to be roads. It just simply is roads that
make that work.
So as you enter into your new assignments, if there is ever
an opportunity to influence that discussion for these small
communities, it will be greatly appreciated.
And I look forward to working with all of you. Best of
luck.
Senator Dorgan. Senator Begich?
STATEMENT OF HON. MARK BEGICH,
U.S. SENATOR FROM ALASKA
Senator Begich. Thank you very much, Mr. Chairman. Thank
you all very much for your willingness to serve and be part of
the Obama Administration.
First, I do want to say, Mr. Szabo, as a former mayor as of
January of this year, I am glad to see another mayor within the
Department of Transportation. That will help, I think,
influence the perception that local governments know how to do
it best and know how to deliver.
I am going to follow up on what Senator Johanns said in
regards to rural. His comment I liked is: ``Roads make it
work.'' We do not have roads in lots of our areas in Alaska. So
air makes it work also. So I want to augment that. Rural in
Nebraska is nothing like rural in Alaska.
I think your resumes are all very strong, and I have no
problem with all of your appointments. So I am looking forward
to working with you.
But I did notice that most of you were kind of from the
Midwest to the East, and I think the point Senator Johanns is
saying is when you look at the Southwest, the deep Midwest,
rural Alaska, we have very different kinds of situations. In
southeast Alaska, we have the marine highway system. It never
gets really any funding from the Federal Government even though
it is the only way to move from one community to the next for
food, services, medical.
So as you take on these new roles, I would hope you would
keep that rural aspect, what I would call the extreme rural
aspect--and I would encourage you to come to Alaska, not on a
cruise--though there are really good prices right now. But I
would encourage you to come on up and kind of see what we have
to deal with when it is literally life and death with regard to
rural transportation.
But I am anxious to get your appointments moving forward.
Mr.--is it Appel?
Mr. Appel. Yes.
Senator Begich. Your role in research innovation--in the
last TEA-LU bill there were, I believe, 10 research institutes
established. I am not sure how familiar you are with these, but
one is in Alaska on very unique, cold climate conditions. This
center would benefit states like mine and others that are very
rural and have cold climate conditions in the winter, pavement
conditions and so forth.
I would be interested in your comment now or later how you
see those playing in. As you know, they were authorized only
for a 5-year period of funding under the TEA-LU bill. So
reauthorization will have an impact on those 10. So I would be
curious how you see you see those research centers across the
country. I think there are 10, and they usually are working
with universities. I do not know if you have a comment now on
that.
Mr. Appel. Well, just in general, RITA has within it a
number of different great sources of research, whether it is
the Volpe Center within RITA or the 60-odd University
Transportation Centers or focused research institutes that get
funding from it. They all are playing a very important role.
One of my priorities when I get there is to really understand
what the complementary roles across all these different sources
of thinking are to make sure that we align them to address the
issues we have and to make sure we take advantage of the unique
skills and qualifications and resources that each one brings.
I enjoyed your remarks about Alaska. When I was with the
FAA in the 1990s, I had a chance to spend some time with my
boss, Administrator David Hinson, visiting--we must have
visited 15 FAA facilities in Alaska in the course of about 4 or
5 days. And I----
Senator Begich. A unique experience.
Mr. Appel.--in terms of the amazing dedication that the
people there have to maintaining very complex electronics, very
complex facilities in conditions that are just so much more
difficult than what their colleagues in the rest of the United
States have to face.
So I respect that and I also realize the unique issues that
are faced in Alaska, and the institute in Alaska will be
something that I will take a look at to really understand how
they all play together. But I am confident that there are
unique contributions coming from each.
Senator Begich. Well, thank you very much. We will look
forward to talking with you in more detail. It is just that we
have very unique, climate conditions, especially around winter.
Again, the last comment I will make. I really encourage
folks, as you deal with rapid transit rail--you know, in Alaska
we have literally one rail system. But the big question in the
long term is how do we connect rail to the Lower 48 for
transportation of goods. That is a very new item. Alaska is
aggressively looking at it. The military is also looking at it
because it will move military goods from the Lower 48 into very
strategic locations. So maybe at a later time, Mr. Szabo, you
could give us some feedback on how you see that or if you do
not see that. It has kind of a dual purpose. It is commerce,
but it is also military equipment and movement. So just food
for thought and a later discussion on that.
Thank you very much.
Senator Dorgan. Senator Lautenberg?
STATEMENT OF HON. FRANK R. LAUTENBERG,
U.S. SENATOR FROM NEW JERSEY
Senator Lautenberg. Thanks, Mr. Chairman. Rarely do we see
such a distinguished panel of people ready to take on these
important jobs, and I welcome all of you who are ready to take
on these important assignments. That does not mean you are
confirmed.
[Laughter.]
Senator Lautenberg. But you have got a good step forward.
In my State of New Jersey, we are looking to break ground
on the largest mass transit project in the country, a new rail
tunnel under the Hudson River. It is not a regional thing. It
is a national thing in terms of the services that are provided
around these States. It is a very densely populated area of the
country. The project will take 22,000 cars off the road each
day, create 6,000 construction jobs each year for 10 years.
They are shovel-ready, pick-ready, drill-ready. It is all
ready. And I think this totally meets the President's
commitment to getting people to work. Nothing can be as ready
to go as this tunnel project is. We hope that it will.
Mr. Kienitz, how do you kind of ensure that projects like
the Hudson River tunnel that reduce commutation time and
reduces emission--how do we get them going as quickly as might
be possible?
Mr. Kienitz. Thank you, sir. I will say a few things, the
first of which is your continuing advocacy for this project has
made it sure that all the senior leadership of the Department
knows all about what the ARC project is. So you have succeeded
on that count.
The difficulty, of course, as you know, and as your
conversations with the Secretary have indicated, is the Federal
share of that project is the largest commitment of transit
dollars that there ever would have been to one project, and it
is larger than the amount that is available to commit right
now.
So, obviously, as you say, the project is ready to go, and
in terms of the internal evaluation criteria of the Department,
it scored very well on all of the objective criteria. So I
think your conversations with the Secretary indicate that they
are looking for a way to allow the project to keep on track in
terms of going forward, recognizing the fact that there is just
not enough authority right now to give it the full promise of
Federal support. I think that comes with the reauthorization.
But your question is a good one, which is how in the
reauthorization you create a structure whereby things that are
big can get funded because what we have had up until now I
think is system of----
Senator Lautenberg. You have had wonderful experience
working for Pat Moynihan, who was one of the great United
States Senators.
Mr. Kienitz. Yes, sir.
Senator Lautenberg. Ed Rendell, someone else. And I would
like to fill in their footsteps. So I urge you to do what you
can to remind the Secretary, in case he did not hear what I had
to say these last few days----
[Laughter.]
Senator Lautenberg.--to go ahead and take out the starter's
gun and shoot it off and let us go.
Mr. Szabo, welcome to you. You are going to be an important
person in the railroad system of the country. In my Amtrak
bill, which was signed last year, we required that the
Northeast Corridor be brought into a state of good repair by
2018.
Now, as Administrator of the FRA, how do you see the
priority getting fulfilled to meet this deadline and to be sure
that we do accomplish the goal that we want for the Northeast
Corridor?
Mr. Szabo. Well, obviously, if confirmed, it is my
obligation to make sure the statutory mandates from the laws
that you have passed are implemented in a timely manner and to
provide the appropriate level of feedback to you of our
progress or, of course, any hurdles that we might be facing.
But it is our obligation to deliver.
Senator Lautenberg. Thank you.
Mr. Rivkin, Aon--they have substantial presence in New York
and the World Trade Center.
Mr. Rivkin. Yes, tragically.
Senator Lautenberg. That was the firm that you joined.
Mr. Rivkin. Yes, Senator Lautenberg, and 175 colleagues
from Aon perished in the World Trade Center.
Senator Lautenberg. I remember that very well.
That brings certainly the question of safety right squarely
in front of you when you look at the things that we are doing
now to make sure that we are going to operate as efficiently
and safely and securely as we possibly can. We welcome all of
you.
Thank you very much, Mr. Chairman.
Senator Dorgan. Senator Klobuchar?
STATEMENT OF HON. AMY KLOBUCHAR,
U.S. SENATOR FROM MINNESOTA
Senator Klobuchar. Thank you very much, Mr. Chairman, and
thank you to all of you.
I think we will be working a lot together because I do not
just serve on this Committee but, like Senator Lautenberg, also
serve on the Environmental Committee where we are doing the
transportation bill in the coming year.
So I had some questions, which I know I talked to Secretary
LaHood about when he visited me with the two of you, Mr.
Gresham and Mr. Kienitz, and that was about bridge maintenance.
I told you I live six blocks from the bridge that fell in the
middle of the Mississippi River that day. And so whether I
wanted to or not, I became something of an expert on bridge
funding.
One of the things that Congressman Oberstar and I have
learned is that there is supposed to be money set aside for
bridge maintenance, but oftentimes that money goes to building
new projects. We have a belief that sometimes it is more fun to
cut ribbons at new projects and celebrate new projects, and
some of our infrastructure is crumbling and needs to be
inspected better and also needs to be maintained better. I
wondered if you could comment about that, Mr. Kienitz and
whoever else wants to join in.
I also thought, Mr. Appel, there is some new technology
that could be used more effectively to inspect bridges, and
maybe you want to talk about that part.
Mr. Kienitz. Thank you, ma'am. My aunt and uncle actually
live about eight blocks from that bridge and have a very good
view of it from their highrise there.
Yes, obviously, I am very familiar with the issue that you
raised, and that is something that has been debated and
ultimately not changed in the last three reauthorizations by my
count. I know, for example, in Pennsylvania, our program--the
history was exactly you are allowed to take 50 percent of the
bridge money and not spend it on bridges, and that was the
tradition.
Senator Klobuchar. Put it on like flowers.
Mr. Kienitz. Or whatever.
Our response to that really was to try to spend money on
bridges in proportion to their need as part of the system and
how many of them required repair. So we tripled, I think, the
amount of spending on deficient bridges in Pennsylvania because
we have more deficient bridges than any other state. So I am
very aware of that problem and look forward to working with
you, if confirmed, on that particular legal issue as the way
the law is written now.
Senator Klobuchar. Thank you.
Mr. Appel, the technology?
Mr. Appel. Certainly. Well, what RITA is all about is
taking the best technology that we can either do research in-
house for or identify the research and technology from outside
to make sure that when we make those investments in
transportation infrastructure, we are doing it well.
I have not looked specifically at the civil engineering
types of research that relate to what you are asking, but it is
one of the first things I will do when I get there.
Senator Klobuchar. Great. There are just some very
antiquated methods right now that are still being used to check
bridges for safety, and I think we could use some advanced
methods that are available.
And then another thing I want to talk about--and actually I
have talked to Senator Warner about it. He had a little to do
with telecommunications in his past. But as we look at the
infrastructure issues with broadband and what I call the rural
electrification of our generation, I am working on some
legislation--and I hope others will join me--with the upcoming
reauthorization of the transportation bill to look at ways to
integrate the broadband infrastructures and road construction
with the work that is going on with transportation
infrastructure--this is the whole digging up the streets 50
times issue--to see if there are ways we can save taxpayer
money, as well as reduce disruptions on the roads and also just
facilitate the laying of this broadband.
I just wondered if anyone wanted to comment on that, if
anyone had any thoughts on that. Have you driven on these
streets when they are digging them up?
Mr. Appel. Absolutely. I want to talk from an intermodal
perspective which can be--in other words, the agency, RITA,
looks a lot at how work done with one particular mode of
transportation impacts another mode of transportation and
trying to find efficiencies such that when projects are done,
they are integrated well. And integration between one mode and
another mode has very much in common with the integration
between a mode of transportation and some other type of
commerce. So what you are describing is absolutely the kind of
thing we would want to make sure we understand at RITA.
Senator Klobuchar. Thank you very much.
Mr. Szabo, I know everyone has been talking about their
rail projects, and I loved how Frank described his as ``truly
national'' instead of regional. And I would think rail through
the Midwest, which is in the middle of the country, would truly
be national, as we have to connect both sides of the country.
So I wanted to point that out, as well as the good inter-city
projects that are out there. Our Vice President Biden recently
visited Minnesota, and I think he was kind of stunned by all
the questions in St. Cloud, Minnesota, which is in the middle
of our State on adding an extra part to the rail to connect Big
Lake to Saint Cloud. So I just wondered if you could comment a
little on the inter-city rail piece of this.
Mr. Szabo. Well, Senator, obviously, I am aware that there
is a very healthy debate in Minnesota about passenger rail.
Frankly, it is one of the most exciting challenges before FRA
right now. It has become one of the keystone pieces of the
Administration's efforts in the recovery, and it truly is a
renaissance for passenger rail. So I look forward to working
with you on trying to make these projects become a reality.
Senator Klobuchar. Thank you very much. I will say, Mr.
Chairman, I learned a new term today from Senator Begich. I
always thought we had something in common with rural areas, but
now I know his are ``extreme rural.''
[Laughter.]
Senator Klobuchar. But I do not know where North Dakota
fits in.
Senator Begich. It is up there.
Senator Dorgan. Senator Thune from South Dakota?
Senator Klobuchar. Extreme rural.
[Laughter.]
STATEMENT OF HON. JOHN THUNE,
U.S. SENATOR FROM SOUTH DAKOTA
Senator Thune. Thank you. We would be happy to take you to
some extreme rural areas of our States.
[Laughter.]
Senator Thune. Thank you, Mr. Chairman and Senator
Hutchison, for holding today's hearing, and I want to thank our
panel for their willingness to serve. These are important
positions, important to the operation of our Government, and
obviously, we may not always agree on every policy, but it is
important the positions be filled in a timely manner by
qualified nominees who are ready to take on many of the
challenges that face our country. And we have many. We have an
over-dependence upon foreign energy. Infrastructure is aging.
There is no shortage of issues that we need to take on. So
thank you for your willingness to serve. I look forward to
working with all of you and hope that we can find some
solutions and some good results for the American people.
I would like to pose, if I could, a question to Mr.
Kienitz, and it has to do with the--some of which has already
been alluded to--but the upcoming highway bill debate. Just to
get your overall thoughts and without drilling down and getting
real specific about how we should address the shortfall in the
Highway Trust Fund that is so critical to our Nation's
infrastructure.
I do not know if you are familiar with it or not, but
Senator Wyden and I have a bill, the Build America Bonds Act,
which would supplement funding that States currently receive
via the Highway Trust Fund.
I am curious if I might get your overall thoughts with
respect to that issue and where you see us going with regard to
funding.
Mr. Kienitz. Yes, sir. Thank you. Yes, I think that is the
biggest obstacle right now in the way of the kind of debate
over surface reauthorization that I think a lot of people want
to have, which is how to create a program that looks to the
future and what are the new opportunities available to us. As
you know, the gasoline tax as a source of predictable, year-
over-year growth in funding has sort of collapsed, as it were.
I think everyone feels that it is going to come back
eventually. The economy will come back and driving will come
back. But even over the last 10 or 12 years, there has been a
growing mismatch between the rate at which project costs go up
and the rate at which revenue goes up.
So the Secretary is committed to and I think is already
engaged in a process inside the Administration of looking at
all the many possible options there are about how to fund
reauthorization at the levels that I think the members are
expecting. That conversation is not complete, and so I am not
sure what I can really say about it other than I know they are
talking about a whole bunch of different ways to do it. I think
he is well aware of the great difficulty there will be in
reauthorizing the program if the funding were to go down
substantially from the last reauthorization rather than grow,
for example.
Senator Thune. That was sufficiently vague.
[Laughter.]
Mr. Kienitz. Those are my instructions.
[Laughter.]
Senator Thune. I understand.
Just one other thought about that, though. There was
injected into the stimulus bill debate this whole notion of no
new capacity policy, and I am a little concerned we are going
to be dealing with it in the surface transportation bill. It
seems to me that when you have roughly 85 percent of your
highway funds spent on maintenance activities, that this could
be a solution in search of a problem. I guess my question is if
you can explain why, on one hand, we want increased flexibility
for State and local governments and yet, on the other hand, we
are trying to constrain that flexibility to only certain
activities.
Mr. Kienitz. Well, I guess I am not familiar with that
conversation as part of the Recovery Act discussion. I know
there was a debate on the Recovery Act over what the total
amount would be, how much would go to rail, how much would go
to transit, and how much would go to roadways, but as far as I
knew, the conversation on highway funding was really provided
to the States according to the usual system whereby projects
are selected at the State level.
I will tell you from my experience working at the State
level in Pennsylvania, our ability to fund big new capacity
projects just grew less and less every year as funding stayed
level and needs grew and we had 6,000 deficient bridges and
tens of thousands of miles of deficient roadways. And so as a
practical matter, that is sort of where the squeeze ends up,
but as sort of a particular mandate at the Federal level, I
guess I have not seen that yet.
Senator Thune. I do not mean to ignore the rest of you. We
are trying to drill down on some of these highway issues.
But I do have a question for the second panel if I could
submit it for the record. I do not know if I am going to be
able to be around for that panel.
Senator Dorgan. Without objection.
Senator Thune. If I could enter that into the record, that
would be great.
So thank you all very much again for your willingness to
serve.
Thank you, Mr. Chairman.
Senator Dorgan. Senator Thune, thank you.
Senator Warner?
Senator Warner. Thank you, Mr. Chairman. Let me add my
voice to my colleagues' in saying, hopefully, a prospective
congratulations on your nominations and hopefully very quick
approval.
I have got two areas I want to take my time on. One is
while I am not a mayor, I have dealt with State-level
transportation challenges, and one of the most frustrating
things at a State level is the silo nature of our
transportation funding. One of the things that I particularly
was happy to finally see in the Recovery Act was a pot of
resources, albeit smaller than I would have liked, that would
be supportive of multimodal transportation projects. I believe
if we are really going to think in a prospective way about how
we fund how we not only connect our road system with our rail
system but the airports and ports in a State like Virginia
where we have one of the gateway ports for the east coast and
an international gateway airport at Dulles, this multimodal
notion I think, even maybe for extreme rural States, is part of
the mix.
And I would like to hear any members of the panel, Mr.
Kienitz, perhaps starting with you, comment about the
commitment to multimodal and how, on a going-forward basis, the
Recovery Act will not be a one-off time and that we do not get
back to a funding cycle. Even as Senator Thune, I think, has
appropriately pointed out, current funding is not going to get
us where we need to be. And fighting over our ever-diminishing
pot of dollars is going to get tougher and tougher.
Is there going to be any chance that we are going to be
able to have multimodal as a real transportation policy for the
country?
Mr. Kienitz. Thank you, sir. I guess I will start with
that.
Personally I would say I could not agree with you more. I
think that that small funding program, though, is a great way
to sort of show people what policymaking without consideration
for the source of the funds being directed to one mode or
another, what that can actually look like. And it means doing
things where there is more than one mode involved in a project
and not having to go through a horrible legal exercise to say,
OK, this is the airport dollar, this is the transit dollar,
this is the roadway dollar, but rather look at the project as a
whole.
When I spoke earlier to Senator Thune about the idea of
what does the challenge for the 21st century look like for
rewriting the transportation program, I think that is partly
it, is to be able to set overall national objectives, economic
competitiveness, safety, environmental sustainability, things
like that, and then make funding decisions that drive the
country toward those outcomes.
It would certainly be my hope that by making funding
available through that discretionary program, it can be
demonstrated that that does not end up being an anti-rural
program but it may be that the funds you spend in very
congested urban areas get spent in different ways than they
might have done in the past and that the connections between
passenger rail and freight rail and airports are perhaps a
greater source of interest to that funding than might have
traditionally been in the past when you are spending money in
places that have those complicated systems.
Senator Warner. I would simply add on that. Amen to what
you said, but I would hope that those jump-ball dollars that
the Department is going to allocate soon, that you look at how
the criteria will be established. I mean, there was a group
that I was involved in before my election to the Senate, a
bipartisan policy group, looking at transportation and what
ought to be those new metrics. This would be a great
opportunity, I think, with these early dollars to set out some
new policy goals that could become part of the active debate
next year or later this year on the Surface Transportation
Reauthorization Act.
I apologize. I want to get one question. I want to hear
multimodal from everybody else. If you could perhaps submit any
answers for the record.
But I do want to get back to Mr. Appel on one question
about technology, and that is that Senator Klobuchar mentioned
the notion of combining roads and broadband so that when you
make those changes, you lay in the broadband. We started an
initiative like that in Virginia. There has been little real
advancement in surface transportation technology.
A little bit earlier today I was looking at what I hope
will be one of the first generations of new electric vehicles
that may have plug-in capabilities. There is Hawaii and Israel.
Denmark has got a proposal to actually retrofit their whole
transportation system. And my time is going to run out.
But please comment on how we make sure we really push the
technology edge, and from a parochial standpoint, as you look
at locations to push that, Virginia Tech has been one of the
leaders in this area with the Smart Road down in Blacksburg.
And I hope that that would get on your radar screen, along with
those Alaska projects, in terms of how we can push this
technology.
I think I have actually used up about all my time, but if
you have got a quick response, I would appreciate it.
Mr. Appel. Absolutely. First of all through the
transportation infrastructure investment going on right now, we
have a great opportunity to combine a lot of goals at the same
time. Sustainability, which relates to the electrical vehicles,
is a huge priority of the Department, as is safety, as is
capacity. And a lot of the technology--the research that is
being done at these universities, working with RITA, and the
research being done at RITA itself at the Volpe Center, are
geared toward trying to identify technologies that will
increase the capacity of existing highways but also bring about
the sustainability, bring about safety at the same time.
Basically, if you take a look at what the Volpe Center up
in Cambridge is doing right now, they are perhaps the most
cross-modal group within the Department. There are engineers
and researchers across every mode of transportation. They are
working with their counterparts at the universities. And the
kind of issues you are talking about are the kind of issues
that they are looking at not just applying to roadways or
surface transportation, but really across the modes.
So these are exactly the kind of issues that I am going to
take a look at as soon as I get there and really try to make
sure that our priorities at RITA are aligned with the overall
priorities of the Department and the Administration in those
areas.
Senator Warner. Thank you. Thank you, Mr. Chairman.
Senator Dorgan. Senator Warner, thank you very much.
Let me thank all of the nominees. I intend to support all
of the nominees. I think you are of extraordinary quality. All
of you aspire to join an agency that is part of a big
bureaucracy, including bureaucracy within the specific agency
to which you aspire to work. Let me urge you, to the extent you
can, because every bureaucracy around this town is filled with
the cholesterol that blocks the arteries of progress every
single day. I hope you will just tip it upside down and shake
it when you get there. You have got a lot of big issues on the
plate. I mean, really a lot of big issues. I want you to
transform the bureaucracy rather than having the bureaucracy
transform you.
I have a lot of questions that I would ask, but I think I
will defer and submit some questions. But the issue of the
modernization of the FAA system--I chair the Aviation
Subcommittee here in the Commerce Committee. We have got a lot
of issues there with respect to how do we fund modernization.
Amtrak is very important, essential air service. There are just
so many issues, rural roads.
I am not going to get into the issue of extreme rural. Let
me observe that--I mean, I come from a town of 300 people, and
on the Fourth of July at the parade, we just parked the float
and had people walk around the float.
[Laughter.]
Senator Dorgan. Where I come from, they call that real
rural.
So let me thank all five of you and I appreciate very much
your appearance here today. You are dismissed.
We will ask that the next nominees come to the table. We
will call to the table Mr. Cameron Kerry who is nominated to be
General Counsel at the Department of Commerce. Let me hold just
for a moment while we clear the table. Ms. April Boyd,
Assistant Secretary for Legislative and Intergovernmental
Affairs at the Department of Commerce, and Ms. Sherburne Abbott
to be Associate Director of the Office of Science and
Technology Policy in the Executive Office of the President.
If we can clear the room quickly, we would appreciate that.
We would like to begin with the second panel, please.
[Pause.]
Senator Dorgan. Let me thank all of you for your
cooperation. We are pleased here to receive the nominations of
Mr. Cameron Kerry to be General Counsel of the Department of
Commerce. Ms. April Boyd is nominated to be the Assistant
Secretary for Legislative and Intergovernmental Affairs at the
Department of Commerce, and Ms. Sherburne Abbott to be
Associate Director of the Office of Science and Technology. I
thank all three of you for being here.
My understanding is that Congresswoman Tauscher wishes to
have a statement entered into the record at this point with
respect to the nomination of Ms. Boyd.
[The prepared statement of Ms. Tauscher follows:]
Prepared Statement of Hon. Ellen O. Tauscher,
U.S. Representative from California, Tenth District
Mr. Chairman and Ranking Member Hutchison, thank you for the
opportunity to introduce to the Committee today April Boyd. During the
time April worked for me in the House of Representatives, she was known
as one of Capitol Hill's most conscientious, dedicated and well-liked
staff members, and I know she will fill the same role in the Obama
Administration if confirmed as the Assistant Secretary for Legislative
and Intergovernmental Affairs within the Department of Commerce.
April served as my indefatigable Communications Director from 2001
to 2004. In 2006, when my long-time Chief-of-Staff was leaving, I asked
her to come back in that capacity. As my chief of staff, April not only
capably managed my dedicated staff, but she played a key leadership
role with the 67-Member House New Democrat Coalition, which I am
privileged to chair. In this role, April was my strong voice for
economic policies that foster the competitiveness and technological
growth imperative to American businesses and workers.
Throughout my tenure, I have worked with many bright, talented
staffers on Capitol Hill, and April is among the best. She is a true
team-player and, above all, a delight to work with. She is a
responsible manager, a dedicated professional, and I am proud to also
call her a friend.
If confirmed by the Senate, I know April will be an asset to the
Obama Administration's open, honest, accountable Federal Government.
She understands the needs of Capitol Hill and will always put her
credibility and dedication to our country first.
Mr. Chairman, thank you for your time, and I hope you and your
distinguished colleagues will see fit to confirm April Boyd as
Assistant Secretary of Commerce for Legislative and Intergovernmental
Affairs.
Senator Dorgan. We will begin with Ms. Boyd. I would ask
any of you, if you have members of your family who you wish to
identify for the Committee, please feel free to do so.
STATEMENT OF APRIL BOYD,
ASSISTANT SECRETARY-DESIGNATE, OFFICE OF
LEGISLATIVE AND INTERGOVERNMENTAL AFFAIRS,
DEPARTMENT OF COMMERCE
Ms. Boyd. Sure. Thank you, Mr. Chairman. In the interest of
time, I would like to summarize my prepared remarks and ask
that my full statement be submitted for the record.
Senator Dorgan. Without objection.
Ms. Boyd. Thank you.
If I may, I would like to thank you, Chairman Rockefeller,
and Ranking Member, Hutchison, for holding today's hearing, and
especially Ellen Doneski, for her graciousness throughout this
process.
I would also be remiss if I did not thank the career staff
at the Department of Commerce for their help thus far,
especially Jim Schufreider and Karen Swanson-Woolf, and the
General Counsel's Office, and acknowledge my large contingency
of family here today. My husband Rob who, without his support,
I could not even think about taking on this incredible
responsibility. My daughter Adeline, who is probably going to
practice her walking in the back of the hearing room. My mom
Claudia, and my sister Monica.
Senator Dorgan. Welcome.
Ms. Boyd. Thank you.
I am honored and humbled to have been nominated by
President Obama and have Secretary Locke's support to appear
before you this afternoon. If confirmed by the Senate, I would
be honored to serve as the Assistant Secretary for Legislative
and Intergovernmental Affairs and play a role in tapping the
Department of Commerce's vast potential to help address our
Nation's economic challenges.
Whether it is the $4.7 billion in broadband grants the NTIA
will distribute in communities throughout our country, to NOAA,
the upcoming census, or efforts to spur economic development
and the growth of new industries, it is hard to find even one
American whose life is not impacted or cannot be improved by
the work of the Department of Commerce.
If confirmed, I believe my top priority at the Commerce
Department should be to be as responsive as possible to
Congress and other elected officials, in keeping with President
Obama's call for the Federal Government to be open,
accountable, bipartisan, transparent, and efficient.
The opportunity to serve as a liaison with Congress and
State and local governments is one I take very seriously. As
someone who spent the last 8 years working in both the House
and Senate, I respect and understand the role of the Congress
in ensuring our Government is accountable to the people you and
the President represent.
I was fortunate to work for two amazing people on Capitol
Hill: Representative Ellen Tauscher of California, and Senator
John Kerry. I particularly want to thank Senator Kerry and his
staff for teaching me about this incredible chamber and also
that the Department of Commerce has a lot to do with our oceans
and fisheries.
I most recently served as Chief of Staff to Congresswoman
Ellen Tauscher, the Chair of the House New Democrat Coalition.
There I devoted much of my time to working to help enact
policies that focus on strengthening America's competitiveness
in the global marketplace and fostering the innovation that has
always put our workers and businesses at the forefront.
I believe my skills and experiences on the Hill and
previously in the Executive Branch have prepared me well for
this Assistant Secretary position. If confirmed, I would be
honored to serve the President, Secretary Locke, and you at
this unique time in our country's history.
Thank you. I would be happy to answer any questions you may
have as well.
[The prepared statement and biographical information of Ms.
Boyd follows:]
Prepared Statement of April Boyd, Assistant Secretary-Designate, Office
of Legislative and Intergovernmental Affairs, Department of Commerce
Thank you Mr. Chairman, Ranking Member Hutchison, and Members of
the Committee. It is an honor both to have been nominated by President
Obama and to appear before you this morning. Chairman Rockefeller,
during Secretary Locke's confirmation hearing you pointed out that it
is ``extraordinarily important'' the Department and this Committee
remain in close contact. I couldn't agree more and, if confirmed, you
have my whole-hearted commitment to being open and accessible.
I would like to acknowledge my family here today, beginning with my
incredibly supportive husband, Rob, and our daughter Adeline. I'd also
like to thank my mom; she raised my sister and me on her own and really
instilled in us the value of hard work. And hopefully my grandmother's
Internet is working so she can be watching today in Fremont County,
Iowa. I would not be here today without any of them.
I would also like to thank Secretary Locke, Phil Schiliro and
everyone who has made possible this once-in-a-lifetime opportunity to
serve. And I would briefly like to thank the dedicated career staff at
the Department, particularly the Acting Assistant Secretary Jim
Schufreider, Karen Swanson-Woolf, Jen Costanza and Matt Stout in the
Office of Legislative and Intergovernmental Affairs, and the General
Counsel's office.
In his confirmation hearing, Secretary Locke talked about the
Department of Commerce as ``an engine of innovation, job growth, and
economic renewal.'' I believe his vision and energy are exactly what
the Department and our country need in these difficult times. If
confirmed by the Senate, I would be honored to serve as the Assistant
Secretary for Legislative and Intergovernmental Affairs and play a role
in tapping the vast potential of the Department to address our Nation's
economic challenges.
Because it impacts every sector of our economy, the Department of
Commerce touches the life of virtually every American in some way.
Under the Department's purview are the upcoming Census; the National
Oceanic and Atmospheric Administration's crucial work in climate
change, oceans, fisheries, and satellite programs; $4.7 billion in
broadband grants the National Telecommunications and Information
Administration will distribute in communities throughout our country;
stimulus efforts to spur economic development and the growth of new
industries through the efforts of the Economic Development
Administration and Minority Business Development Agency; and the
International Trade Administration's work to encourage economic growth
and provide a level playing field for American businesses. Include with
those vital areas the Patent and Trademark Office's work to protect
Americans' intellectual property; the science being done at the
National Institute of Standards and Technology; and the critical and
continual economic policy analyses and statistics produced by
Commerce's bureaus, and it's hard to find even one American whose life
is not impacted or cannot be improved by the work of the Department.
I believe my top priority at the Commerce Department should be to
be as responsive as possible to Congress and other elected officials,
in keeping with President Obama's call for the Federal Government to be
accountable, transparent and efficient.
The opportunity to serve as a liaison with Congress and state and
local governments is one I take very seriously. As someone who spent
the last 8 years working in both the House and Senate, it would be a
privilege and an honor to be able to reach out and respond to you and
your colleagues, Representatives, Governors, Mayors, and their staffs,
and I would ensure that everyone reporting to me shared my same open,
responsive philosophy.
I was fortunate to work for two amazing people in Congress:
Representative Ellen Tauscher of California and Senator John Kerry. I
particularly want to thank Senator Kerry and his brilliant staff for
teaching me about this incredible chamber and, in particular, that the
Department of Commerce has a lot to do with our oceans and fisheries.
Most recently, I served as the Chief of Staff to Congresswoman
Tauscher, the Chair of the House New Democrat Coalition. There, I
devoted much of my time to working to help enact policies that focus on
strengthening America's economic competitiveness in the global
marketplace and fostering the innovation that has always put our
businesses and workers at the forefront. In this capacity, the issues
on which I focused are some of the most important issues facing
American businesses and workers today--passing the economic stimulus
packages, expanding broadband deployment, protecting Americans'
intellectual property around the globe, expanding trade in a way that
creates jobs here at home and expands markets for American goods, and
working to promote a regulatory environment that is fair and, above
all, predictable.
I believe my skills and experiences on the Hill and previously in
the Executive Branch have prepared me well for the Assistant Secretary
position, and I look forward to working with the Senate and House to
ensure our government is accountable to the people you and the
President represent.
If confirmed, I will be honored to serve at this unique time in our
country's history. The Department of Commerce's success is vital to
America's economic recovery. You have my word that I will work
aggressively to address the challenges and maximize the opportunities
facing the Department.
______
a. biographical information
1. Name (Include any former names or nicknames used):
April Susanna Boyd (married name).
Prior names: April Susanna Kingery (childhood name) and April
Susanna Kaufman (legally took stepfather's last name).
2. Position to which nominated: Assistant Secretary for Legislative
and Intergovernmental Affairs, Department of Commerce.
3. Date of Nomination: Intent to nominate announced February 23,
2009.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: Office of Congresswoman Ellen Tauscher, 2459 Rayburn
House Building, Washington, DC 20515 (Note: Through January 31,
2009).
5. Date and Place of Birth: August 8, 1975; Hamburg, Iowa.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Spouse: Robert Newton Boyd, III, Associate Attorney, Holland &
Knight LLP, 2099 Pennsylvania Avenue, NW, Suite 100,
Washington, DC 20006; child: Adeline Anna Boyd, age 1 year.
7. List all college and graduate degrees. Provide year and school
attended.
BA in Political Science, Magna Cum Laude, Loyola Marymount
University, Los Angeles 1997.
Also attended: Pepperdine University, Malibu, California,
August 1993--December 1994 (first three semesters of college).
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
Congresswoman Ellen Tauscher, Chief of Staff, August 2006 to
January 2009.
Served as top strategic advisor to leader of the 68-Member
House New Democrat Coalition, the largest bloc of moderates in
Congress.
Managed annual budget of $1.3 million and diverse staff of 17
in Washington and three district offices.
Directed all aspects of active Congressional operation,
including policy, communications, scheduling, political and
outreach.
Oversaw development of international bipartisan Congressional
Delegation trips to ensure policy goals were achieved.
Built targeted public outreach program, including strategies to
grow opt-in e-mail list and redesign of website, requiring
three-fold increase in outreach budget achieved through
budgeting and staffing efficiencies.
Senator John Kerry, National Press Secretary, November 2004 to
August 2006.
Responsible for daily management of responses to media inquires
in fast-paced press office, including supervising and
coordinating daily activities of Deputy Press Secretary,
Committee Communications Director and Massachusetts Press
Secretary.
Developed roll-out strategies for major policy initiatives,
involving speeches, targeted op-eds, background briefings for
media, and website content.
Senator John Kerry, Official Press Secretary, April 2004 to
November 2004.
Identified legislative communications opportunities.
Developed and edited rapid response communications to clarify
Senator's record and distribute to Hill surrogates.
Congresswoman Ellen Tauscher, Communications Director, January 2001
to April 2004.
U.S. Department of Energy, Press Officer and Special Assistant,
February 2000 to January 2001.
Played lead communications role in successful strategy for
landmark legislative proposal to compensate sick nuclear
workers, including coordinating with press offices at field
sites in 12 states, placing surrogates in key markets and
briefing reporters and editorial boards.
U.S. General Services Administration, Media Liaison, April 1998 to
February 2000.
The Hauser Group, Public Relations Consultant, March 1998 to April
1998.
The White House, Presidential Advance, March 1998 to April 1999.
Note: Unpaid position, periodic work around specific events/not full-
time employment.
9. Attach a copy of your resume. A copy is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last 5 years: None.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last 5 years.
My husband and I own four rental units which we lease out, two
apartments in our home on 6th Street, SE and a two-unit home on 4th
Street, SE, both in Washington, D.C.
12. Please list each membership you have had during the past 10
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religious organization, private club, or other membership organization.
Include dates of membership and any positions you have held with any
organization. Please note whether any such club or organization
restricts membership on the basis of sex, race, color, religion,
national origin, age, or handicap.
House Chiefs of Staff Association, 2007.
American Legion Auxiliary, lifetime member (inactive). Note:
This is a women's organization.
Daughters of the American Revolution, member 2002-present
(inactive). Note: This is a women's organization.
Kappa Kappa Gamma sorority, alumna 1996-present (inactive).
Note: This is a women's organization.
Atean Society, board 1999-2000 (This organization no longer
exists but at the time was a group of young professionals who
organized an annual charity benefit.)
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected. or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt: No; not applicable.
14. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past 10 years. Also list all offices you
have held with, and services rendered to, a state or national political
party or election committee during the same period.
Political Contributions over $500:
Obama for America, $2,300 to general election campaign.
Richardson for President, $1,000 to primary campaign.
Richardson for Governor, $500.
Services and Affiliations:
Democratic Congressional Campaign Committee--In my personal
time, I have co-hosted events, raised funds and attended events
benefiting the DCCC's efforts in the 2006 and 2008 cycles.
NewDemPAC and Center Stage--I met with prospective House
candidates, made fundraising calls and attended fundraisers and
other events for the NewDemPAC (the Political Action Committee
of the House New Democrat Coalition) in my personal time during
the 2006 and 2008 cycles. I have attended events held by Center
Stage, an LLC which primarily held events at the 2008
Democratic Convention.
Tauscher for Congress and Democrats for the Future--In my
personal time, I have made fundraising calls and attended
fundraisers and other events for Congresswoman Tauscher's
reelection committee and her Leadership PAC during the 2006 and
2008 cycles.
Presidential Debates 2004--I assisted the Kerry-Edwards
campaign in a volunteer capacity with media booking and
surrogate staffing at the three Presidential debates in 2004.
Democratic National Convention 2004--I volunteered as a Network
Liaison at the Democratic Convention in 2004. In this capacity,
I booked Kerry campaign officials on the networks assigned to
me and briefed them for their interviews during the week of the
Convention.
DNC Convention Response Team--In this volunteer capacity, I
assisted in the Democratic response to 2004 Republican National
Convention.
Gore-Lieberman 2000--In this volunteer capacity, I assisted the
Ohio Press Secretary with statewide surrogate pitching efforts.
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Scholarships:
I received several merit and need-based scholarships to attend
college.
Other Special Recognition for Outstanding Service or Achievements:
Secretary of Energy's Award for Excellence for the Energy
Employees Occupational Illness Compensation Program Act, 2000.
Named one of the best press officers in the Clinton
administration by the Regional Reporters Association, 2000.
Stanley Chan Award for the Outstanding Political Science
Graduate, Loyola Marymount University, 1997.
16. Please list each book, article, column, or publication you have
authored, individually or with others. Also list any speeches that you
have given on topics relevant to the position for which you have been
nominated. Do not attach copies of these publications unless otherwise
instructed.
All columns, op-eds and speeches I have written have been in the
name of my employers.
17. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony: Not applicable.
18. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
As Governor Locke said when nominated by President Obama to serve
as Secretary of Commerce, ``We will harness the resources and the
talent of the Department of Commerce to help you fulfill your
commitment to the American people to build a stronger and more
prosperous nation.'' If confirmed by the Senate, I would be honored to
serve as the Assistant Secretary for Legislative and Intergovernmental
Affairs at the Department of Commerce and play a role in that. The
Department has tremendous work ahead of it to help get our economy back
on track. I understand that American workers are the best and most
industrious in the world and that when American businesses thrive, so
will American workers. The President and Congress have undertaken an
aggressive stimulus plan to create every opportunity for economic
recovery. As the Chief of Staff to the Chair of the House New Democrat
Coalition, I have devoted much of my time in the House to working to
help enact policies that focus on strengthening America's economic
competitiveness in the global marketplace and fostering the innovation
that has always put our businesses at the forefront. In this capacity,
the issues on which I focused are some of the most important issues
facing American businesses today--passing the economic stimulus
packages, expanding broadband deployment, protecting Americans'
intellectual property around the globe, expanding trade in a way that
creates jobs here at home and expands markets for American goods, and
working to promote a regulatory environment that is fair and, above
all, predictable.
In addition, before returning to the House, I worked for Senator
John Kerry, who serves on the Senate Commerce, Science and
Transportation Committee. While there, I became versed in many of the
issues facing the Department.
The opportunity to serve as a liaison with Congress and state and
local governments is one I take very seriously. As someone who spent
the last 8 years working in both the House and Senate, it would be a
privilege and an honor to be able to reach out and respond to the
Senators, Representatives, Governors, Mayors, and their staff, and I
would ensure that everyone reporting to me shared my same open,
responsive philosophy.
19. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
While the Department will be well run by the Secretary and his top
managers, I would take great care to ensure taxpayer dollars are wisely
spent in the Legislative and Intergovernmental Affairs office. In my
most recent position, I was responsible for managing a $1.3 million
annual operating budget and a diverse staff of 17. I have had to make
hard staffing and budget decisions in the past, and I am prepared to do
so again.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
I believe the top priority for the Commerce Department is to be as
responsive to the American people and Congress as possible, in keeping
with the President's call for the Federal Government to be accountable,
transparent and efficient. Implementation of the American Recovery and
Reinvestment Act presents historic challenges and opportunities for the
Department, which I look forward to working with the Committee to
ensure are met.
The individual challenges in the Department will all benefit from a
Department that operates in a way that reflects the Obama
Administration's priorities--whether it is the upcoming Census; the
National Oceanic and Atmospheric Administration's (NOAA) crucial work
in climate change, oceans, fisheries, and satellite programs; or the
dire need to spur economic development and the growth of new industries
through the efforts of the Economic Development Administration,
Minority Business Development Agency, National Institute of Standards
and Technology, International Trade Administration, and the Patent and
Trademark Office.
If confirmed I will be as responsive to Congress and state and
local governments as possible, and I will aggressively work to address
all challenges and maximize all opportunities facing the Department.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
My husband has mutual fund retirement accounts that are not self-
directed, and I participate in the Federal Government's Thrift Savings
Plan program. He continues to hold individual stocks he purchased prior
to our marriage. In addition, we own rental property described above
and in my SF-278.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain: None.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated: None.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last 10 years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated: None.
5. Describe any activity during the past 10 years in which you have
been engaged for the purpose of directly or indirectly influencing the
passage, defeat, or modification of any legislation or affecting the
administration and execution of law or public policy.
Throughout my career in government--eight years on the Hill and
nearly 3 years in the Clinton administration--I have held positions in
which I have worked to pass and impact legislation and public policy.
Below I have highlighted key activities in each position.
As the Chief of Staff to Congresswoman Ellen Tauscher, I have
worked to pass and shape legislation. Specific examples include
legislation she sponsored in the 110th Congress to:
Bring greater transparency and accountability to commodity
markets without preventing pension funds and other
institutional investors from engaging in the futures markets
(H.R. 6976);
Ensure that every crib sold in the United States is safe for
infants (H.R. 5692);
Mandate our troops have sufficient ``dwell time,'' or periods
of rest and retraining, between deployments for Operation Iraqi
Freedom or Operation Enduring Freedom (H.R. 3159); and
Repeal the 2002 Congressional Resolution authorizing the use of
force in Iraq (H.R. 2450).
In addition, because of the Congresswoman's role as Chair of the
68-Member House New Democrat Coalition, I have been involved in that
organization's efforts to enact legislation that strengthens U.S.
competitiveness, meets the challenges posed by globalization in the
21st century, and bolsters America's standing in the world. The
organization played an active role in the Speaker's Innovation Agenda--
including longstanding New Dem efforts to promote ``green tech'' jobs,
simplify and extend the research and development tax credit, and
implement Healthcare Information Technology to reduce healthcare costs
and provide savings for patients and businesses. The New Dems also
played a lead role in the bipartisan new U.S. trade policy, which
includes enforceable core labor and environmental standards, announced
in May 2007. A summary of the New Dems' accomplishments in the 110th
Congress can be found at http://www.house.gov/apps/list/press/
ca10_tauscher/110th_Accomplishments.html.
As the National Press Secretary to Senator John Kerry, I worked to
generate public support for passage of his Kids First bill (S. 114).
This legislation would have ensured health care coverage for the then
11 million uninsured children in America by encouraging states to
expand coverage under Medicaid and the State Children's Health
Insurance Program and by providing tax incentives for parents to insure
their children.
At the Department of Energy, I had primary communications
responsibility for the administration's landmark proposal to compensate
sick nuclear workers, the Energy Employees Occupational Illness
Compensation Program Act, which was signed into law by President
Clinton in 2000. This legislation became only the fourth Federal
workers' compensation program in history.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
See attached Ethics Agreement.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics
by, or been the subject of a complaint to any court, administrative
agency, professional association, disciplinary committee, or other
professional group? If so, please explain: No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain: No.
3. Have you or any business of which you are or were an officer
ever been involved as a party in an administrative agency proceeding or
civil litigation? If so, please explain: No.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain: No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain: No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination: None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by congressional committees?
Yes. As someone who has spent the last 8 years on the Hill, I
respect and understand the role of the Senate and House in ensuring our
government is accountable to the people they represent.
2. Will you ensure that your department/agency does whatever it can
to protect congressional witnesses and whistle blowers from reprisal
for their testimony and disclosures?
Yes. During my work at the Department of Energy (DOE), I was
sympathetic to the men and women who for decades before were blowing
the whistle on unsafe working conditions at Atomic Energy Commission
and DOE sites. The refusal of the government to acknowledge their
claims resulted in decades of our Cold War warriors being left sick or
dying as a result of their service in the production of our country's
nuclear deterrent. I am proud to have had a role in ensuring their
voices were finally heard, and I would work to ensure all congressional
witnesses and whistle blowers are heard and protected.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
resume of april boyd
Professional Experience
Congresswoman Ellen Tauscher, Chief of Staff, Washington, D.C.,
August 2006 to January 2009.
Served as top strategic advisor to leader of the 68-Member
House New Democrat Coalition, the largest bloc of moderates in
Congress, and House Armed Services Subcommittee Chair.
Managed annual budget of $1.3 million and diverse staff of 17
in Washington and three district offices.
Directed all aspects of active Congressional operation,
including policy, communications, scheduling, political and
outreach.
Oversaw development of international bipartisan Congressional
Delegation trips to ensure policy goals were achieved.
Built targeted constituent outreach program, including
strategies to grow opt-in e-mail list and redesign of website,
requiring three-fold increase in outreach budget achieved
through budgeting and staffing efficiencies.
Reduced mail response time from 120 to 10 days by better
utilizing technology and streamlining approval process.
Senator John Kerry, National Press Secretary, Washington, D.C.,
November 2004 to August 2006.
Served as spokesperson for Senator in national and
international media outlets.
Developed multi-pronged roll-out strategies for major policy
initiatives involving speeches, press events, targeted op-eds,
interviews, background briefings with reporters and columnists,
press packets, and website content.
Responsible for daily management of media inquires in fast-
paced office, including supervising Deputy Press Secretary,
Committee Communications Director and Massachusetts Press
Secretary.
Official Press Secretary, Washington, D.C., April 2004 to November
2004.
Developed and edited rapid response communications to clarify
Senator's record and distribute to Hill surrogates.
Identified potential legislative communications opportunities.
Responsible for daily management of press inquires on Senator's
record and votes.
Congresswoman Ellen Tauscher, Communications Director, Washington,
D.C., January 2001 to April 2004.
Devised and implemented redistricting communications strategy
to introduce Congresswoman to 200,000 new constituents.
Leveraged Congresswoman's appointment as National Vice Chair of
the Democratic Leadership Council to elevate her national
profile, including being named one of the ``50 most powerful
people in Washington'' by George magazine.
U.S. Department of Energy, Press Officer and Special Assistant,
Washington, D.C., February 2000 to January 2001.
Played lead role in media strategy for landmark legislative
proposal to compensate sick nuclear workers, including
coordinating with press offices at field sites in 12 states,
placing surrogates in key markets, and briefing reporters and
editorial boards.
Acted as traveling press secretary to Secretary Bill Richardson
on foreign and domestic trips.
Served as spokesperson for agency and Secretary on nuclear
safety, electricity crisis and other issues.
Worked with Communications Director to develop crisis
management strategies for breaking public health stories.
U.S. General Services Administration, Media Liaison, Washington,
D.C., April 1998 to February 2000.
The Hauser Group, Public Relations Consultant, Washington, D.C.,
March 1998 to April 1998.
The White House, Presidential Advance, Washington, D.C., March 1998
to April 1999.
Political Experience
Presidential Debates 2004--Assisted Kerry-Edwards campaign with
media booking and surrogate staffing Democratic National Convention
2004--Network Liaison.
DNC Convention Response Team--Assisted in Democratic response to
2004 Republican National Convention.
Gore-Lieberman 2000--Assisted Ohio Press Secretary with statewide
surrogate pitching efforts.
Education
Loyola Marymount University, Los Angeles, Bachelor of Arts, 1997,
Magna Cum Laude.
Distinctions
Named one of the best press officers in the Clinton administration
by the Regional Reporters Association, 2000 Secretary of Energy's Award
for Excellence for the Energy Employees Occupational Illness
Compensation Program Act, 2000.
______
February 20, 2009
Ms. Barbara S. Fredericks,
Assistant General Counsel for Administration,
U.S. Department of Commerce,
Washington, DC.
Dear Ms. Fredericks:
The purpose of this letter is to describe the steps that I will
take to avoid any actual or apparent conflict of interest in the event
that I am confirmed for the position of Assistant Secretary for
Legislative and Intergovernmental Affairs, United States Department of
Commerce.
As required by 18 U.S.C. 208(a), I will not participate
personally and substantially in any particular matter that has a direct
and predictable effect on my financial interests or those of any person
whose interests are imputed to me,. unless I first obtain a written
waiver, pursuant to 18 U.S.C. 208(b)(1), or qualify for a regulatory
exemption, pursuant to 18 U.S.C. 208(10)(2). I understand that the
interests of the following persons are imputed to me: any spouse or
minor child of mine; any general partner of a partnership in which I am
a limited or general partner; any organization in which I serve as
officer, director, trustee, general partner or employee; and any person
or organization with which I am negotiating or have an arrangement
concerning prospective employment.
Within 90 days of my confirmation, my spouse and I will reduce our
interests in Exxon Mobil and Johnson & Johnson sufficiently to allow my
participation in matters of general applicability, consistent with 5
CFA. 2640.202(c). We will divest enough shares of Exxon Mobil to
reduce the value of our interest to no more than $20,000. We will
divest enough shares of Johnson & Johnson to reduce the value of our
interest to no more than $20,000, with the aggregate value of our
interests in Johnson & Johnson, General Electric, and Pfizer being
reduced to no more than $45,000. With regard to Exxon Mobil and Johnson
& Johnson, I will not participate personally and substantially in any
particular matter that has a direct and predictable effect on the
financial interests of these entities until we have divested our
interests to a value below the ceiling of the regulatory exemption
allowing participation in matters of general applicability, unless I
first obtain a written waiver, pursuant to 18 U.S.C. 208(b)(1). After
these initial divestitures, I will monitor the values of my interests
in these companies carefully to ensure that I remain eligible to
participate in matters of general applicability affecting them.
Moreover, if I rely on a de minimus exemption under 5 C.F.R.
2640.202 with regard to any of my financial interests, I will monitor
the value of all such interests. If the aggregate value of interests
affected by a matter of general applicability increases and exceeds the
de minimis threshold or if the value of an individual holding exceeds
the de minimus threshold, I will not participate in the matter, unless
I first obtain a written waiver under 18 U.S.C. 208(b)(1).
My spouse is employed as an associate by the law firm Holland &
Knight, LLP, from which he receives a fixed salary and an annual bonus.
I will not participate personally and substantially in any particular
matter that has a direct and predictable effect on my spouse's,
compensation or employment with Holland & Knight, LLP, unless I first
obtain a written waiver, pursuant to 1.8 U.S.C. 208(b)(1). I also
will not participate personally and substantially in any particular
matter involving specific parties in which the firm or any client of my
spouse is a party or represents a party, unless I am first authorized
to participate, pursuant to 5 C.F.R. 2635.502(d). In addition, for
the duration of my appointment to the position of Assistant Secretary
for Legislative and Intergovernmental Affairs, my spouse has agreed not
to communicate with the Department of Commerce on behalf of the firm or
any client.
Sincerely,
April S. Boyd
Senator Dorgan. Ms. Boyd, thank you very much.
Mr. Kerry, your entire statement will be made a part of the
permanent record, as well as Ms. Abbott's when she testifies.
STATEMENT OF CAMERON F. KERRY, GENERAL COUNSEL-DESIGNATE,
DEPARTMENT OF COMMERCE
Mr. Kerry. Thank you, Chairman Dorgan and Ranking Member
Hutchison and Members of the Committee. I am honored to be here
today, and I am humbled by the trust that President Obama and
Secretary Locke are placing in me. I am grateful for this
opportunity to serve the American people as General Counsel at
the Department of Commerce.
I am also very honored to join a distinguished group of
lawyers from both parties who have held this post who have set
the bar very high.
I do want to thank my brother, Senator Kerry, for his very
generous introduction today. Sometimes, between siblings, words
like that do not come easily, so I am certainly enjoying the
occasion. I think the Committee can rest assured that I will be
very attentive to this body because if I am not, my big brother
is going to beat me up.
[Laughter.]
Mr. Kerry. In truth, I have always looked up to my big
brother because of the way that he has invested his life in
public service, and I have seen up close the sacrifices that
public servants, both elected officials and government workers,
make and how hard they work. I am awed and humbled by their
example and gratified by the opportunity to serve myself.
I would like to take a moment to introduce to the members
of the Committee who were not presented to my family earlier,
my wife, Kathy Weinman. Kathy and I actually met here in the
City of Washington as young associates at a law firm. This is
where we fell in love. So this city has romantic associations
for us. Since we have made our home in Boston, she has, as my
brother mentioned, become a distinguished lawyer there and now
heads the Boston Bar Association, which is the Nation's oldest.
It was founded by John Adams.
Our youngest daughter, Laura is keeping her college class
schedule in Senator Snowe's State, but we are proud to have
with us here my daughter Jessica as well.
The Department of Commerce, as April Boyd has discussed,
has a broad mandate of stewardship of knowledge, of innovation,
and of economic growth. As the agency's chief legal officer,
the General Counsel faces an array of complex problems from
trade to climate science, to Internet technology, to fisheries,
to intellectual property, among many others. And the General
Counsel has to manage some 400 lawyers in 14 bureaus and face
the difficult issues ahead immediately of the 2010 Census, the
stimulus program, and patent reform.
All this will be a challenge, but it is a challenge that I
welcome. In 30 years as a regulatory lawyer, as a litigator, I
have had to master a number of complex areas of the law from
the time that I started practice here in Washington at Wilmer,
Cutler as a communications and antitrust lawyer, to teaching
communications at Suffolk Law School, to reaching beyond those
boundaries to litigate complex cases in environmental cleanup
and toxic torts, in insurance regulation, all of which demanded
the mastery of expert witnesses in a variety of scientific and
professional disciplines. And I have appeared in various
jurisdictions not just in New England but around the country
and here in the District of Columbia.
So I come before you today with much to learn, but I
believe also with the skill, the judgment, and the range to
address the broad array of issues at the Department of
Commerce. I plan to give this job every bit of energy,
creativity, versatility, curiosity, and intellect that I can
muster.
As I do that, I will have the help of an experienced career
staff. A law office depends on its intellectual capital, and
that is something that the General Counsel's Office has in
abundance.
My goal, members of the Committee, if I am confirmed, is to
make sure that this intellectual capital is harnessed in the
service of economic recovery in the national task of creating
jobs and economic growth. The lawyers of the Department can
support that task by turning to it urgently with their most
thorough analytical skills, their most creative imagination,
and their most careful ethical judgment.
If I am confirmed, I will also bring the experience--in
politics and in my brother's national campaign. This has
bearing because each of the members of this Committee and of
this body knows well that campaigns are a crucible, and in some
small measure, I have been through that crucible and had the
opportunity to deal with national issues, to advise on national
issues, and to have, as I have gotten to know the States of
some of the members here, the opportunity to have some of the
conversations you have had with people who wonder how they are
going to be able to pass on to their children what our parents
passed on to us.
I believe I can be a better advisor to the Secretary, a
better Counsel to the Department, and more attentive to the
members of this body because of those experiences.
This is an extraordinary time of challenge, a time to be in
public service. I am honored to be asked to serve as General
Counsel, and I am grateful for the opportunity not just to be
here today but to the members who have shared their time, their
insights on the issues before the Department of Commerce, and I
hope that those conversations are just a beginning, that
Secretary Locke and the Department of Commerce can look forward
to a productive partnership with this Committee, with this body
in the work of lifting the Nation out of its economic crisis
and renewing prosperity and opportunity.
I would be happy to answer any questions the Committee has.
[The prepared statement and biographical information of Mr.
Kerry follows:]
Prepared Statement of Cameron F. Kerry, General Counsel-Designate,
Department of Commerce
Chairman Rockefeller, Senator Hutchison and Members of the
Committee, thank you. I am honored to be here and humbled by the trust
President Obama and Secretary Gary Locke are placing in me. I am
grateful for the opportunity to serve the American people in the
challenging post of General Counsel of the Department of Commerce.
I am also honored by the chance to join the distinguished group of
lawyers from both parties who have held the same post. They have set
the bar high.
I want to thank my brother for his generous introduction. Sometimes
between siblings words like those don't come easily, so I certainly am
enjoying the occasion. You can rest assured that I will always be
attentive to this Committee.
I have always looked up to my brother. He has invested his life in
public service. Too many people put down elected officials, and
government workers, too easily. But I have seen up close the sacrifices
that public servants make and how hard they work. I am awed and humbled
by their example, and gratified to have this opportunity to make some
contribution myself.
I'd like to take a moment to introduce my wife Kathy Weinman. We
met and fell in love here in Washington as young associates at a law
firm. Since we made our home in Massachusetts, she has become a leading
litigator there and now serves as President of the Boston Bar
Association, the Nation's oldest, founded by John Adams.
Our youngest daughter Laura is keeping her college class schedule
in Senator Snowe's state, but Kathy and I are proud to have with us
today our other daughter Jessica.
The Department of Commerce has a broad mandate for stewardship of
knowledge, innovation, and economic growth. As the agency's chief legal
officer and a counselor to the Secretary and other officers of the
Department, the General Counsel faces an array of complex issues, from
trade to the environment to Internet technology to intellectual
property, among others. The General Counsel must manage some 400
lawyers in 14 bureaus and divisions. Right away, the next General
Counsel will face difficult and important issues arising from the 2010
Census, the stimulus program, and patent reform.
All this is will be a challenge, but it is a challenge I welcome.
In my 30 years of practice as a regulatory lawyer and a litigator, I
have had to master a number of diverse and complex areas of the law. I
began practice here in Washington at Wilmer, Cutler & Pickering as a
communications and antitrust lawyer. I broadened my communications
practice when I returned to Boston and joined Mintz Levin, and also
taught in this rapidly-changing field as an Adjunct Professor at
Suffolk University Law School. But I have reached out beyond the
boundaries of a single field of law to try challenging cases in areas
such as environmental litigation, toxic torts, and insurance
regulation. One of the demands of such cases was master expert
testimony in a variety of scientific and professional disciplines. I
have appeared in courts and agencies in most of the New England states
as well as New York, Illinois, Florida, and here in the District of
Columbia, among other venues. Though I have more to learn, I believe I
come before you with the range, the skill, and the judgment to address
the broad array of legal issues at the Department of Commerce.
If confirmed, I will give this job every bit of energy, curiosity,
creativity, versatility, and intellect I can muster. And I will have
the help of a talented and experienced career staff. A law office
depends on its intellectual capital--the store of the knowledge and
experience of its professionals. This is one resource the Office of
General Counsel, like much of the Department of Commerce, has in
abundance.
My goal if I am confirmed is above all to make sure this
intellectual capital is fully harnessed in the service of economic
recovery. The programs of the Department of Commerce are invaluable
tools for the national task of creating jobs and jump-starting economic
growth, and the lawyers of the Department can support this essential
task by turning to it urgently with their most thorough analytical
skills, their most creative imagination, and their most careful ethical
judgment.
I also bring with me my experience in politics and my brother's
national campaign. It's relevant because, as each one of you knows
well, campaigns are a crucible. And in some small measure, I have been
through that crucible. I have been afforded the opportunity to grapple
with and advise on a range of difficult national issues. I have been
given the opportunity of getting to know many of your states, and
having some of the same conversations you have had with people who
wonder how they will be able to pass on to their children what our
parents passed on to us. If I am confirmed, I will be a better adviser
for the Department and the Secretary--and more attentive to members of
this body--because of these experiences.
This is a time of challenge such as few generations in American
history have faced. This is a time to be in public service. I am
honored that President Obama has asked me to serve as the General
Counsel of the Department of Commerce, and I am ready to do so if I am
confirmed.
I am grateful for the opportunity to be here today, and grateful to
members of this Committee and their staffs who have shared their
insights on issues facing the Department. I hope our conversations are
just a beginning, and that Secretary Locke and the Department of
Commerce can look forward to a productive partnership with this
Committee and the Congress in the work of lifting the Nation out of its
economic crisis and restoring opportunity and confidence.
I would be pleased to answer any questions.
______
a. biographical information
1. Name (include any former names or nicknames used):
Cameron F. Kerry (Cam Kerry).
Position to which nominated: General Counsel, Department of
Commerce.
3. Date of Nomination: April 20, 2009 (expected).
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: Mintz Levin Cohn Ferris Glovsky & Popeo. P.C., One
Financial Center, Boston, MA 02111.
5. Date and Place of Birth; September 6, 1950; Washington, D.C.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
I am married to Kathy B. Weinman, who is a partner at Dwyer &
Collora, LLP in Boston, MA. We have two daughters, Jessica Weinman
Kerry, 23: and Laura Weinman Kerry, 19.
7. List all college and graduate degrees. Provide year and school
attended.
Boston College Law School, 1975-78, J.D., magna cum laude.
Harvard College 1968-72, B.A., cum laude in General Studies
(concentration in American History).
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
Member, Mintz Levin Cohn Ferris Glovsky & Popeo, P.C., Boston,
MA (Associate, 1983-1987; Member 1987-present).
Adjunct Professor, Suffolk University Law School, Boston, MA
(1997-2002).
Associate, Wilmer, Cutler & Pickering, Washington, D.C. (1979-
1982; on leave of absence 1982).
Campaign Manager, John Kerry for Lieutenant Governor, Boston,
MA (1982).
Law Clerk to Senior Judge Elbert P. Tuttle, U.S. Court of
Appeals for the Fifth Circuit, Atlanta, GA (1978-79).
Summer Associate, Ropes & Gray, Boston, MA (Summer 1977).
Intern, Massachusetts Executive Office Consumer Affairs,
Boston, MA (Summer 1976).
Campaign Director, Paul Guzzi for Secretary of State, Newton,
MA (1973-74).
Freelance Writer and Political Consultant, Cambridge, MA
(1973).
Taxi Driver, Cambridge Yellow Cab, Cambridge, MA (part-time.
1973-74).
Strategy Director, John Kerry for Congress, Lowell, MA (1972).
(Because the position of General Counsel involves a wide range
of legal duties, I have highlighted all the full-time legal
positions as well as those positions that involved management-
level jobs.)
9. Attach a copy of your resume. Attached as Attachment A.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last 5 years.
Member, Civic Engagement Working Group, Massachusetts, Patrick-
Murray Transition Committee (December 2006).
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last 5 years.
Employers
Mintz Levin Cohn Ferris Glovsky & Popeo, P.C., Boston, MA,
Member of firm (April 1987 to present; Associate since 1983).
Suffolk University Law School, Boston, MA, Adjunct Professor
(January 1997 to May 2002)
Non-profit board memberships
Citizen Schools Boston, Boston, MA, Council of Champions
Advisory Board Member (November 2006 to present).
New England Nordic Skiing Association, New Gloucester, ME,
Member of Board of Directors (December 1999 to present)
National Jewish Democratic Council, Washington, D.C., Vice-
Chair (January 2008 to present); Executive Committee (January
2006 to February 2008): Board Member (February 2005t o
present).
Law Firm Clients
Adelphia Cable Communications, Coudersport, PA, outside
attorney (May-September 2005).
Alticomm, Inc., Canton, MA, outside attorney (February 2001 to
May 2004).
Comcast Corporation (and subsidiaries), Philadelphia, PA,
outside attorney (February 2002 to present).
Coyote Springs investments LLC, Sparks, NV, outside attorney
(January 2005 to May 2007).
Fibertech Networks, LLC, Rochester, NY, outside attorney (March
2001 to February 2005).
Virginia Fruh, Newburyport, MA, outside attorney (January 2002
to present).
Greater Boston Interfaith Organization, Boston, MA, outside
attorney (March 2006 to March 2008).
The Hartford, Hartford, CT, outside attorney (April 2006 to
September 2007).
Infinity Broadband Ltd., Grand Cayman, outside attorney
(November 2006 to May 2007).
Inside Cable, Inc., Billerica, MA, outside attorney (June 2004
to present).
Maurice Khawam, NexTFund Capital, Paris, France, outside
attorney (December 2006).
Massachusetts Property Insurance Underwriting Association,
Boston, MA, outside attorney (July 1991 to present).
MetroPCS Communications, Inc., Richardson, TX, outside attorney
(December 2008 to present).
New England Sports Network, Watertown, MA, outside attorney
(March 1993 to present).
New England Cable & Telecommunications Association, Braintree,
MA, outside attorney (June 1985 to July 2006).
SAS Institute, Cary, NC, outside attorney (September 2007 to
March 2008).
Terra Mark, LLC, Stamford, CT, outside attorney (January 2006
to January 2008).
Time Warner Cable, Inc., New York, NY, outside attorney (July
1992 to present).
12. Please list each membership you have had during the past 10
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religious organization, private club, or other membership organization.
Include dates of membership and any positions you have held with any
organization. Please note whether any such club or organization
restricts membership on the basis of sex, race, color, religion,
national origin, age, or handicap.
A list of memberships is attached as Attachment B. It includes
organizations such as public radio stations where ``membership''
involves primarily making a contribution but also provides some
membership benefits such as a magazine subscription or a discount card,
but does not include general contributions. To the best of my
knowledge, none of these organizations restricts membership on the
basis of sex, race, color, religion, national origin, age, or handicap.
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has an outstanding debt, the amount, and whether you are
personally liable for that debt.
Yes. During 2005, I was an active candidate for Secretary of the
Commonwealth (Secretary of State) in Massachusetts but ended the
candidacy when the incumbent decided not to run for other office. The
campaign committee (The Cam Kerry Committee) has no outstanding debts.
14. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past 10 years. Also list all offices you
have held with, and services rendered to, a state or national political
party or election committee during the same period.
A list of such contributions since 1998 is attached as Attachment
C. It includes contributions made by The Cam Kerry Committee, the
Massachusetts political committee formed for the candidacy described in
response to Question A.13.
In 2003-04, I was a traveling surrogate and senior advisor to John
Kerry for President, Inc. and the Democratic National Committee, in
connection with which I also served as Co-Chair of Lawyers for John
Kerry and Lawyers for Kerry-Edwards, and Chair of the Kerry-Edwards
Middle East Advisory Committee. My expenses were paid.
In 2006, I co-chaired Massachusetts Victory 2006, the coordinated
campaign of the Massachusetts Democratic Party from March through
November. This was a volunteer position.
In 2008, from October to November I was senior advisor to the Ohio
Campaign for Change, the Democratic coordinated campaign, working on
voter protection. This was a volunteer position. I was also a member of
the Obama National Finance Committee and New England Finance Committee,
and a Chair of the New England Jewish Leadership Committee.
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Fellow, American Bar Foundation.
Honored by Mass Vote (voter engagement nonprofit) as a
``Champion of Democracy'' (September, 2008).
Cited by the National Press Photographers Association for
``outstanding support in promoting and protecting the First
Amendment freedoms for working photojournalists with legal
action in America's courtrooms'' (July 1990).
Order of the Coif.
Executive Editor, Boston College Law Review (1977-78).
Overall winner and winner of Best Speaker and Best Brief
awards, Grimes Moot Court Competition, Boston College Law
School (1978).
16. Please list each book, article, column, or publication you have
authored, individually or with others. Also list any speeches that you
have given on topics relevant to the position for which you have been
nominated. Do not attach copies of these publications unless otherwise
instructed.
Publications
Obama Is Calling to Jews, Jewish Telegraphic Agency (April 18,
2008).
Unpacking the Massachusetts Preliminary Injunction Standard,
Massachusetts Law Review (Winter 2007).
Contributor, Report and Recommendations, Civic Engagement
Working Group, Patrick-Murray Transition Committee (December
2006).
Voting Made Easy, Boston Globe Op-Ed (Oct. 3, 2005).
Counting Every Vote, Boston Globe Op-Ed (Jan. 6, 2005).
Coordinating editor, Special Millennium Issue, The Constitution
in The 21st Century, 44 Boston Bar J. No. 1 (Jan. 2000) (a
collection of articles by judges and prominent BBA members on
current constitutional issues).
Door Left Open For Operators to Sue for Access to Rights of
Way, 17 Cable TV & New Media Law & Finance 1 (Sept. 1999), with
Frank W. Lloyd and Scott A. Samuels (a note on a First Circuit
decision on provisions of the Telecommunications Act of 1996).
Kumho Tire Widens The Gate, Toxic Torts & Environmental Law
(Summer, 1999)(analysis of Supreme Court decision on
admissibility standards for expert testimony under Fed. R.
Evid. 702).
Feds Finding That Old Rules Don't Work on Net, Mass High Tech
(April 5-11, 1999) (reporting on communications regulation
issues affecting the Internet).
A Sword And A Shield: The Effect of New Standards on Lead
Liability Litigation, in Conference Materials, Lead and the Law
Conference presented by IAQ Publications, Washington, D.C., and
conference presentation on Lead Exposure--A Critical
Examination of Legal, Medical, and Bureaucratic Models (March
1997) (analysis of the impact of HUD and EPA regulations on
liability standards in lead litigation).
Playing The Odds in Lead Litigation, in Conference Materials,
Lead Tech Conference presented by IAQ Publications in
Arlington, Virginia, and conference presentation (Oct. 1996)
(statistical analysis of verdicts).
A Statistical Analysis of Lead Litigation Verdicts, Mealey's
Litigation Reports--Lead (July 3, 1996 ) (same).
Lanigan's Wake: Has a New Standard Emerged for Admitting
Scientific Evidence in Massachusetts Court? 40 Boston Bar, J. 8
(Jan.-Feb. 1996), with Andrew N. Nathanson (review and analysis
of Massachusetts SJC's adoption of Daubert standards in
Commonwealth v. Lanigan).
Franchise Fees Enforcement Under The Cable Act: An FCC
Responsibility, 39 Fed. Communications Law J. 53 (1985), with
Frank W. Lloyd (analysis of Communications Act provisions and
FCC authority relating to local cable television franchise
fees).
Principal author and editor, State and Municipal Regulation of
Cable Television, and editor, Federal Regulation of The Content
of Programming Originated by Cable Systems, in C. D. Ferris, F.
W. Lloyd & T. Casey, Cable Television Law (Matthew Bender &
Co., 1983 & Supps. 1984-96) (treatise chapters and periodic
updates on title subjects).
Regulation of Internal Union Affairs--Access to the Union
Ballot Under the LMRDA; and Certification of a Discriminatory
Bargaining Representative--Bekins Overruled: Handy Andy, Inc.,
in Annual Survey of Labor Relations and Employment
Discrimination Law, 18 Boston College L. Rev. 1045, 1090 (1977)
(notes on NLRB decisions).
Note, Advertising of Prescription Drug Prices as Protected
Commercial Speech--Virginia State Board of Pharmacy v. Virginia
Citizens Consumer Council, Inc., 18 Boston College L. Rev. 276
(1997) (a comment on First Amendment standards of review
applicable to commercial speech).
Professional Lectures and Presentations
Panelist, Review of the 2008 Election And Its Impact on
Telecommunications, Boston University College of Communications
and Federal Communications Bar Association New England
(November, 2008).
Colloquium Presentation, Economic Warfare on the Internet: The
Case of The 2004 Presidential Election, Ecole de Guerre
Economique, Paris, France (April 2007, in French).
Guest Lecturer, Telecommunications Regulation in the United
States, Masters in Telecommunications Law Program, Universidad
Pontificia de Las Comillas de Madrid/ICADE Madrid, Spain (May
1999).
Program Chair, The 1996 Telecommunications Act: A Guide to The
Changing Landscape, Conference presented by Massachusetts
Telecommunications Council and Mintz Levin Cohn Ferris Glovsky
& Popeo, P.C. (January 1999).
Conference Presentation, Sources and Impact of Lead: An Update
of Environmental Factors, Lead Tech Conference presented by IAQ
Publications, Inc., Baltimore, Maryland (October 1998).
Conference Presentation, Lead and the Law Conference presented
by IAQ Publications, Baltimore, Maryland (May, 1998).
Conference Presentation, Mealey's Publications National Lead
Litigation Conference, Philadelphia, Pennsylvania (April 1998).
Chair, Mealey's Dauber and Expert Admissibility Conference,
Philadelphia, Pennsylvania (October 1997).
Program Faculty, New Opportunities in The Changing
Communications Industry, Suffolk University Law School Advanced
Legal Studies Program (April 1997).
Co-Chair, Mealey's Publications National Lead Litigation
Conference, Philadelphia, Pennsylvania (May 1996).
Co-Chair, Mealey's Publications National Lead Litigation
Conference, Philadelphia, Pennsylvania (May 1995).
Panelist, Massachusetts Property Insurance Underwriting
Association Seminar on Lead Poisoning Claims and Litigation,
Braintree, MA (June 1994).
Panelist, Coping with the Cable Television Consumer Protection
and Competition Act of 1992, New England Cable Television
Association (January 1993).
Panelist, Massachusetts Property Insurance Underwriting
Association Seminar on Lead Poisoning Claims and Litigation,
Braintree, MA (November 1992).
Lecturer, Discovery and Investigation of Sources of Exposure
and Causes of Injuries, Mealey's Publications Nationaf lead
litigation Conference, Philadelphia, Pennsylvania (May 1992).
Panelist, How to Try a Lead Poisoning Case, Massachusetts
Continuing Legal Education Program (February-March, 1992).
Panelist, Waste Disposal Liability Workshop, Massachusetts
Municipal Association, Westborough, MA (November, 1986).
In addition to these individually-identified presentations or
lectures, I have regularly appeared as a panelist on current
regulatory developments at semiannual conferences of the New
England Cable & Telecommunications Association; on similar
topics at occasional other cable television trade association
or continuing legal education conferences; and at Mintz Levin
presentations for clients and others on communications
regulation, litigation, and environmental exposure issues.
17. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony.
In June 1986, as counsel for Grant Gear Works, Inc., I appeared
before the Senate Committee on Environment and Public Works in
connection with testimony given by John F. Hurley, President of Grant
Gear Works, Inc. on CERCLA (Superfund) liability standards.
18. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
The Department of Commerce has a broad and diverse portfolio. It
calls for a General Counsel who is able to bring judgment and facility
to a range of complex and often novel problems. That has been the
nature of my practice in my 30 years as a litigator and regulatory
lawyer at leading law firms in Boston and Washington.
Trial practice has demanded accelerated and intensive mastery of
changing subjects and fact patterns, from remediation of PCB pollution
to the epidemiology of lead poisoning to environmental insurance
coverage to telecommunications inter-carrier billing to hurricane
modeling (among others). At the same time, my continuous years of
practice as well as my teaching in communications law has grounded me
in issues of technology, regulation, and competition that are central
to the role of the Department in promoting innovation and broadband
development.
More specifically, my work in this field familiarizes me with the
industry and issues that are front and center in the National
Telecommunications and Information Administration's work as it oversees
the digital transition and distribution of stimulus funds for broadband
development. This familiarity with technology, with electronic
communications, and with communications networks carries over into the
work of the Bureau of Industry and Security (cyber-security and
privacy), trade promotion in the International Trade Administration (e-
commerce and privacy), and the National Institute of Standards and
Technology (standards). I understand the importance and challenges of
these sectors to the future of the American economy because they have
been part of my working life for 30 years.
In addition to this specific involvement in technology and
telecommunications, my practice has given me tools to deal with the
more general role of the Department of Commerce in the promotion of
science and stewardship of the environment. Although I pursued a
training in the liberal arts, I have found that my work using or
challenging expert witnesses and applying the Supreme Court's decision
in Daubert v. Merrell Dow Pharmaceuticals Corp. On the admissibility of
seientific evidence has demanded an understanding of science and
scientific method. In the course of my practice, disciplines I have had
to cope with include accountants, actuaries, economists, engineers,
epidemiologists, hydrogeologists, metallurgists, meteorologists,
neuropsychologists, occupational therapists, pediatricians, and
toxicologists. Most recently, work on insurance regulation involving
hurricane risk has delved into catastrophe models based on extensive
hurricane data developed by the National Hurricane Center of the
National Weather Service.
My legal experience and judgment is informed both by my
representation of clients in the private sector and by my involvement
in national and state politics. From my clients, I have an appreciation
of the needs and interests of the Department's business stakeholders,
and of the frustration they sometimes have with government. At the same
time, my involvement in politics has engaged me with communities,
issues, and people outside the usual confines of law practice, and
deepened my understanding of the issues that America and its people
face. Political campaigns are a form of conversation between government
and the people. I will be a better adviser for the Department and the
Secretary because I have been part of this conversation.
My work in the political arena reflects my abiding concern for
public issues and government. Even though I have spent much of my
career in the private sector, I regard public service as the highest
calling. This is a time of challenge such as few generations in
American history have faced. It is a time to be in public service. I am
honored that President Obama has asked me to serve in the job of
General Counsel at the Department of Commerce, and I am ready to do so.
19. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
The most important management responsibilities of the Office of
General Counsel, both as counselor to the Secretary of Commerce and
secretarial officers and as the chief legal officer for the
Department's operating units, are to anticipate risks that may develop
into legal problems and to ensure compliance with the Department's
legal authorities. This responsibility calls above all for a high
standard of legal judgment and--through leadership and engagement,
clear communications and accountability--creating a culture within all
of the Department's legal offices that fosters the exercise of such
judgment in all their work.
The direct staff of the Office of General Counsel is comparable to
(and in some eases smaller than) staffs I have run for cases or clients
or in political campaigns. The advisory role for the Secretary is
similar to the roving advisory role I had in the Presidential campaign
of 2004, where I was able to leverage a similarly-scaled personal staff
to work with a variety of operating units in a variety of roles. Having
handled the challenges of that role gives me confidence I am capable of
the job of General Counsel of Commerce.
A critical element in managing an organization of any scale is
seeing that the right people are in the right jobs. I have found that
people I myself have hired or selected for jobs have generally
succeeded in those jobs. I believe that judgments I have made about
people associates, partners, assistants, campaign staff, opposing
counsel, witnesses--more often than not have proved out over time.
Recognizing and recruiting talented personnel in the Commerce
Department's legal offices will be key to success as General Counsel.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
The Department of Commerce has a key role in promoting knowledge,
innovation, and economic growth across many economic sectors. This role
is essential in these challenging economic times when job creation must
be job one. Within this broad frame, here are three immediate
challenges that the Department has thrust on it:
First and foremost is to focus the Department's mission on the
critical task of economic recovery and job creation. This
challenge is urgent and will be overriding for the foreseeable
future. The programs of the Department of Commerce are key
tools for the Nation's task of creating jobs and jump-starting
economic growth, and the Department needs to make the most of
these tools by ensuring that the priorities of each operating
unit put recovery and job creation first.
Second, the Department is entrusted with specific
responsibilities under the American Recovery and Reinvestment
Act that require immediate and concentrated attention. These
include in particular preparing for $4.7 billion in wireless
and broadband infrastructure grants by the National
Telecommunications and Information Administration, as well as
for research, for construction, and for development grants by
the National Institute of Standards and Technology, the
National Oceanic and Atmospheric Administration, and the
Economic Development Administration (which the 2010 budget
proposal increases). The Department needs to make sure these
funds are used quickly, fairly, and effectively to meet the
goals of the Act.
Third, the Department has only a short time to complete its
ramp-up to the 2010 census. The Inspector General's September
2008 Report to Congress identifies this as ``the most
significant challenge facing the Department,'' and the
Government Accountability Office has placed the census on its
list of high-risk programs. At this stage, much of the planning
and procurement for the 2010 census has already been set by the
systems, technology and personnel in place during the planning
since the 2000 census. Nevertheless, the Department still has
to put more than one million Americans to work on the census.
This important task presents a challenge to hire, train, and
manage such a large number of temporary employees and conduct
outreach in the very near future.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
Please see Schedule C, Part II of my financial disclosure report.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with an business,
association or other organization during your appointment? If so,
please explain: None.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated.
Over the course of the nomination process, I have consulted with
the Department of Commerce's designated agency ethics official and the
Office of Government Ethics to identify potential conflicts of interest
and have entered into an ethics agreement with the Department's
designated agency ethics official. Any potential conflicts of interest
will be resolved in accordance with the terms of this agreement. I am
not aware of any other potential conflicts of interest.
4. Describe an business relationship, dealing, or financial
transaction which you have had during the last 10 years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated.
A list of employers and of clients I have represented in the past 5
years is included in my response to Question A.11. Organizations and
clients that might present a conflict of interest have been disclosed
to the Office of Government Ethies and to the Department of Commerce
designated agency ethics official.
5. Describe any activity during the past 10 years in which you have
been engaged for the purpose of directly or indirectly influencing the
passage, defeat, or modification of any legislation or affecting the
administration and execution of law or public policy.
During this time, I have not engaged in any such activity that
would trigger registering as a lobbyist under Federal or state law. In
the course of my law practice, I have represented clients in
adjudicatory proceedings, rulemakings, and policy advocacy before the
Federal Communications Commission and state and local regulatory bodies
in Massachusetts, New Hampshire, New York, and Rhode Island, as well as
in judicial review of agency decisions.
In addition, I have been involved since 2005 as a citizen in
seeking the passage of legislation to permit Election Day registration
in Massachusetts. As a member of the Massachusetts bar, I have
participated from time to time in lobbying days for legal services
funding. As Co-Chair of Lawyers for John Kerry, I have organized public
advocacy for the Federal Count Every Vote Act and opposition to the
nomination of Samuel Alito to be a Supreme Court Justice. In a broad
sense, most of my political involvement in this period has sought to
affect the administration and execution of law and public policy.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
In addition to the specific steps detailed in the ethics agreement,
I will consult with ethics officials of the Department of Commerce to
resolve any potential ethics issues that may arise.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics
by, or been the subject of a complaint to any court, administrative
agency, professional association, disciplinary committee, or other
professional group? If so, please explain: No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense'? If so, please explain.
In 1972, to considerable notoriety, Thomas J. Vallely (later
elected to the Massachusetts Legislature) and I were arrested in
Lowell, Massachusetts on the eve of a Congressional primary in the
basement of a building that contained the telephone junction box for
our campaign headquarters--and also the headquarters of another
candidate. We were arrested and charged with breaking and entering in
the nighttime with intent to commit a felony. After a probable cause
hearing in Lowell District Court, the matter was bound over to a grand
jury in Middlesex County, Massachusetts. The grand jury returned an
indictment on the same charge. Following arraignment in Middlesex
County Superior Court, the case was continued without a finding (with
no admissions), and dismissed on the prosecution's motion in 1973.
3. Have you or any business of which you are or were an officer
ever been involved as a party in an administrative agency proceeding or
civil litigation? If so, please explain.
In 1991, I was the named defendant and gave deposition testimony in
a personal injury claim in Manhattan County, New York alleging that a
car registered in my name was involved in hit-and-run accident. The
case was dismissed on summary judgment in 1995 based on evidence that I
was at my office in Boston on the day in question, that the car in
question was in its garage at home and that, while my ear was a red
subcompact, the car in the accident was described as white and mid-
sized.
In 1986, I was sued in Superior Court for Suffolk County,
Massachusetts, in my capacity as an escrow agent for proceeds from the
liquidation of assets of a closed corporation of which a client was one
of two 50-percent shareholders. These funds were held in escrow pending
agreement on the distribution of these proceeds. When no agreement was
reached, the other shareholder, represented by my co-escrow agent,
brought suit against my client and me. The case was resolved with an
agreement between the shareholders on distribution of the funds at
issue.
In 1986, I was the petitioner in an administrative proceeding
before the Board of Appeal of the Massachusetts State Merit Rating
Board to challenge a Safe Driver Program Insurance Plan surcharge. The
surcharge was deleted.
In 1978, I was a party to a landlord-tenant proceeding before the
Cambridge, Massachusetts Rent Control Board arising from my withholding
rent based on a furnace defect and the landlord in turn commencing
eviction. The matter was resolved by agreement.
In 1976, I was one of several defendants in a defamation action in
Middlesex Superior Court that was dismissed on summary judgment. The
action arose out of the 1975 city election in Cambridge. Members of an
organization for which I was consulting received information that
absentee ballot fraud was taking place in certain precincts. Based on
this information, I was one of several people who challenged all
absentee ballots cast in those precincts. An election inquest
subsequently determined that ballot fraud had taken place, and at least
one candidate involved was prosecuted and disqualified from office.
Another candidate who was not involved later sued everyone who
challenged ballots, claiming that we defamed him by challenging ballots
in precincts where his support was concentrated. Summary judgment was
granted in 1977 on the grounds that the communication was privileged.
In 1971, I was a plaintiff in an action in District Court in Ayer,
Massachusetts to rescind a contract I made while still a minor for the
purchase of a car from Union Square Motors of Somerville. The action
was settled.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain: No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain.
No. Although my law firm has been named as a defendant in such
matters, these are not cases in which I was personally involved or
implicated.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination: None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by Congressional committees?
Yes. I will work with management of the Department of Commerce to
help this and other Congressional committees fulfill their
responsibilities for legislation and oversight.
2. Will you ensure that your department/agency does whatever it can
to protect Congressional witnesses and whistleblowers from reprisal for
their testimony and disclosures?
Yes. It is a specific responsibility of the Office of General
Counsel, working with the Assistant Secretary for Administration, to
ensure that witnesses and whistleblowers are not subject to retaliatory
action. As someone who has been engaged in First Amendment matters and
represented the plaintiff in a whistleblower case, I take this
responsibility seriously.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
Attachment A (Question A-9)
resume of cameron f. kerry
Curriculum Vitae
Business Address: One Financial Center, Boston, MA 02111; 701
Pennsylvania Avenue, NW, Washington, DC 20004
Professional Background
Member, Mintz Levin Cohn Ferris Glovsky & Popeo, P.C., One
Financial Center, Boston, MA. Practice before state and Federal
courts, administrative agencies, and municipal boards in
litigation and regulatory law, with emphasis on communications,
environmental, and toxic tort law. Member of American
Arbitration Association mediation panel. Associate since 1983.
Member since April 1987.
Adjunct Professor, Suffolk University Law School, Boston, MA.
1997 to 2002, part-time. Professor in telecommunications law,
covering regulation, the 1996 Telecommunications Act and First
Amendment issues in broadcasting, cable television, and
telephony.
Associate, Wilmer, Cutler & Pickering, Washington, D.C. October
1979 to November 1982, Trial, agency, and appellate litigation
of antitrust, communications, and First Amendment matters;
antitrust counseling; practice before the Federal
Communications Commission, (On leave of absence to manage a
political campaign 1/82-11/82.)
Law Clerk to Senior Judge Elbert P. Tuttle, U.S. Court of
Appeals for the Fifth Circuit, Atlanta, GA. August 1978 to
August 1979. Drafted and edited opinions and wrote bench
memoranda for cases in Fifth and Ninth Circuits and for Special
Master's Report in Arizona v. California (Supreme Court, Orig.
No. 8).
Member of the Boston Bar Association (current Steering
Committee of Civil Rights/Civil Liberties Committee);
Massachusetts Bar Association; Federal Communications Bar
Association (current Steering Committee, New England Chapter;
Co-Chair, New England Chapter 2001-2003), and American Bar
Association (Litigation, Communications Law, Administrative
Law, Antitrust, and Tort and Insurance Practice sections);
Defense Research Institute (Co-Chair, Publications Subcommittee
of Committee on Toxic Tort and Environmental Litigation, 1999-
2000); International Bar Association (1999-2003).
Admitted to practice: Massachusetts (1978); District of
Columbia (1979); United States District Court for the District
of Columbia (1980); United States Court of Appeals for the D.
C. Circuit (1980); United States District Court for the
District of Massachusetts (1983); United States Court of
Appeals for the Second Circuit (1983); United States Court of
Appeals for the Sixth Circuit (1996); U.S. Supreme Court
(1998); United States Court of Appeals for the First Circuit
(2000).
Educational Background
Boston College Law School 1975-78, J.D., magna cum laude.
Executive Editor, Boston College Law Review, 1977-78, Best
Speaker, Best Brief and Finals Winner, Grimes Moot Court
Competition (1977), Order of the Coif.
Harvard College 1968-72, B.A., cum laude in General Studies
(concentration in American History). Member, Student Advisory
Board, John F. Kennedy Institute of Politics, 1971-72.
President, Harvard-Radcliffe Young Democrats, 1970-71. Skiing
Team, 1968-69.
Professional Lectures and Presentations
Various presentations at communications industry conferences,
1989-present.
Panelist, Review of the 2008 Election And Its Impact on
Telecommunications, Boston University College of Communications
and Federal Communications Bar Association New England
(November 2008).
Colloquium Presentation, Economic Warfare on the Internet: The
Case of The 2004 Presidential Election, Ecole de Guerre
Economique, Paris, France (April 2007, in French).
Guest Lecturer, Telecommunications Regulation in the United
States, Masters in Telecommunications Law Program, Universidad
Pontificia de Las Comillas de Madrid/ICADE, Madrid, Spain (May
1999).
Program Chair, The 1996 Telecommunications Act: A Guide to The
Changing Landscape, Conference presented by Massachusetts
Telecommunications Council and Mintz Levin Cohn Ferris Glovsky
& Popeo, P.C. (January 1999).
Conference Presentation, Sources and Impact of Lead: An Update
of Environmental Factors, Lead Tech Conference presented by IAQ
Publications, Inc., Baltimore, Maryland (October 1998).
Conference Presentation, Lead and the Law Conference presented
by IAQ Publications, Baltimore, Maryland (May 1998).
Conference Presentation Mealey's Publications National Lead
Litigation Conference, Philadelphia, Pennsylvania (April 1998).
Chair, Mealey's Daubert and Expert Admissibility Conference,
Philadelphia, Pennsylvania (October 1997).
Program Faculty, New Opportunities in The Changing
Communications Industry, Suffolk University Law School Advanced
Legal Studies Program (April 1997).
Co-Chair, Mealey's Publications National Lead Litigation
Conference, Philadelphia, Pennsylvania (May 1996).
Co-Chair, Mealey's Publications National Lead Litigation
Conference, Philadelphia, Pennsylvania (May 1995).
Panelist, Coping with the Cable Television Consumer Protection
and Competition Act of 1992, New England Cable Television
Association (January 1993).
Lecturer, Discovery and Investigation of Sources of Exposure
and Causes of Injuries, Mealey's Publications National Lead
Litigation Conference, Philadelphia, Pennsylvania (May 1992).
Panelist, How to Try a Lead Poisoning Case, Massachusetts
Continuing Legal Education Program (February and March 1992).
Publications
Obama Is Calling to Jews, Jewish Telegraphic Agency (April 18,
2008).
Unpacking the Massachusetts Preliminary Injunction Standard,
Massachusetts Law Review (Winter 2007).
Contributor, Report and Recommendations, Civic Engagement
Working Group, Patrick-Murray Transition Committee (December
2006).
Voting Made Easy, Boston Globe Op-Ed (Oct. 3, 2005).
Counting Every Vote, Boston Globe Op-Ed (Jan. 6, 2005).
Coordinating editor, Special Millennium Issue, The Constitution
in The 21st Century, 44 Boston Bar J. No. 1 (Jan. 2000) (a
collection of articles by judges and prominent BBA members on
current constitutional issues).
Door Left Open for Operators to Sue for Access to Rights of
Way, 17 Cable TV & New Media Law & Finance 1 (Sept. 1999), with
Frank W. Lloyd and Scott A. Samuels (a note on a First Circuit
decision on provisions of the Telecommunications Act of 1996).
Kumho Tire Widens The Gate, Toxic Torts and Environmental Law
(Summer, 1999) (analysis of last year's U.S. Supreme Court
decision on admissibility standards for expert testimony under
Fed. R. Evid. 702).
Feds Finding That Old Rules Don't Work on Net, Mass High Tech
(April 5-11, 1999)(reporting on communications regulation
issues affecting the Internet).
A Sword And A Shield: The Effect of New Standards on Lead
Liability Litigation, in Conference Materials, Lead and the Law
Conference presented by IAQ Publications, Washington, D.C., and
conference presentation on Lead Exposure--A Critical
Examination of Legal, Medical, and Bureaucratic Models (March
1997) (analysis of the impact of HUD and EPA regulations on
liability standards in lead litigation).
Playing The Odds in Lead Litigation, in Conference Materials,
Lead Tech Conference presented by IAQ Publications in
Arlington, Virginia , and conference presentation (Oct. 1996)
(statistical analysis of verdicts).
A Statistical Analysis of Lead Litigation Verdicts, Mealey's
Litigation Reports--Lead (July 3, 1996) (same).
Lanigan's Wake: Has a New Standard Emerged for Admitting
Scientific Evidence in Massachusetts Court? 40 Boston Bar, J.8
(Jan.-Feb. 1996), with Andrew N. Nathanson (review and analysis
of the SJC's adoption of Daubert standards in Commonwealth v.
Lanigan).
Franchise Fees Enforcement Under The Cable Act: An FCC
Responsibility, 39 Fed. Communications Law, J. 53 (1985), with
Frank W. Lloyd (analysis of Communications Act provisions and
FCC authority relating to local cable television franchise
fees).
Principal author and editor, State and Municipal Regulation of
Cable Television, and editor, Federal Regulation of The Content
of Programming Originated by Cable Systems, in C. D. Ferris, F.
W. Lloyd and T. Casey, Cable Television Law (Matthew Bender &
Co., 1983 & Supps. 1984-96) (treatise chapters and periodic
updates on title subjects).
Regulation of Internal Union Affairs--Access to the Union
Ballot Under the LMRDA: and Certification of a Discriminatory
Bargaining Representative--Bekins Overruled: Handy Andy, Inc.,
in Annual Survey of Labor Relations and Employment
Discrimination Law, 18 Boston College L. Rev. 1045, 1090 (1977)
(notes on NLRB decisions).
Note, Advertising of Prescription Drug Prices as Protected
Commercial Speech--Virginia State Board of Pharmacy v. Virginia
Citizens Consumer Council, Inc., 18 Boston College L. Rev. 276
(1997) (a comment on First Amendment standards of review
applicable to commercial speech).
Professional Awards and Honors
Fellow, American Bar Foundation.
Listed in ``Who's Who in America.''
Honored by Mass Vote voter engagement nonprofit as a ``Champion
of Democracy'', (September 2008).
Cited by the National Press Photographers Association in 1990
for ``outstanding support in promoting and protecting the First
Amendment freedoms for working photojournalists with legal
action in America's courtrooms.''
Political Background
Member, Obama for America National Finance Committee and New
England Steering Committee; Chair, New England Jewish Community
Leadership Committee; and Senior Adviser to Ohio Campaign for
Change Voter Protection Team, 2008.
Member, Civic Engagement Working Group, Patrick-Murray
Transition Committee. November 2006-January 2007. Conducted
public meetings and developed policy proposals to expand
citizen participation in state government and engagement in
Massachusetts communities.
Co-Chair, Massachusetts Victory 2006. 2006. Led successful
joint campaign on behalf of Democratic ticket leading to
election of Deval L. Patrick as Governor of Massachusetts.
Prospective Candidate for Secretary of The Commonwealth of
Massachusetts. 2005. Assembled campaign for putatively open
seat and terminated candidacy when incumbent chose to run for
re-election.
Senior Advisor, John Kerry for President. 2002-2004. Diverse
roles as member of campaign leadership, traveling surrogate,
and fundraiser.
Senior Advisor, John Kerry for U.S. Senate, Boston,
Massachusetts. 1984, 1990, 1996 and 2002 campaigns.
Campaign Manager, John Kerry for Lieutenant Governor, Boston,
Massachusetts. January 1982-November 1982.
Self-Employed Political Consultant, Cambridge, Massachusetts.
January-October, 1975. Consulted on communications and
fundraising for local political campaigns and organizations.
Campaign Director, Paul Guzzi for Secretary of State, Newton,
Massachusetts. November 1973-November 1974.
Strategy Director, John Kerry for Congress, Lowell,
Massachusetts. April-November, 1972.
Field Director and Communications Director, Chester Atkins for
State Representative, Concord, Massachusetts. July-November,
1970.
Regional Coordinator, Joseph Bradley for Congress, Newton,
Massachusetts. July-September, 1968.
Full-Time Volunteer and Office Manager, The Vietnam Summer
Project, Cambridge, Massachusetts. June-September, 1967. Local
community organizing project on Vietnam War canvassing, local
referendum signature drive.
Other Employment
Freelance Writer and Political Consultant, Cambridge,
Massachusetts. January 1973-November 1973. Articles published
in Boston Phoenix; direct mail and display advertising.
Taxi Driver, Cambridge Yellow Cab, Cambridge, Massachusetts.
August 1973-January 1974 (part-time).
Other Activities
Council of Champions, Citizen Schools, 2006-present, member;
Vice-Chair, National Jewish Democratic Council, 2008-present
and Board Member, 2005-present: Chair, Boston College Law
School Class of 1978 25th Reunion, 2002-04; New England Nordic
Skiing Association, 1999-present, board member; Writing Coach.
Citizen Schools 8th Grade Academy, 2001-03; Boston Police
Foundation, 1995-2000, board member and Clerk; Brookline Soccer
Club and Brookline Youth Soccer, 1993-2002, coach; Brookline
Democratic Town Committee; competitor active in endurance
sports (Gold Medalist, 2001 National Master's Cross-Country Ski
Championship, Men's Relay, Age 50-55).
Married to Kathy B. Weinman, 1983. Two children: Jessica (b.
1986) and Laura (b. 1990).
______
Attachment B (Question A-12)
Organizational Memberships
------------------------------------------------------------------------
Organization Dates Positions
------------------------------------------------------------------------
American Bar Association 1998-present
American Bar Foundation 2005-present Fellow
American Cross-Country Skiers 1998-2001
American Civil Liberties Union 1998-present
Anti-Defamation League 2001-present
Appalachian Mountain Club 1998-present
Boston Bar Association 1998-present Section Steering Committee
2007-present
Boston College Law School 1998-present Major Gifts Committee,
Alumni Association 2002-2003
Brookline Soccer Club 1999-2002 Coach
Brookline Greenspace Alliance 1998-present
Brookline Democratic Town 1998-present
Committee
Cambridge Sports Union 1998-present
Charles River Wheelmen 2005-present
Defense Research Institute 1997-2001 Co-Chair, Publications
Subcommittee, Committee
on Toxic Tort and
Environmental Litigation
Emerald Necklace Conversancy 2000-present
Environmental League of MA 1998-present
Federal Communications Bar 1998-present New England Chapter Co-
Association Chair 2001-03; Steering
Committee 2007-08
Friends of the Arnold 1998-present
Arboretum
Friends of the Muddy River 1998-present
High Street Hill Association 1998-present Board of Directors, 1995-
96
Massachusetts Audubon Society 2003-2007
Massachusetts Bar Association 1998-present
Massachusetts Horticultural 1999-2003
Society
National Jewish Democratic 2005-present Board of Directors, 2005-
Council present; Executive
Committee 2006-07; Vice-
Chair 2008-present
New England Nordic Skiing 1998-present Board of Directors, 1999-
Association present
Supreme Court Historical 1999-2000
Society
Temple Israel, Boston 1998-present
WBUR 1998-present
WGBH 1998-present
USA Track & Field 1998-2000
------------------------------------------------------------------------
Attachment C (Question A-14)
Political Contributions
------------------------------------------------------------------------
------------------------------------------------------------------------
1998
------------------------------------------------------------------------
Harshbarger for Governor (MA) 1,500
Lois Pines Election Committee (MA Attorney General) 500
Shannon O'Brien for Treasurer (MA) 500
Warren Tolman for Lt. Governor (MA) 500
Friends of Harry Reid (NV, Federal) 500
Schumer '98 (NY, Federal) 1,000
Tierney for Congress (MA, Federal) 500
------------------------------------------------------------------------
1999
------------------------------------------------------------------------
Kennedy for Senate (Federal) 500
Friends of Wade Sanders (CA, Federal) 1,000
------------------------------------------------------------------------
2000
------------------------------------------------------------------------
Martha Coakley Committee (MA, District Attorney) 500
Gore 2000, Inc. (Presidential) 1,000
Gore-Lieberman GELAC (Federal) 500
Licht 2000 Committee Senate (RI, Federal) 500
Kennedy For Senate (MA, Federal) 1,000
------------------------------------------------------------------------
2001
------------------------------------------------------------------------
Friends of Carl Levin (MI, Federal) 500
John Kerry Committee (MA, Federal) 1,000
The Markey Committee (MA, Federal) 500
------------------------------------------------------------------------
2002
------------------------------------------------------------------------
James Segel for Treasurer (MA) 500
O'Brien for Governor (MA) 500
Chris Gabrieli for Lt. Governor (MA) 500
John Kerry for President, Inc. (Federal) 1,000
New Hampshire Senate 2002 (Federal) 500
------------------------------------------------------------------------
2003
------------------------------------------------------------------------
John Kerry for President, Inc. (Federal) 1,000
James Segel for Treasurer (MA) 500
Leahy for U.S. Senator Committee (VT, Federal) 500
Kennedy for Senate (MA, Federal) 1,250
------------------------------------------------------------------------
2005
------------------------------------------------------------------------
Kennedy for Senate (MA, Federal) 850
Kathleen Sebelius Committee (KS, state) 500
Harold Ford for Tennessee (TN, Federal) 500
Allen for Congress (ME, Federal) 500
Stabenow for U.S. Senate (MI, Federal) 500
Chet Culver Committee (IA Governor) 500
Bob Casey for PA (PA Senate, Federal) 500
Friends of Chairman McAuliffe ( Federal) 500
Friends of Hillary (NY, Federal) 1,000
------------------------------------------------------------------------
2006
------------------------------------------------------------------------
Granholm for Governor (MI, state) 1,000
Tierney for Congress (MA, Federal) 500
Keeping America's Promise (Federal PAC) 2,000
Kendrick Meek Campaign for Congress (FL, Federal) 500
Perlmutter for Congress (CO, Federal) 500
Klein for Congress (FL, Federal) 500
Patrick Murray Victory Fund (MA) 2,500
Cahill for Treasurer (MA) 500
Paul Hodes for Congress (NH, Federal) 1,550
Friends of Sherrod Brown (OH, Federal) 1,000
Barney Frank for Congress (MA, Federal) 500
Democratic Congressional Campaign Committee 2,500
Tim Murray for Lt. Governor (MA) 500
The Deval Patrick Committee (MA Governor) 500
------------------------------------------------------------------------
2007
------------------------------------------------------------------------
Powers for Congress 1,500
Barney Frank for Congress (MA, Federal) 500
Niki Tsongas Committee (MA, Federal) 2,300
Footlik for Congress (IL, Federal) 1,000
The Reed Committee (RI, Federal) 500
Katherine Clark for State Rep (MA, state) 500
John Kerry for Senate (MA, Federal) 2,300
Paul Hodes for Congress (NH, Federal) 1,000
The Martha Coakley Committee (MA Attorney General) 500
Jeanne Shaheen for Senate (NH, Federal) 1,300
Friends of Max Baucus (MT, Federal) 500
Al Franken for Senate (MN, Federal) 500
Tom Allen for Senate (ME, Federal) 1,500
MA Democratic State Committee (State Account) 1,500
Democratic Senate Campaign Committee 5,000
Democratic National Committee 2,500
The Deval Patrick Committee (MA Governor) 500
------------------------------------------------------------------------
2008
------------------------------------------------------------------------
We The People PAC (Federal) 500
Obama for America (Federal) 2,300
Udall for Us All (NM, Federal) 500
Democratic National Committee 2,500
Courtney for Congress (CT, Federal) 500
Patrick Murphy for Congress (PA, Federal) 500
Tom Allen for Senate 500
Al Franken for Senate (MN, Federal) 500
Massachusetts Democratic Party (Federal) 500
Obama Victory Fund (Federal) 7,500
Jeanne Shaheen for Senate (NH, Federal) 1,500
Jeff Merkley for Oregon (OR, Federal) 1,000
Friends of Senator Carl Levin (MI, Federal) 500
Musgrove for U.S. Senate (MS, Federal) 500
The Coakley Committee (MA, AG) 500
Cahill for Treasurer (MA) 500
The Deval Patrick Committee (MA Governor) 500
Franken Recount Fund (MN Federal) 500
Katherine Clark for State Rep. (MA) 500
------------------------------------------------------------------------
The Cam Kerry Committee--2006
------------------------------------------------------------------------
Committee to Re-elect Governor Baldacci (ME, state) 500
Massachusetts Victory '06 (Federal account) 1,000
Midwest Values PAC (MN, state) 1,000
Paul Aronson for Congress (NJ, state) 1,000
The Chet Culver Committee (IA, state) 500
Democratic Congressional Campaign Committee 1,000
Vote Vets (Federal PAC) 500
New Hampshire Democratic Party (Federal account) 1,000
Friends of Sherrod Brown (OH, Federal) 1,000
Paul Hodes for Congress (NH, Federal) 1,000
Friends of Jim Marshall (GA, Federal) 500
Meeks for Congress (NY, Federal) 1,000
------------------------------------------------------------------------
The Cam Kerry Committee--2007
------------------------------------------------------------------------
Footlik for Congress (IL, Federal) 1,000
Massachusetts Democratic Party (Federal account) 1,000
Niki Tsongas Committee (MA, Federal) 1,000
Re-Elect McGovern Committee (MA, Federal) 500
Lautenberg for Senate (NJ, Federal) 1,000
------------------------------------------------------------------------
The Cam Kerry Committee--2008
------------------------------------------------------------------------
Klein for Congress (FL, Federal) 500
Powers for Congress (NY, Federal) 1,000
Hillary Clinton Debt Retirement Fund (Federal) 1,000
Massachusetts Democratic Party (Federal account) 1,000
Martin for Senate (GA, Federal) 500
Shulman for Congress (NJ, Federal) 500
Rural Votes (Federal PAC) 500
------------------------------------------------------------------------
STATEMENT OF HON. MARIA CANTWELL,
U.S. SENATOR FROM WASHINGTON
Senator Cantwell [presiding]. Thank you, Mr. Kerry. Thank
you for your testimony, and welcome to your wife. Thanks for
coming back to Washington, D.C. Thanks to both of you for Mr.
Kerry's willingness to serve.
So, Ms. Abbott, would you like to make a statement?
STATEMENT OF SHERBURNE B. ABBOTT
ASSOCIATE DIRECTOR OF ENVIRONMENT-DESIGNATE
OFFICE OF SCIENCE AND TECHNOLOGY POLICY
EXECUTIVE OFFICE OF THE PRESIDENT
Ms. Abbott. Thank you, Madam Chairman. If the Committee
will indulge me, I will introduce my family in waves because
there are several here.
Thank you, Senator Hutchison, for your kind remarks of
introduction and other members of the Committee.
I am honored to appear before you as President Obama's
nominee for Associate Director for Environment of the Office of
Science and Technology Policy within the Executive Office of
the President. If confirmed, I look forward to working with all
of you to support and improve our Nation's environmental
science and technology efforts.
My presence here today represents a journey in science and
the natural world that began with a little girl's curiosity. It
was guided by a crew of mentors and was shored up by the
support of family and friends. Some of my fondest childhood
memories were of walks with my brother in the woods of New
England, discussions with my grandfather and father, both
engineers, about the power of technology, and talks with my
mother and grandmothers about the improbable women scientists
who are nested in our family tree. I am grateful to introduce
my father, my mother, my brother at this moment.
Along the way to the present, I have been privileged to
encounter some remarkable educators and practitioners who
shaped my view of science and public service, from a high
school physics teacher who danced on lab tables to show that
science had a human side, to Nobel Laureates who used their
celebrity to promote hands-on science teaching across the
globe, and to many individuals all over the world who volunteer
their time in pursuit of international scientific cooperation
so the benefits of their knowledge accrue to everyone.
For the final and central leg of the journey to this table,
I have been accompanied by my husband whose intellect and
integrity I admire more with each day and by my kids whose
future on this planet and the planet of the future is what our
work is about. Jim Steinberg and Emma and Jenna Steinberg.
Senator Cantwell. Welcome to all of you.
Ms. Abbott. Thank you.
I am hoping that if confirmed by the Senate, I can draw
from these lessons of optimism and opportunity to refine our
national strategy for environmental research and development
with the primary goal of moving the Nation toward a clean
energy economy and on a path toward sustainability. This is the
vision President Obama and the Director of OSTP, Dr. John
Holdren, have presented to the Nation and to you and one that I
enthusiastically share.
I am currently a faculty member and Director of the Center
for Science and Practice of Sustainability at the University of
Texas at Austin. I work with all departments and colleges to
build university-wide research and education programs focused
on sustainability issues. These efforts and others like it in
higher education institutions are breaking down the barriers
between the academic disciplines and between scholarship and
practice. They are building new, integrative, and
interdisciplinary problem-solving approaches to the complex
concerns of environment and development. They call for
rethinking the ways we teach, the ways we support research, and
the ways we partner with the private sector and other
stakeholders.
Most important, they are revealing that we no longer have
to choose between the economy and the environment. Providing
energy that is reliable, affordable, and clean will have the
intended and added benefits of reducing the emissions that
contribute to global climate change, as well as create jobs and
reduce our dependence on foreign oil.
Considering the challenges ahead on all fronts of the
economy and environment where science matters, OSTP has an
opportunity to help produce information and analysis that
contributes both to the resolution of the environmental issues
of today and to the better management of natural resources for
future generations. Though climate change is at the center of
these discussions, we cannot overlook the quality of our air
and watersheds, the toxins in our soil and foods, the
conditions of our forests and oceans, and the diversity of life
that inhabits our planet. Tomorrow's celebration of Earth Day
provides a well-timed reminder of this.
For the past 25 years, I have worked at the intersection of
science and public policy on environmental issues ranging from
global climate change to regional issues of high latitudes, to
the health of marine mammal populations and fisheries. I
believe that science should inform our decisions. Therefore, I
believe we need strong and balanced Federal research programs
that support the promising areas of R&D that contribute to
understanding and solving these environmental concerns. There
are substantial tools at our disposal and enormous talent
across our Nation. We must find imaginative ways to better
deploy the tools and bring new perspectives and experience to
the challenges facing our Government. We also need to reach out
to communicate findings and warnings in ways that build
confidence in our ability to protect the health and the safety
of the public, as well as preserve and restore the ecosystems
on which their livelihoods depend.
If confirmed by the Senate, I look forward to working with
the exceptional science and environment team assembled by
President Obama, with the Congress, and particularly with the
members of this Committee on the environmental challenges and
opportunities facing our Nation. I am grateful for the courtesy
shown by your staff over the past several weeks and I look
forward to continuing and deepening our discussions.
I will be pleased to try to answer any questions that you
may have.
[The prepared statement and biographical information of Ms.
Abbott follows:]
Prepared Statement of Sherburne B. Abbott, Associate Director-Designate
of Environment, Office of Science and Technology Policy,
Executive Office of the President
Mr. Chairman, Senator Hutchison, and distinguished Members of the
Committee, I am honored to appear before you as President Obama's
nominee for Associate Director for Environment of the Office of Science
and Technology Policy (OSTP) within the Executive Office of the
President. If confirmed, I look forward to working with all of you to
support and improve our Nation's environmental science and technology
efforts.
My presence here today represents a journey in science and the
natural world that began with a little girl's curiosity. It was guided
by a crew of mentors, and was shored up by the love and support of
family and friends. Some of my fondest childhood memories are of walks
with my brother in the woods and salt marshes of New England,
discussions with my grandfather and father, both engineers, about the
power of technology, and talks with my mother and grandmothers about
women's roles and the improbable women scientists who are nested in our
family tree. I am grateful that my family is here with me today.
Along the way to the present, I have been privileged to encounter
some remarkable educators and practitioners who shaped my view of
science and public service--from researchers who took time from field
studies to bestow their passion for nature on young children like
myself (at the time) at a summer science school; to a high school
physics teacher who danced on lab tables to show that science had a
human side; to college professors who offered flexible labs so
students, including myself, did not have to choose between majoring in
biology and playing competitive sports; to Nobel laureates who used
their celebrity to promote ``hands on'' science teaching across the
globe; and to many individuals all over the world who volunteer their
time in pursuit of international scientific cooperation so the benefits
of their knowledge accrue to everyone.
For the final and central leg of the journey to this table I've
been accompanied by my husband whose intellect and integrity I admire
more with each day, and by my kids whose future on this planet and the
planet of the future is what our work is about.
I am hoping that if confirmed by the Senate, I can draw from these
lessons of optimism and opportunity to refine our national strategy for
environmental research and development, with the primary goal of moving
the Nation toward a clean energy economy and on a path toward
sustainability. This is the vision President Obama and the Director of
OSTP, Dr. John Holdren, have presented to the Nation and to you, and
one that I enthusiastically share.
I am currently a faculty member and director of the Center for
Science and Practice of Sustainability at the University of Texas at
Austin. I work with all departments and colleges to build university-
wide research and education programs focused on sustainability issues.
These efforts and others like it in higher education institutions are
breaking down the barriers between the academic disciplines and between
scholarship and practice. They are building new, integrative and
interdisciplinary problem-solving approaches to the complex concerns of
environment and development. They call for rethinking the ways we
teach, the ways we support research, and the ways we partner with the
private sector and other stakeholders.
Most important, they are revealing that we no longer have to choose
between the economy and the environment. Providing energy that is
reliable, affordable, and ``clean'' will have the intended and added
benefits of reducing the emissions that contribute to global climate
change, as well as create jobs and reduce our dependence on foreign
oil.
Considering the challenges ahead on all fronts of the economy and
environment where science matters, OSTP has an opportunity to help
produce information and analysis that contributes both to the
resolution of the environmental issues of today and to the better
management of natural resources for future generations. Though climate
change is at the center of these discussions, we cannot overlook the
quality of our air and water sheds, the toxins in our soil and foods,
the conditions of our forests and oceans, and the diversity of life
that inhabits our planet. Tomorrow's celebration of Earth Day provides
a well-timed reminder.
For the past 25 years I have worked at the intersection of science
and public policy on environmental issues ranging from global climate
change, to regional issues of the high latitudes, to the health of
marine mammal populations and fisheries. I believe science should
inform our decisions. Therefore, I believe we need strong and balanced
Federal research programs that support the promising areas of R&D that
contribute to understanding and solving these environmental concerns.
There are substantial tools at our disposal and enormous talent across
our Nation. We must find imaginative ways to better deploy the tools,
and bring new perspectives and experience to the challenges facing our
government. We also need to reach out and communicate findings and
warnings in ways that build confidence in our ability to protect the
health and safety of the public, as well as preserve and restore the
ecosystems on which their livelihoods depend.
If confirmed by the Senate, I look forward to working with the
exceptional science and environment team assembled by President Obama,
with the Congress, and particularly with the members of this Committee
on the environmental challenges and opportunities facing our Nation. I
am grateful for the courtesy shown by your staff over the past several
weeks, and I look forward to continuing and deepening our discussions.
I will be pleased to try to answer any questions you may have.
______
a. biographical information
1. Name (include any former name or nicknames used):
Sherburne Bradstreet Abbott.
2. Position to which nominated: Associate Director for Environment,
Office of Science and Technology Policy.
3. Date of Nomination: March 10, 2009.
4. Addresses (List current place of residence and office
addresses):
Residence: Information not released to the public.
Office: University of Texas at Austin, 1 University Station,
Austin, TX 78712.
5. Date and Place of Birth: December 8, 1955; Brookline, MA.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Spouse: James Braidy Steinberg, Dean, University of Texas at
Austin; children: Jenna Yuanye Steinberg (age 6); Emma Lingling
Steinberg (age 4).
7. List all college and graduate degrees. Provide year and school
attended.
Yale University, School of Forestry and Environmental Studies,
August 1982 to June 1984, Master of Forest Science.
Goucher College, September 1973 to June 1977, Bachelor of Arts.
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
January 2006 to Present--Director, Center for Science and Practice
of Sustainability, Office of the Executive VP and Provost, University
of Texas at Austin, Austin, TX.
Established center to build university-wide research and
education programs focused on sustainability issues, and
managed administrative research, and graduate research staff
members. Co-chair UT President's Task Force on Sustainability,
which develops university policies to promote environmental
stewardship and sustainability.
March 2003 to December 2005--Chief International Officer, American
Association for the Advancement of Science, Washington, D.C.
Managed programs to reflect the professional society's
international interests in science and technology policy and
managed administrative and research staff. Established an
interdisciplinary center to advance science and innovation for
sustainability.
April 2000 to November 2007--Consultant. Worked with the World Bank
(2001-2002; 2007) the Environmental Defense Fund (2002-2003), The
Brookings Institution (2002), the John D. and Catherine C. Rockefeller
Foundation (2001), the David and Lucille Packard Foundation (2000-
2001), and The National Academies' National Research Council (2000-
2001).
Provided advice on environmental research, science and
technology policy, and educational programs.
January 1998 to July 2000--Executive Director, Board on Sustainable
Development, The National Academies' National Research Council,
Washington, D.C.
Led advisory committees that reviewed and made recommendations
on science and technology programs for sustainable development
and a decadal research plan for the U.S. Global Change Research
Program.
August 1992 to December 1996--Director, Committee on International
Organizations and Programs, The National Academies' National Research
Council, Washington, D.C.
Managed the U.S. program to support scientific planning and
coordination efforts of the International Council for Science
and other international scientific and engineering
organizations, focusing on S&T policies, environmental research
and science education.
May 1989 to August 1992--Director, Polar Research Board, The
National Academies' National Research Council, Washington, D.C.
Supervised a wide-ranging advisory structure for Arctic and
Antarctic S&T policy and research, including international committees.
December 1986 to April 1989--Assistant Scientific Program Director,
U.S. Marine Mammal Commission, Washington, D.C.
Oversaw research program and provided analyses of science and
policy issues bearing on the conservation and protection of
marine mammals and their marine and coastal habitat.
June 1984 to December 1986--Program Officer, Polar Research Board,
The National Academies' National Research Council.
Managed projects on Antarctic environmental research issues and
Arctic science and technology policy.
September 1980 to June 1982--Science Teacher, Buckingham Brown and
Nichols Upper School, Cambridge, MA.
Designed and taught a course on environmental science and
taught biology.
September 1977 to August 1980--Laboratory Assistant, Tufts
University School of Medicine, Boston, MA.
9. Attach a copy of your resume. A copy is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last 5 years.
City of Austin, Community Advisory Committee, Austin Climate
Protection Program (2008-2009).
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last 5 years.
2006 to Present--Director, Center for Science and Practice of
Sustainability, University of Texas at Austin.
May 2007 to November 2007--Consultant, The World Bank.
2003 to 2005--Chief International Officer, American Association
for the Advancement of Science.
2005--Treasurer, Leonard Rieser Interciencia Endowment Fund.
12. Please list each membership you have had during the past 10
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religious organization, private club, or other membership organization.
Include dates of membership and any positions you have held with any
organization. Please note whether any such club or organization
restricts membership on the basis of sex, race, color, religion,
national origin, age, or handicap.
Member, American Association for the Advancement of Science
(2003-Present).
Contributing Editor, Environment, Heldref Publications (2001-
Present) (unpaid).
Member, Priority Area Assessment Panel on Capacity Building in
Science, International Council for Science (2004-2005).
Member, Lady Bird Johnson Wildlife Center (2006-Present).
Member, Austin Children's Museum (2006-Present).
Member, Austin Historical Society (2006-Present).
None of these organizations restricts membership on the basis
of sex, race, color, religion, national origin, age, or
handicap.
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt: No.
14. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past 10 years. Also list all offices you
have held with, and services rendered to, a state or national political
party or election committee during the same period: None.
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Dodge Fellow in Human-Animal Ecology (1983-1984).
W. Alton Jones Foundation Fellowship (Summer 1983).
Cash Award for Exceptional Service, U.S. Marine Mammal
Commission (December 1988).
16. Please list each book, article, column, or publication you have
authored, individually or with others. Also list any speeches that you
have given on topics relevant to the position for which you have been
nominated. Do not attach copies of these publications unless otherwise
instructed.
Publications:
``The Dawn of an Urban Millennium,'' Review article, Editor's
Picks, Environment (September/October 2008).
``A Contract with the Earth,'' by Newt Gingrich and Terry L.
Maple, Johns Hopkins University Press, Baltimore, MD, 2007, 256
pp. Book review, Books of Note, Environment (July/August 2008).
Abbott, S.B. and W.S. Benninghoff, 1990. Orientation of
environmental change studies to the conservation of Antarctic
ecosystems. In: Antarctic Ecosystems, K.R. Kerry and G. Hempel
(eds), Springer-Verlag, Berlin, Germany.
National Academies' Publications (authored with others):
Board on Sustainable Development, 1999. Our Common Journey: A
Transition Toward Sustainability. National Academy Press,
Washington, D.C.
Committee on Global Change Research, 1999. Global Environmental
Change: Research Pathways for the Next Decade. National Academy
Press, Washington, D.C.
Committee on Global Change Research, 1998. Global Environmental
Change: Research Pathways for the Next Decade: Overview.
National Academy Press, Washington, D.C.
Polar Research Board, 1993. Arctic Contributions to Social
Science and Public Policy. National Academy Press, Washington,
D.C.
Polar Research Board, 1991. Opportunities and Priorities in
Arctic Geoscience. National Academy Press, Washington, D.C.
Polar Research Board, 1986. Recommendations for a U.S. Ice
Coring Program. National Academy Press, Washington, D.C.
Polar Research Board, 1986. Antarctic Treaty System: An
Assessment. Proceedings of a Workshop Held at Beardmore South
Field Camp, Antarctica, January 7-13, 1985. National Academy
Press, Washington, D.C.
Polar Research Board, 1985. National Issues and Research
Priorities in the Arctic. National Academy Press, Washington,
D.C.
U.S. Antarctic Report to the Scientific Committee on Antarctic
Research (Numbers 32, 31, 30, 27, 26) 1989-1991, 1985-1987.
National Academy Press, Washington, D.C.
Speeches:
``Environmental Trends and Sustainability Challenges,''
November 18, 2008, Fire Protection Research Foundation,
Washington, D.C.
``Sustainability: To Lead or LEED?,'' September 9, 2008,
Compass 2008, University of Texas at Austin.
The Buzz and the Biz of Sustainability,'' October 29, 2008,
Houston State Community College, Houston, Texas.
``The Buzz and the Biz of Sustainability,'' May 27, 2008,
National Institute for Staff and Organizational Development,
Austin, Texas.
``University Sustainability: From Ideas to Actions,'' April 29,
2008, Texas Association of Physical Plant Administrators,
Austin, Texas.
``The Promise and Practice of Sustainability Science,''
February 27, 2008, University of Texas Mexican Universities'
North American Conference, Mexico City, Mexico.
``The Challenge of Institutionalizing Sustainability Research
and Education Programs in Higher Education,'' September 1,
2007, Engineers Workshop, Austin, Texas.
``Science and Technology in the Americas,'' March 24, 2006, S&T
Policy in the Americas Conference, UT Mexican Center, Austin,
Texas.
``Scientist-Practitioner Dialogue: Lessons for the Arab
Region,'' April 16, 2005, Arab Region Roundtable on Harnessing
Science, Technology, and Innovation for Sustainability, Dubai,
UAE.
17. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony: None.
18. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
Our Nation confronts great challenges of economic and national
security, environmental quality, and health that also present
opportunities where science and technology can and will play an
essential role. The White House Office of Science and Technology
Policy's (OSTP) mission is to ensure that policies, budgets and
partnerships advance the full capabilities of science, technology and
innovation across all sectors, both public and private, to confront
these challenges and seize the opportunities. The OSTP advises the
President on the effects of science and technology on domestic and
international affairs and coordinates the research and development
necessary to harness the power of science and technology to improve the
quality of life for the American people. With respect to the
environment, the OSTP ensures a sound scientific and technical
underpinning for policy formulation and an interagency research and
development strategy for environment and natural resource issues.
I have spent most of my professional life at the crossroads of
science and policy that intersects with OSTP's mission, with an
emphasis on efforts that reach across the boundaries of knowledge to
solve problems of environment and development. I have worked on
environmental issues, ranging from global concerns about climate change
and sustainability, to regional issues of the high latitudes or marine
mammals and fisheries, to local considerations of ecosystem management
and biodiversity protection. Over the past 25 years, I have held
executive or senior positions in higher education (the University of
Texas at Austin), non-profit scientific institutions (the National
Academies and the American Association for the Advancement of Science),
and government (the U.S. Marine Mammal Commission). Most of this work
involved interdisciplinary environmental research planning and
education.
While working at the National Academies, I directed studies that
advised the government on science and technology for sustainability,
global environmental change, polar research, and international science
and organizations. These studies produced consensus reports and other
documents on setting priorities for research. While serving as Chief
International Officer of the American Association for the Advancement
of Science, I forged relationships not only across the scientific
disciplines, but across the continents to develop new approaches to
environmental research focused on the challenges of sustainability.
These efforts required extensive knowledge of Federal environmental R&D
programs and coordination and communication with Federal agencies, the
scientific community and the private sector. In addition, my academic
background in environmental science, with a master's degree from Yale
University, and an undergraduate degree in biological sciences from
Goucher College, along with my more recent appointment at the
University of Texas at Austin, provides the scholarly tools and
substantive context to address the broad range of environmental issues
that hinge on strong environmental R&D programs.
I feel that serving as the Associate Director for Environment of
the Office of Science and Technology Policy would be a tremendous
opportunity to work with the science community, the agencies and the
Congress to improve Federal environmental science and technology
programs. Considering the challenges ahead on all fronts of the economy
and environment where science matters, the OSTP has an opportunity to
help produce scientific information and knowledge for the Congress and
other decisionmakers in the public and private sectors that contribute
both to the resolution of the complex environmental issues of today and
the better management of natural resources for future generations.
19. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
The OSTP works on behalf of the American people to advise the
President, and therefore, must establish management and accounting
controls that uphold public scrutiny. First and foremost, if confirmed
by the Senate, I will do this by working with the OSTP Director to
attract a first-class professional staff with expertise and experience
appropriate to the priorities of the office, whether they come from
outside the government or are detailed from other government
departments. Second, I will assure that we establish effective
procedures for personnel management and accounting, and respond to all
reporting requirements in a timely manner.
I have managed professional and administrative staff in almost
every position I have held for the past 25 years, and I have always
established clear lines of communication and authority to assure that
there is full understanding of the responsibilities of each employee to
fulfill their duties and to adhere to all rules and regulations of the
parent organization. As a principal officer of the National Academies
and the American Association for the Advancement of Science, I had
fiduciary responsibility for my office or department and developed
accounting procedures and conducted business audits to carry out that
responsibility. I also served as the principal investigator on several
million-dollar Federal agency contracts and grants over this period. I
assured that the work was performed within the terms of the award and
within budget.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
The most important task facing the Office of Science and Technology
Policy is to help the Administration, the Congress and the public get
the best outcomes from the wise use of science and technology. This
requires policies that deploy science and technology to its full extent
for the health and security of the Nation's economy, its environment
and its citizens. It also requires policies for security, economy,
health and the environment that are built on sound scientific
foundations.
The first challenge that the Office of Science and Technology faces
is how to meet the diverse and extensive responsibilities in assisting
the development of these policies without adequate resources. The most
important lever will be human capital--recruiting talented personnel to
work with the Administration and Congress on priority areas and
developing an efficient and outcome-driven interagency process for
guiding policy development. Beyond sharing personnel, a strong
interagency mechanism has the advantage of leveraging resources for
developing joint initiatives to address priorities.
The second challenge is establishing effective networks across the
White House--especially with the Office of Management and Budget, the
National Security Council, and the National Economic Council--and
across the agencies and the Congress to address the priority issues.
Without productive working relationships that engage all stakeholders
across the government and the Congress, the Office of Science and
Technology Policy cannot do its job of establishing policies for
science and technology or helping to build the base of science and
technology knowledge with which to shape national policy.
The third challenge is how best to use science and technology to
promote human well-being and security while protecting the
environment--the challenge of sustainability. The pursuit of human
well-being is no longer a choice between economic prosperity or
environmental protection. Science and technology are engines of
economic prosperity, tools for peace, and implements for advancing
environmental knowledge. The challenge the Office of Science and
Technology Policy faces is to find new ways of addressing all three
issues (economy, security and environment) simultaneously to promote
sustainability. This will require working across fields, across
sectors, and across departments, and with the Congress to develop
policies and programs for advancing our understanding of problems of
the environment and sustainability and to find solutions.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
None, consistent with my SF-278 and ethics agreement. I have the
following (defined contribution) retirement accounts:
TIAA--Traditional Annuity
Vanguard 500 Index
TIAA-CREF Global Equities
TIAA-CREF International Equity
TIAA-CREF International Equity Index
TIAA-CREF Stock
TIAA-CREF Growth
TIAA-CREF Equity Index
University of Texas Saver TSA 403(b) Fidelity Balanced
University of Texas Saver DCP-457(b) Fidelity Balanced
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain.
None. Per my ethics agreement, I will take a leave of absence from
the University of Texas at Austin and am resigning my unpaid position
with Heldref Publications.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Office of Science and
Technology Policy's designated agency ethics official to identify
potential conflicts of interest. Any potential conflicts of interest
will be resolved in accordance with the terms of an ethics agreement
that I have entered into with the Office's designated agency ethics
official.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last 10 years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Office of Science and
Technology Policy's designated agency ethics official to identify
potential conflicts of interest. Any potential conflicts of interest
will be resolved in accordance with the terms of an ethics agreement
that I have entered into with the Office's designated agency ethics
official.
5. Describe any activity during the past 10 years in which you have
been engaged for the purpose of directly or indirectly influencing the
passage, defeat, or modification of any legislation or affecting the
administration and execution of law or public policy.
I have not personally been engaged in any activity for the purpose
of directly or indirectly influencing the passage, defeat, or
modification of any legislation or affecting the administration and
execution of law or public policy. However, I was associated with the
American Association for the Advancement of Science, which did work on
behalf of unfettered climate and health research, enhancing the United
States' innovation potential, and Federal R&D budget issues. While I
was employed by the organization, I did not personally advocate any
positions on these or other issues of science and technology policy.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Office of Science and
Technology Policy's designated agency ethics official to identify
potential conflicts of interest. Any potential conflicts of interest
will be resolved in accordance with the terms of an ethics agreement
that I have entered into with the Office's designated agency ethics
official.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics
by, or been the subject of a complaint to any court, administrative
agency, professional association, disciplinary committee, or other
professional group? If so, please explain: No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain: No.
3. Have you or any business of which you are or were an officer
ever been involved as a party in an administrative agency proceeding or
civil litigation? If so, please explain: No.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain: No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain: No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should he disclosed in
connection with your nomination.
I am not aware of any additional information that should he
disclosed in connection with my nomination.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by Congressional committees?
Yes, I will ensure that all deadlines are met.
2. Will you ensure that your department/agency does whatever it can
to protect Congressional witnesses and whistleblowers from reprisal for
their testimony and disclosures?
Yes, I will ensure that OSTP protects Congressional witnesses and
whistleblowers from reprisal for their testimony and disclosures.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee?
Yes, I will cooperate fully with the Committee in providing
witnesses, technical experts, and career employees.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so?
Yes, I am willing to appear and testify before any duly constituted
committee of Congress if requested.
______
resume of sherburne bradstreet abbott
Environmental scientist with 25 years of experience in research
planning, assessment, education, and policy related to, and
communicating about, human development and the environment. Held senior
positions in higher education, non-profit institutions and government
and developed an extensive network of high-level scientists and
officials within the national and international community. Directed
studies of science and technology for sustainability, global
environmental change, polar research, and international science and
organizations that produced consensus reports and documents on setting
priorities for research and on building the capacity of international
organizations to link scientific and technical knowledge with decision-
making. Routinely invited to make presentations at major national and
international conferences and events to promote the flow of innovative
ideas and solutions to problems of globalization, sustainability and
conservation of planetary resources.
Professional Experience
(January 2006-Present) Director, Center for Science and Practice of
Sustainability, Office of the Executive VP and Provost; Faculty,
College of Liberal Arts, University of Texas at Austin. Austin, TX.
Direct program on sustainability science and policy that builds
university-wide multidisciplinary approaches to problems of environment
and development. The Center is developing a 2050 Initiative to promote
research and innovation related to sustainability within the state, the
Nation and the global community. Co-chair the President's Task Force on
Sustainability, which was established to recommend policies and actions
recognizing the university's commitment to sustainability and
environmental stewardship. Additional activities include: lecturer in
the Liberal Arts Honors Program, faculty panel member, Bridging
Disciplines Program on Environment; Faculty Cluster on Science,
Technology and Development Policy, Teresa Lozano Long Institute for
Latin American Studies.
(March 2003-December 2005) Chief International Officer, American
Association for the Advancement of Science, Washington, D.C.--the
largest general science organization in the world, with over 120,000
members in 130 countries, and publisher of Science magazine. Directed
the AAAS Office of International Initiatives (approximately $1.3
million of activity and small staff), and designed and established the
AAAS Center for Science, Innovation and Sustainability. Served as
senior manager responsible for promoting AAAS leadership
internationally, providing the central point of contact with senior
representatives of international scientific and technical organizations
and programs; developing and coordinating international programs to
advance concerns of science education and careers, science and
technology policy, and scientific communication, including promoting
international participation in Science magazine; performing internal
management functions, and working with other senior managers to
implement overall goals of the professional society.
Established new center to advance science and technology for
sustainability, build scientific capacities of developing
countries to address the challenges of sustainable development
and strengthen the links between science, engineering and
development. Awarded $350K grant hunt the National Science
Foundation for a review of an international research institute
promoting regionally and policy relevant research on global
environmental change in the Americas.
Developed a 5-year strategic plan to improve international
scientific cooperation and build global work forces to respond
to the challenges of sustainable development, and secured
funding for new projects. Managed approximately $2M National
Science Foundation-supported program on Women's International
Scientific Cooperation that provided some 400 grants to
increase the participation of U.S. women scientists in
international scientific collaboration.
Raised the profile of AAAS at major international meetings and
events in Europe, Japan, China and the Middle East through
speaking engagements, media interviews and proposed
collaborative projects.
1999-Present Consultant.
Contributed to the World Bank's 2007 Global Forum: Building
Science, Technology and Innovation Capacity for Sustainable
Growth and Poverty Reduction, and wrote summary of session on
gender and development for the proceedings volume.
Assisted the President of the Brookings Institution
(Washington, D.C.) in developing an initiative on science and
technology policy for economic and national security.
Evaluated the Environmental Science Program of the
Environmental Defense Fund (New York, NY).
Conducted research, analysis and writing for the World Bank in
preparation of its World Development Report 2003 on
Transforming Growth: Neighbor, Nature, Future.
Carried out research and analysis on the governance of science
in service of the poor and excluded for the Rockefeller
Foundation's Global Inclusion Program.
Conducted research for the David and Lucile Packard Foundation,
suggesting a rationale and grantmaking strategy for an
initiative in conservation and sustainability science, and
assessing research needs to meet objectives for grantmaking in
fisheries, land management and energy.
Assisted the National Academies' Coordinating Committee for a
Sustainability Transition in developing a long-term program of
work and governance structure for the Academies in science,
engineering and health for sustainable development.
(1996-2000) Executive Director, Board on Sustainable Development,
National Academies (National Academy of Sciences, National Academy of
Engineering and Institute of Medicine), Washington, D.C. Managed
oversight board of 25 members (leading scholars in natural and social
sciences, former CEOs of Fortune 500 companies, former cabinet
secretary and senior government officials, directors of research and
policy institutions, university president) and subcommittees in
conducting studies for U.S. Government agencies and private
foundations. Directed the Sustainability Transition Study, Private
Sector Initiatives in sustainable development and the Global Change
Research Program.
Sustainability Transition Study assessed trends in social
development and environmental change, threats to global
sustainability and methods for analysis of possible future
development pathways and their implications for sustainability.
Undertaken over 4 years, involved the integration of
commissioned research, workshop findings and summer studies.
Produced the path-breaking report Our Common Journey: A
Transition Toward Sustainability, which proposes a strategy for
using scientific and technical knowledge to better inform
future action in the areas of energy and materials use,
fertility reduction, urban systems, agricultural production,
ecosystem restoration and biodiversity conservation, including
a research agenda for sustainability science and an action
agenda to link science and technical innovation with
internationally sanctioned goals for meeting human needs,
preserving the planet and reducing hunger and poverty. Report
used as framework for symposium on challenges for science and
humanity in the 21st Century; an institution-wide focus on the
transition to sustainability announced by the presidents of the
National Academy Sciences, Institute of Medicine, and National
Academy of Engineering; an international conference and
consensus statement of 63 academies of science on the
transition to sustainability; and an emerging international
initiative that aims to clarify concepts of sustainability
science, assist capacity building of science and technology in
developing countries and connect the results and outcomes to
international programs and consultations.
Private Sector Initiatives, supported by the Turner Foundation,
proposed to establish a dialogue among representatives of
industry and the scientific and technical community to help
inform business incentives and best practices with the latest
scientific knowledge and information on sustainability, and
explore common interests in technical innovation.
Global Change Research Program provided guidance to $2 billion,
multi-agency U.S. Global Change Research Program. Coordinated
overall program (synthesis committee and study committees on
climate, human dimensions, ecosystems, and data), directed
synthesis committee staff, negotiated and managed multi-year
contracts, and provided link with international programs.
Oversaw review of global change research that produced the
report Global Environmental Change: Research Pathways for the
Next Decade and an overview volume of findings and
recommendations which were used in formulating a Federal
Government 10-year plan for global change research, developing
new foci for international programs and guiding development of
a summary report on global and regional change issues for the
new U.S. Federal administration.
(1992-1996) Director, Committee on International Organizations and
Programs, National Academies. Managed committee (2 Nobel Laureates, CEO
of Global Environment Facility, former director of the U.S. National
Science Foundation, foreign secretaries of National Academies, leaders
of professional societies) to advise on international scientific
affairs and U.S. participation in international scientific and
engineering organizations. Directed program to strengthen U.S.
participation in disciplinary unions and interdisciplinary programs of
the Paris-based International Council for Science (ICSU). Staffed
international review of the goals, structure and programs of ICSU to
meet the changing needs of society and public policy; helped establish
new international Program for Capacity Building in Science, focusing on
primary and secondary science education in developing countries; and
organized and hosted the 25th General Assembly of ICSU in the United
States to increase the visibility of international science to Federal
officials and expose U.S. academic and government scientists to new
international partners and programs. Managed grants program for U.S.
contributions to scientific and engineering programs of the U.N.
Educational, Scientific, and Cultural Organization. Programs led to
renewed interest of U.S. funding agencies in international science
cooperation, as well as strengthening and reform of international
organizations.
(1989-1992) Director, Polar Research Board, National Academies. Led
projects in science and technology affecting public policy on
environmental quality, natural resources, indigenous communities, and
other issues in the polar regions. Produced reports on scientific
priorities to advance national interests and meet international
obligations and helped found an international organization for arctic
scientific cooperation to serve regional needs for human and industrial
development.
(1986-1989) Assistant Scientific Program Director, U.S. Marine
Mammal Commission, Washington, D.C. Managed the research and arctic
programs, reviewed environmental impact statements on offshore oil and
gas activities, and formulated agency positions on issues bearing on
marine conservation. Co-authored paper on environmental research and
monitoring that served as a model for meeting requirements of a
protocol to the Antarctic Treaty to monitor the environmental effects
of scientific and other activities undertaken in Antarctica.
(1984-1986) Program Officer, Polar Research Board, National
Academies. Managed studies of interdisciplinary polar science and
resource policy, with emphasis on innovative tools for conservation and
arctic research priorities. Helped develop a framework linking research
priorities with national needs in the Arctic for the interagency
committee of the U.S. Government charged with formulating arctic
research policy for the Nation.
(1979-1982) Science Teacher, Buckingham, Browne and Nichols Upper
School, Cambridge, MA. Taught environmental science and biology,
coached 3 varsity sports teams and served on Admissions Committee, with
responsibility for ninth grade admissions. Designed environmental
science curriculum to build environmental awareness and community
responsibility in student body.
Education
M.F.S., 1984, Yale University, School of Forestry and
Environmental Studies, ecology and natural resource policy.
A.B., 1977, Goucher College, biological sciences.
Fellowships and Awards
Senior Research Fellow, J.F. Kennedy School of Government,
Harvard University, 2000 (appointment only).
Dodge Fellow in Human-Animal Ecology, 1983-1984.
College Athlete of America, 1977.
Professional Activities
Contributing Editor, Environment magazine (December 1999-present).
Editor, AAAS/ISTS Forum on Science and Technology for Sustainable
Development (2005-2008).
Member, Priority Area Assessment Panel, Capacity Building in
Science, International Council for Science (2004-2005).
Treasurer, Leonard Rieser Endowment Fund for the Interciencia
Association (2005).
Selection Committees:
Environment, Health and Services Director Selection Committee,
University of Texas-Austin (2007).
Facilities Services Director Selection Committee, University of
Texas-Austin (2007).
Harry S. Truman Fellowship Selection Committee, University of
Texas-Austin (2007).
AAAS Diplomacy Fellowship Program (2004, 2005).
AAAS Roger Revelle Fellowship in Global Stewardship (1998;
1999; Chairman, 2000).
Guest editor, March 2000 Issues in Science and Technology, ``A
Delicate Balance: Environment, Economics, Development.''
Group of Specialists on Environmental Affairs and Conservation,
(1990-1993), Finance Committee (1989-1992), Subcommittee on
Conservation (1984-1988) of the Scientific Committee for Antarctic
Research, International Council for Science.
Publications
Abbott, S.B. and W.S. Benninghoff, 1990. Orientation of
environmental change studies to the conservation of Antarctic
ecosystems. In: Antarctic Ecosystems, K.R. Kerry and G. Hempel (eds.),
Springer-Verlag, Berlin, Germany.
Articles in the Antarctic Journal of the United States, the Arctic
Journal of the United States, and Science International, the newsletter
of the International Council for Science, and Environment.
Lead staff contributor and editor of National Research Council
reports, including:
Board on Sustainable Development, 1999. Our Common Journey: A
Transition Toward Sustainability. National Academy Press,
Washington, D.C.
Committee on Global Change Research, 1999. Global Environmental
Change: Research Pathways for the Next Decade. National Academy
Press, Washington. D.C.
Committee on Global Change Research, 1998. Global Environmental
Change: Research Pathways for the Next Decade: Overview.
National Academy Press, Washington, D.C.
Polar Research Board, 1993, Arctic Contributions to Social
Science and Public Policy. National Academy Press, Washington.
D.C.
Polar Research Board, 1991. Opportunities and Priorities in
Arctic Geoscience. National Academy Press, Washington, D.C.
Polar Research Board, 1986. Recommendations for a U.S. Ice
Coring Program. National Academy Press, Washington, D.C.
Polar Research Board, 1986. Antarctic Treaty System: An
Assessment. Proceedings of a Workshop Held at Beardmore South
Field Camp, Antarctica, January 7-13, 1985. National Academy
Press, Washington, D.C.
Polar Research Board, 1985. National Issues and Research
Priorities in the Arctic. National Academy Press, Washington,
D.C.
U.S. Antarctic Report to the Scientific Committee on Antarctic
Research (Numbers 32, 31, 30, 27, 26), 1989-1991, 1985-1987.
National Academy Press, Washington, D.C.
References available upon request.
Senator Cantwell. Thank you, Ms. Abbott. I am going to
start with you. Thank you for your willingness to serve, and it
is a pleasure to have your family with you here at the hearing.
So thank you for attending this hearing.
I wanted to ask specifically about NOAA and your role with
NOAA in our efforts to make sure that oceans policy and
particularly coastal science programs. What are your thoughts
on how we improve those to work better with local governments?
My main concern is that we talk a lot about climate mitigation
and we have had legislation through this Committee to talk
about adaptation and what we need to do to better plan for
climate change. I do not know if you want to comment on how you
think that we can provide better science and information
through your agency and office to work with local governments.
Ms. Abbott. Thank you for that question, Senator Cantwell.
President Obama has made it very clear that the cornerstone of
his activity is a robust strategy for research dealing with
climate change. And I see that the Office of Science and
Technology Policy, together with the OMB, will provide a very
strong and helpful, coordinated research program across the
budgets and across the agencies. And I look forward, if
confirmed, to helping that process.
NOAA is a very strong element of those agencies, and one of
the great opportunities that we have ahead of us is that many
of us, including myself--and I have known Dr. Lubchenko for
some 20-odd years or longer than I care to admit, as well as
other members of the team. And I think we will work very
strongly together so that the coordination function across the
agencies, I would assume, would be quite substantial and I
think that there is a long way that we can go in that
direction.
Senator Cantwell. What do you think are some of the
mistakes that we will make if we do not focus on the right kind
of adaptation and climate information and how that information
is shared?
Ms. Abbott. I think your point is well taken. I think
adaptation research has been one of the overlooked or at least
one of the less-funded efforts of the climate science program,
and I think, going forward, we need to look at the various
strategies that have been put forward to try to get the best
out of our research activity, including an adaptation research
strategy. We need to look at the national assessment that is
mandated by the U.S. Global Change Research Act looking across
the sectors and across the regions, and we also need to look at
a strategy for addressing the climate services that all of our
communities are going to depend upon to make decisions about
their going forward.
Senator Cantwell. You would agree that it is impossible for
them to do that kind of research--the local communities.
Ms. Abbott. It is impossible for them to do it alone
without help from the Federal Government.
Senator Cantwell. Thank you.
Mr. Kerry, obviously, as General Counsel, part of your
activities is lowering barriers to trade opportunities for U.S.
companies as they look for market opportunities abroad. One of
the issues is a lack of infrastructure of commercial law in
those countries. My understanding is that the General Counsel's
office provides commercial law assistance to those foreign
officials. How do you think we should enhance that or change
that or grow that function to better serve the United States?
Mr. Kerry. Well that, Senator, is part of one piece in an
overall review that the Administration has undertaken of trade
policy and all of its various components about the market
access, the countervailing duties, and antidumping aspects, and
review of the trade agreements. Certainly one of the functions
that I look forward to, if confirmed, is the opportunity to
work on the commercial law development program to try to
promote transparency in other countries and to promote
transparency in market access.
Senator Cantwell. Would you say that the program could grow
in our efforts on the international basis to support more
activities?
Mr. Kerry. Well, I think, Senator, the role that that
program is going to play in the overall trade strategy is
something that will emerge from that review. I certainly look
forward to a discussion with you and with your very capable
staff of ways that that program can help advance the choices
that we need to make in the area of trade.
Senator Cantwell. Thank you. I see my time is up.
Senator Hutchison?
Senator Hutchison. Thank you, Madam Chairman.
I want to ask each of you to answer the same question that
I asked of the first panel, and that is, would each of you work
with committee members on both sides of the aisle and give
information and any answers to requests that are made so that
we can do our job of oversight of your agencies? Ms. Boyd?
Ms. Boyd. Yes, Senator Hutchison, absolutely. I would see
that as the primary function of my office. I would also like to
note that I think our Federal Government works best when it has
a healthy relationship with Congress. So I would absolutely do
my part to ensure that.
Senator Hutchison. Thank you.
Mr. Kerry?
Mr. Kerry. Senator Hutchison, I took notes during your
introductory comments when you said the Committee cannot
perform its functions without information from the legislative
and legal staff. So my answer to that question is yes.
Senator Hutchison. Ms. Abbott?
Ms. Abbott. And yes, Senator Hutchison, along with my
fellow nominees, I share their view. Also, with respect to the
fact that the President has made openness a very strong
commitment on the part of the Government. So yes, I would.
Senator Hutchison. Thank you.
My only other question I have is for you, Ms. Abbott. The
OSTP really is an office that can be whatever you make of it.
It can be very active and productive and give the kind of
guidance in science that we really need, and it would be a
wonderful service if you do. But many times we never hear much
from OSTP. So it would be very helpful for you all to be active
because I think there are some areas where your input would
move the ball forward.
One of those areas concerns a bill that I introduced in the
last two Congresses to do more research in weather patterns and
mitigation to determine how mitigation works, how it affects
not only the area where it might be occurring, but other areas
around it. For instance, cloud seeding--does it affect areas in
the north, south, east, or west of the area where clouds would
be seeded?
There are really no records that have been kept in the last
few years. They used to keep them at OSHA and the Weather
Service, but--not OSTP. NOAA and the National Weather Service
used to do some of this record keeping, but they do not
anymore.
I talked to the head of OSTP when he was here, and he was
interested in participating and working with us on this bill. I
have the bill's directives now housed at the National Science
Foundation, but I would be pleased to work with OSTP on moving
it forward so that we could get data to determine if the
changes in weather and the violence of the weather that we have
seen in the last few years can in any way be mitigated or let
us look at the patterns and see if there is something that they
might tell us.
So my question is, would you work with me on that and maybe
help us push something through that would be helpful in
gathering data in the beginning and then seeing if that leads
us somewhere?
Ms. Abbott. Yes, Senator Hutchison, I would be pleased to
work with you as we go forward.
The intensity of storms and frequency is obviously a very
important problem and something that we have to address both
from its impact on public welfare, as well as on the economy.
About a third of our GDP comes from coastal communities and
clearly any impact from hurricanes on coastal communities is
felt across the Nation. So our understanding of the dynamics of
these storms, together with their consequences, and also
looking at the various strategies for mitigation and adaptation
has to be a very strong part of the portfolio of research that
we work with you in an effort to produce for the Nation.
Senator Hutchison. Well, thank you. I know that you have
now lived in Texas, you have seen----
Ms. Abbott. We have experienced it firsthand.
Senator Hutchison.--and the surges. You know, Katrina. The
big damage was from surge, not from the hurricane. Then, of
course, Hurricane Ike, we saw it in Galveston just last year.
So it is something that I think is high time we look at, study,
see what the patterns are, if any, and then see if there is
something we ought to be doing. But we cannot take that step
until we know what the patterns are and if we can do something
with that information.
So I thank you and I look forward to working with all of
you in your capacities. Thank you.
Senator Cantwell. Thank you and thank you, Senator
Hutchison for being here today and allowing the hearing to go
forward on these confirmations so that we can get the agency
the personnel that it needs to do its job and to work with us
here in Congress.
I want to remind my colleagues that the Committee does want
to move on these nominees very quickly, so if they have
questions for the nominees, to have them in by noon tomorrow so
that they can get a response. And obviously, if members who
were not here today have questions, you do not have to wait
until noon tomorrow, you can start getting them to the
Committee to get to these individuals sooner than that. The
sooner you get them, the sooner the answers can come back.
So with that, again thank you all for being here and for
your testimony and for willingness to serve.
This hearing is adjourned.
[Whereupon, at 4:21 p .m., the hearing was adjourned.]
A P P E N D I X
Response to Written Questions Submitted by Hon. John D. Rockefeller IV
to Peter H. Appel
Question 1. As RITA's strategic plan comes to an end in Fiscal Year
2010, what are the priorities you envision for the agency?
Answer. If confirmed, I plan to work closely with Secretary LaHood
to advance the goals of safety, mobility, livability, sustainability,
and economic growth. The Research and Innovative Technology
Administration (RITA) is well-positioned to provide Departmental
leadership on these priorities. If confirmed, I would charge RITA's
Research, Development and Technology program with coordinating forward-
thinking research priorities, including those on climate change, for
the Department. Further, I would work with the Intelligent
Transportation Systems (ITS) program to research cutting-edge
technologies for deployment into our transportation system to help
ensure that our infrastructure investments make the best use of the
taxpayers' dollars. I would also look forward to working with the
Bureau of Transportation Statistics to produce sound data upon which
policy decisions could be made. There is an opportunity for RITA to
bring together first-rate transportation research, technologies, and
data to ensure a safe, efficient, sustainable and robust transportation
network across every mode.
Question 2. How will you coordinate RITA's efforts between modal
administrators to incorporate technological solutions to transportation
problems?
Answer. I firmly believe that RITA can do a better job providing
coordinated research and analytical results to Departmental
decisionmakers, to support Administration and Secretarial policy
initiatives. If confirmed, I will seek to reach across the modal
administrations, and to outside research and technology organizations,
to identify technology readiness; to promote those which may be
commercialized; and to further develop those with the best chance of
improving intermodal connectivity. This effort may only be successful
if we have a full partnership with all modal administrations and their
stakeholder partners.
Question 3. What is your assessment of the FAA efforts to use
technology to address environmental issues, particularly through the
NextGen, CLEEN and CAFFI programs?
Answer. I have not had an opportunity to assess these programs. If
confirmed, I will work with the FAA to assist in any way I can to
address aviation environmental issues, and bring the knowledge of the
Volpe National Transportation Systems Center to bear on this topic. As
you may know, the Volpe Center already provides significant support to
the FAA in air traffic system design and research, and in aviation
environmental assessment and modeling.
Question 4. What role do you believe RITA can play in supporting
the FAA's environmental efforts?
Answer. Aviation emissions, noise and fuel use are three
significant issues in which FAA is working to fulfill, or even lead,
International Civil Aviation Organization (ICAO) environmental
standards, as well as being an important part of the transportation
environmental equation. If confirmed, I look forward to working with
the FAA, through the DOT Center for Climate Change, through RITA's
leadership in alternative fuel technology and standards, and in other
ways to ensure that the work that FAA is doing both supports and is
supported by what RITA does across all modes on this critical topic.
Question 5. How do you anticipate the Office of Intermodalism
working to coordinate the development of a national intermodal
transportation system?
Answer. RITA activities, cutting across all modes, need to provide
an intermodal perspective. If confirmed, I plan to examine all RITA
programs in terms of how they can promote intermodal thinking in the
agency and within the Department. As part of that examination, I will
look into the status and potential for the Office of Intermodalism to
help coordinate the development of a national intermodal transportation
system. As intermodalism involves all of the Department's Operating
Administrations, I anticipate working closely with the Office of the
Secretary.
Question 6. What will you do to advance the development and use of
new technologies to improve the efficiency of freight flow through the
marine transportations system and its intermodal connectors?
Answer. The conduct of applied research through nationally renowned
institutions such as the National Academies is critical to the
identification and development of ways to increase operational
efficiency and throughput of the marine transportation system. If I am
confirmed, RITA will continue to pursue and conduct such applied
research opportunities to develop new reliable data, tools, and
technologies through the National Cooperative Freight Research Program.
For example, one NCFRP project entitled Preserving and Protecting
Freight Infrastructure and Routes will specifically address the state
of maritime infrastructure including truck routes connections between
manufacturers and ports and the state of intercity highway and rail
networks around ports. The objective of this research project is to
provide state and local officials, land use planners, etc. with state-
of-the-practice review of current activities and best practices for use
in planning and development of facilities in proximity to freight,
port, and rail operations. RITA will continue to support the critical
efforts of the Committee on Maritime Transportation System (CMTS)
through the involvement of the Bureau of Transportation Statistics.
RITA, through BTS, will continue to sponsor the Maritime Data Working
Group which produces analytical and technical reports on maritime trade
and transportation.
In addition, RITA will conduct the validation of the use of new
technologies through deployment of proof-of-concept projects in several
areas of freight transportation management ranging from applied
technologies in intelligent transportation systems, remote sensing
technologies to spatial information-based decision support systems to
enhance the overall freight system performance. The Intelligent
Transportation System Program also has technological developments which
I will look at for applicability to intermodal connectivity. All of
these efforts will be coordinated with the Federal Highway
Administration's programs in intermodal connectors and freight
management.
Question 7. What do you see as the greatest gap or deficiency in
scientific research that your office can fill to address vehicle safety
and transportation issues?
Answer. Today, when we drive, we are limited by human capabilities
regarding what is happening on the roadway around us. In the future, we
can greatly improve safety if our vehicles are smarter and aware of
other cars on the roadway and potential hazards that drivers may not
see. These capabilities require vehicles to be able to communicate with
one another and with signals and other roadway features. Thus,
technology offers the potential to transform vehicle safety.
Specifically, RITA's Intelligent Transportation Systems Joint
Program Office, is working hand-in-hand with the National Highway
Traffic Safety Administration (NHTSA) to research and develop vehicle-
to-vehicle and vehicle-to-infrastructure communication technologies for
safety applications. This suite of technologies, collectively referred
to as IntelliDrive(SM), holds the potential to transform vehicle safety
by giving the vehicle 360-degree awareness to warn the driver of
hazards and, as technology advances, to ultimately take limited control
to avoid a crash.
While research progress is being made, the business model that will
provide a funding approach to equip vehicles and to deploy roadside
infrastructure must be found. In addition, several key issues, such as
privacy and security, must be addressed to bring this ground-breaking
technology to fruition. However, the potential benefits of this
technology fully justify the investment.
Question 8. In your opinion, what challenges do scientists face
when attempting to produce vehicle safety research that is useful to
the automotive industry?
Answer. The most recent challenge is to sustain the automotive
industry's focus on research in the current business climate. Their
attention is diverted and their resources are strained. Despite these
challenges, the automotive industry must be a full partner in the
technical and non-technical research. It is essential that USDOT
nurture and maintain strong relationships with the automotive industry.
Through that relationship, research can be cooperatively developed that
will meet the needs of the industry. To this end, USDOT enabled the
creation of the Vehicle Infrastructure Integration Consortium (VIIC) as
a venue for the automotive industry to work with each other and with
USDOT in a non-competitive environment to conduct research pertinent to
the automotive industry. The research identified above must be designed
with the support of the automotive industry so that it satisfies their
needs for ultimate implementation.
Question 9. As the administrator of RITA, what approach will you
take to addressing these challenges?
Answer. If confirmed as Administrator, I would use this leadership
position to strengthen and sustain the relationship with the automotive
industry. RITA can do much to reassure the industry of the government's
commitment to this research and its belief in the potential to
substantially improve safety. Further, RITA, as an agency with a multi-
modal mission, can and will continue our strong relationship with the
National Highway Traffic Safety Administration (NHTSA) in the
development and execution of this research program. NHTSA has a long-
standing relationship with the automotive industry and they are a key
partner in the research.
Question 10. How will you adequately provide current and thorough
reporting of your statistical research and analysis?
Answer. RITA, through the Bureau of Transportation Statistics
(BTS), regularly communicates with stakeholders and customers in
providing statistical products and services that meet priority needs of
policy leaders and decisionmakers and ensures that decisionmakers have
access to the relevant, accurate, timely, and reliable information and
analyses needed to make informed decisions and improve safety and
livability, reduce congestion, and boost overall transportation system
performance. To achieve this goal, BTS engages in three central
activities: creating, managing, and sharing transportation statistical
knowledge.
BTS has already scheduled updates and online releases of airline
data, international data, the Transportation Services Index and other
key transportation indicators. BTS produces analytical reports on key
transportation trends including passenger intermodal connectivity and
national and state transportation statistics. BTS will continue to
develop statistical products and services that enhance knowledge
regarding other pressing domestic and international transportation
topics as they evolve. BTS actively contributes to the Nation's
geospatial knowledge by developing software to improve the estimation
of travel routes and by collaborating with Federal agencies and
stakeholders to advance geographic data efforts. The BTS also
administers the National Transportation Library. The National
Transportation Library maintains a substantial presence in both digital
and traditional library environments.
______
Response to Written Questions Submitted by Hon. Mark Begich to
Peter H. Appel
Question 1. What role do you see the University Transportation
Centers (UTC) playing in the formulation of national transportation
policy?
Answer. The University Transportation Centers continue to play an
increasing role in forming national transportation policy, as evidence
by several UTC directors testifying recently before the Congress on
topics as diverse as livability, infrastructure maintainability, and
rural transportation issues. It is becoming increasingly known that the
UTCs house thoughtful knowledge creation and analysis capabilities upon
which state Departments of Transportation, Metropolitan Planning
Organizations, and private logistics firms are drawing increasingly. I
am a firm believer in the value of the UTCs, and if confirmed, will
seek to draw the UTCs, their research results and policy analysis
skills, more into the national policy debate through the Department.
Question 2. More specifically, what role do you see the Alaska
University Transportation Center playing in the formulation of the
Nation's transportation policy and arctic policy?
Answer. The Alaska University Transportation Center is addressing
extreme environment transportation issues in a way that few others can,
yet is doing so in a collaborative manner with others who work in the
field. Bringing this specific knowledge together will be useful in
informing national transportation policy as it affects arctic
environmental and transportation issues.
______
Response to Written Questions Submitted by Hon. John D. Rockefeller IV
to Joseph C. Szabo
Question 1. While changes to the regulatory structure governing
railroad rates matters are generally handled by the Surface
Transportation Board, as Administrator of the Federal Railroad
Administration, your actions will have a tremendous effect on the role
that both freight and passenger railroads play in our surface
transportation system. Are you willing to work with me to expand
competition and improve service in the rail industry while ensuring
that railroads have the resources they need to serve the nation?
Answer. The economic regulatory structure governing railroads faces
the difficult challenge of balancing the often conflicting needs of the
railroads, shippers and communities. Adequate financial returns for the
railroads are necessary to encourage investment in additional capacity
and new technologies that will provide the safe, efficient and growing
rail system we need for both freight and passenger service. Reasonable
rates and reliable service are critical for the economic development of
our communities. The impact on communities from changes in railroad
service must also be considered. As you note, the responsibility for
balancing these needs has been placed principally with the Surface
Transportation Board (STB). FRA, in cooperation with the General
Counsel (OST) and other DOT modes, participates in proceedings before
the STB and this provides an opportunity for the agency to influence
policy on these issues. I believe the Department's filings before the
STB should continue to urge the STB to balance the needs of the
railroads for adequate financial returns with the needs of shippers for
reasonable rates and reliable service. If confirmed as FRA
Administrator, I would be pleased to work with you and the Committee to
consider ways to better achieve the goal of expanding competition and
improving service.
Question 2. What will you do to make sure that the Federal Railroad
Administration is an active participant in the Department of
Transportation's (DOT) Office of Climate Change to make sure that rail
is adequately represented in the Department's climate change efforts?
What will you do at the Federal Railroad Administration to promote rail
as an environmentally friendly transportation option?
Answer. If confirmed, I will work to assure that FRA is an active
participant in the DOT Office of Climate Change to make sure that rail
is adequately represented in the Department's efforts on this issue. I
understand that FRA has been an active participant with that office in
the past. With respect to efforts to promote rail as environmentally
friendly transportation option, there are a number of initiatives
currently planned or underway that I fully support. On April 16, the
Department of Transportation released Vision for High-Speed Rail in
America, its strategic plan for the use of the high-speed rail and
intercity passenger rail funding provided through the American Recovery
and Reinvestment Act of 2009. This Strategic Plan is just the first of
several steps intended to further refine and elaborate on this high-
speed rail corridor vision--including the program guidance, the
President's detailed Fiscal Year 2010 budget request, the National Rail
Plan called for by Congress, and discussions over upcoming surface
transportation legislation. I believe that enhanced passenger rail can
play an important role in our Nation's overall climate change strategy.
Question 3. How will you as Administrator help the Federal Railroad
Administration meet the deadline for the new hours of service regime
enacted in the Rail Safety Improvement Act of 2008? And the
implementation of positive train control?
Answer. Mr. Chairman, I'm informed that FRA has already completed
work within the Railroad Safety Advisory Committee toward issuance of a
final rule on Hours of Service Record Keeping and Reporting and that
they are finalizing partial agreements on Positive Train Control, as
well. If confirmed, it would be my responsibility to work with FRA's
safety staff and counsel to make sure that initial policy decisions on
work such as this are made early in the process of regulatory
development and that my colleagues in the Administration are kept fully
briefed so that we do not lose time in ``review and clearance'' that
could be spent implementing safety rules in the field. I know the FRA
staff is working to be part of the solution here and to ensure that the
detail work that Congress directed the agency to do is completed as
quickly as possible. Nothing that I could do as Administrator could be
more important than pushing to resolution the work the agency must do
to implement the Rail Safety Improvement Act of 2008.
Question 4. The American Recovery and Reinvestment Act of 2009
provides funding to the several grant programs that the Federal
Railroad Administration administers, such as the Amtrak capital grant
program and the State Intercity Passenger Rail Grant program. How will
you make sure projects that are selected to receive funds are the ones
that are best suited to contribute to a national rail system?
Similarly, how will you make sure that funds provided to these programs
will be distributed quickly and efficiently so that projects can begin
to be constructed as soon as possible?
Answer. On April 16, the Department of Transportation released
Vision for High-Speed Rail in America, its strategic plan for the use
of the high-speed rail and intercity passenger rail funding provided
through the American Recovery and Reinvestment Act of 2009. As outlined
in that strategic plan, and as specified by President Obama's March 20
memorandum on the use of Recovery Act funds, projects will be selected
based on transparent, merit based criteria, including projects' ability
to produce economic stimulus, achieve the goals for high-speed rail and
intercity passenger rail development specified in the Passenger Rail
Investment and Improvement Act of 2008, and mitigate financial and
implementation risks. It is my understanding that FRA will be providing
addition details on these merit-based criteria as part of the interim
guidance it will issue by June 17. If confirmed as Administrator, I
look forward to working to develop and implement these merit-based
criteria.
The expeditious management of the grant-making and construction
processes will unquestionably be one of the greatest challenges facing
FRA. I hope that the interim guidance, which will establish the exact
procedures and standards to be applied under these programs, will serve
as a first step to ensuring that projects move forward without delay,
and are completed as quickly as is prudently possible.
Question 5. The Passenger Rail Investment and Improvement Act of
2008 included a requirement for the Federal Railroad Administration and
Amtrak in consultation with other specified parties to develop metrics
and standards for the performance and service of train operations. As
Administrator, will you be committed to fully establishing fair metrics
and standards for performance and service of train operations,
including measurements of on-time performance and delays of intercity
passenger rail on rail carrier's lines?
Answer. I understand that FRA has been working diligently with
Amtrak to develop the required metrics and standards, and I look
forward to reviewing the progress made in these efforts. Intercity
passenger rail service can only be successful if the trains operate
reliably, and the standards and metrics called for under the Passenger
Rail Investment and Improvement Act of 2008 represent a key component
of the efforts that are necessary to ensure improved intercity
passenger rail reliability.
______
Response to Written Questions Submitted by Hon. Byron L. Dorgan to
Joseph C. Szabo
Question 1. While freight railroad rates and practices are
generally handled by the Surface Transportation Board, as Administrator
of the FRA, your actions will impact the role that both freight and
passenger railroads play in our surface transportation system. How can
you help us to expand competition and improve service in the freight
rail industry?
Answer. The FRA, in cooperation with the General Counsel (OST) and
other DOT modes, participates in proceedings before the Surface
Transportation Board (STB). I believe the Department's filings before
the STB should continue to urge the STB to balance the needs of the
railroads for adequate financial returns with the needs of shippers for
reasonable rates and reliable service.
Adequate financial returns for the railroads are necessary to
encourage investment in additional capacity and new technologies that
will provide the safe, efficient and growing rail system we need for
both freight and passenger service. Reasonable rates and reliable
service are critical for the economic development of our communities. I
believe the Department should also continue to urge the STB to consider
the impact on communities from changes in railroad service.
Question 2. How will you make sure projects that are selected to
receive funds from the American Recovery and Reinvestment Act of 2009
are the ones that are best suited to contribute to a national rail
system?
Answer. On April 16, the Department of Transportation released
Vision for High-Speed Rail in America, its strategic plan for the use
of the high-speed rail and intercity passenger rail funding provided
through the American Recovery and Reinvestment Act of 2009. As outlined
in that strategic plan, and as specified by President Obama's March 20
memorandum on the use of Recovery Act funds, projects are to be
selected based on transparent, merit based criteria, including
projects' ability to produce economic stimulus, achieve the goals for
high-speed rail and intercity passenger rail development specified in
the Passenger Rail Investment and Improvement Act of 2008, and mitigate
financial and implementation risks. It is my understanding that FRA
will be providing addition details on these merit-based criteria as
part of the interim guidance it will issue by June 17.
______
Response to Written Questions Submitted by Hon. John Kerry to
Joseph C. Szabo
Question 1. Last Congress, Senator Specter and I introduced the
High-Speed Rail for America Act of 2008 which provides tax exempt bonds
and tax credit bonds for high-speed rail. The American Recovery and
Reinvestment Act of 2009 included $8 billion for high-speed rail
projects. I believe that more than $8 billion is necessary to create a
high-speed rail system and that tax exempt bonds and tax credit bonds
would provide a constant source of funding that would complement the
initial investment of $8 billion. Would you support such a program?
Answer. As stated in Vision for High-Speed Rail in America, and
emphasized in President Obama's April 16 remarks at the release of that
strategic plan, the Administration views the $8 billion provided under
the Recovery Act and the $1 billion per year funding proposal contained
in the President's Fiscal Year 2010 budget as a down payment to jump-
start the development of high speed rail in America, recognizing that
additional funding will be required to realize the full potential of a
nationwide high-speed rail system. As such, if confirmed, I would look
forward to working with others in the Administration and with Congress
to identify the precise sources and mechanisms for providing additional
funding.
Question 2. I have proposed creating an Office of High-Speed Rail
within the Federal Rail Administration to focus solely on developing
high-speed rail. Do you think such an office is needed?
Answer. Faced with an unprecedented increase in grant funding and
policy responsibilities, there is no question that FRA will require
additional resources to guide the development of the Nation's high-
speed rail system and oversee the use of Federal funding in that
effort. If I am confirmed, I would look forward to working with
Department of Transportation officials and the Congress to determine
what organizational structure will best suit these needs.
______
Response to Written Questions Submitted by Hon. Frank R. Lautenberg to
Joseph C. Szabo
Question 1. There has been little Federal investment in our freight
rail infrastructure, even as we face a significant increase in freight
traffic. What should be the Federal Government's role in maintaining
and enhancing freight-related infrastructure?
Answer. The Federal Government provides limited financial
assistance for investment in our freight rail infrastructure, most
prominently through the loans and loan guarantees available in FRA's
Railroad Rehabilitation and Improvement Financing Program (RRIF) and in
Fiscal Years 2008 and 2009 the Rail Line Relocation and Improvement
Program. The freight railroads are best positioned to determine their
investment needs to meet anticipated demands on the freight rail
system. The critical Federal role is to continue to support a rail
regulatory environment that permits the freight railroads to earn an
adequate return on their investment, thereby permitting and encouraging
the freight railroads to invest in needed infrastructure. The Federal
Government may have a role in providing additional support to foster
capacity growth beyond what private investment provides in certain
areas, for example, to support passenger rail, or in providing funding
to accelerate the adoption of new technologies with safety or
environmental benefits. However, no additional specific Federal funding
role for freight rail has been identified at this point.
Question 2. In the Passenger Rail Investment and Improvement Act of
2008, we required that the Northeast Corridor be brought into a state-
of-good-repair by 2018. As Administrator of the FRA, how will you
implement this law to meet this deadline and ensure the Northeast
Corridor can meet the increased demand for rail travel?
Answer. I understand that FRA works closely with Amtrak as part of
its administration of the railroad's Federal capital grants to ensure
that the funding provided to Amtrak is used to further the railroad's
key strategic goals, including the bringing of the Northeast Corridor
to a state-of-good-repair. As you know, Amtrak is also required under
section 211 of the Passenger Rail Investment and Improvement Act of
2008 to prepare a capital spending plan identifying the capital
projects required to achieve this important goal. If I am confirmed as
Administrator I would like to see the final state-of-good-repair plan
serve as a cornerstone in the process of identifying capital projects
to be included future Federal capital grants to Amtrak.
Question 3. Last year, I worked to enact the Clean Railroads Act of
2008 in response to the proliferation of companies abusing a Federal
loophole that prevented New Jersey from enforcing important public
health, safety, and environmental standards at rail sites. As
Administrator of the FRA, how will you ensure that rail operators abide
by Federal and State requirements preventing pollution, protecting the
environment, and protecting the public health, especially laws
governing solid waste?
Answer. If I am confirmed, I look forward to learning more about
the Clean Railroads Act of 2008 and how FRA in carrying out its
railroad safety responsibilities might assist the Surface
Transportation Board as it implements the Clean Railroads Act and the
Environmental Protection Agency in its role in preventing pollution,
protecting the environment, and protecting the public health,
especially with respect to laws governing solid waste.
Question 4. The Act to reauthorize the FRA signed into law last
year included a number of important provisions to improve rail safety.
One of these is the implementation of positive train control systems,
which will help reduce collisions and derailments. What will you do as
FRA Administrator to ensure this requirement is implemented effectively
and on time?
Answer. I look forward to seeing that FRA finishes developing
proposed performance-based regulations to govern the implementation and
use of mandatory PTC systems. Under the law, each applicable railroad
will have to submit a PTC implementation plan for approval by April 16,
2010. If confirmed, I will do everything I can to carry forward FRA's
objective of issuing a final rule providing requirements for such plans
no later than October 2009. I am aware that FRA is asking for plans
describing the technology that the railroads will use by next April, as
well; and I believe that this is necessary if we are going to ensure
completion of these systems by the statutory deadline of December 31,
2015.
______
Response to Written Question Submitted by Hon. Mark Begich to
Joseph C. Szabo
Question. The Department of Defense has identified the Alaska
Railroad as a part of the Strategic Rail Corridor Network (STRACNET) as
a Defense Connector Line. You may be aware that the Alaska Railroad is
proposing an expansion, the Northern Rail Corridor Extension Project,
which may be relevant to the DOD, and is supported by many Alaskans.
Can you explain to the committee what, if any, judgments you may have
made about of the viability of the Alaska Railroad's Northern Rail
Corridor Extension Project, as well as the STRACNET designation of this
rail corridor by the DOD?
Answer. I have not as yet made any judgments about the viability of
the Alaska Railroad's Northern Rail Corridor Extension Project but
would be interested in learning more about the project if I am
confirmed as FRA Administrator. It do understand that the FRA is a
cooperating agency on the draft environmental impact statement (EIS)
prepared by the Surface Transportation Board and published in December
2008 and that FRA has provided grant funds to the Alaska Railroad
Corporation to advance the planning, design, and environmental review
of the project.
______
Response to Written Questions Submitted by Hon. Tom Udall to
Joseph C. Szabo
Question 1. In my state, safety at railroad crossings is an
important issue since we have had several fatal accidents. These
accidents have taken place with cars at grade crossings and with people
walking along tracks when they should not be. The Railroad Safety
Enhancement Act of 2008 included grants to states for grade crossing
safety and the ``Operation Life Saver'' program to raise public
awareness of railroad safety hazards. Will you aggressively implement
these programs to prevent rail crossing accidents? Will you work to
introduce new technologies to improve rail safety, especially for
tracks that cross roads and pass through populated areas?
Answer. Yes. Highway-rail grade crossing safety would be a priority
for me as Administrator of FRA. If confirmed, I would continue FRA's
longstanding partnership with Operation Lifesaver and countless other
outreach efforts with the rail industry, State and local governments,
and transportation organizations in schools, in workplaces, and in
communities all across our Nation to raise public awareness about
highway-rail grade crossing safety. As I have testified, given my
railroad background it would be a special honor for me to help
implement the measures in the Rail Safety Improvement Act of 2008 to
improve railroad safety, including all measures to promote highway
grade-crossing safety. If confirmed, I would indeed work with FRA staff
to explore additional ways to improve highway-rail grade safety, taking
advantage of new technologies that hold promise for reducing the risks
posed to both highway and rail users in high traffic areas. Improving
high-rail grade crossing safety simply improves safety for all of us,
and it would be a key focus for me as Administrator.
Question 2. Mr. Szabo, relocating freight rail out of congested
urban areas is an issue across the country, including in the Chicago
area where you are from. In the border areas of Texas and New Mexico,
several proposed rail relocation projects could potentially reduce
congestion, improve border security, and increase safety. My
understanding is that the Federal Railroad Administration does assist
with such rail relocation projects, primarily through loans and loan
guarantees. Would you support increased FRA funding for rail relocation
projects? Through what programs?
Answer. FRA currently administers the Rail Line Relocation and
Improvement program, the purpose of which is to provide financial
assistance through grants for exactly the type of projects highlighted
in your question. FRA also manages the Railroad Rehabilitation and
Improvement Finance program, which provides loans and loan guarantees
to help finance a variety of railroad projects, including those
involving railroad relocations. I understand that interest and
participation in both of these programs has been very high, and in the
case of the Rail Line Relocation and Improvement program, that demand
has far outstripped the supply of available funding.
Response to Written Questions Submitted by Hon. Sam Brownback to
Joseph C. Szabo
Question 1. In the past the U.S. DOT appears to have opposed the
use of RRIF financing for refinancing. Refinancing is a stated
eligibility under the statute and can be enormously helpful to short
line railroads that generally have difficulty securing reasonably
priced financing in the private market. What assurances can you give
that this bias against refinancing will not resurface in the new
Administration?
Answer. I am cognizant of the financing needs of the short line
railroads, including the need to refinance various kinds of debt that
are eligible under the RRIF program. I understand that in the past this
program has not been implemented as widely as Congress would have
liked. If confirmed, I will work within this Administration to make
sure that RRIF is one of the many tools available to address the
investment needs of the railroad industry.
Question 2. My next two questions for you are more of a statement,
but I would appreciate your response. I know that your past work has
allowed you to become very familiar with the Class I railroad industry
and this experience and knowledge will no doubt be important as you
make decisions concerning the industry. If you are not as familiar with
the short line railroad industry, I want to encourage you to become so
as quickly as possible. These small businesses are preserving rail
service and rail jobs in areas of the country that the Class I no
longer serves. In my own state of Kansas short lines operate 42 percent
of the state's total rail network and are absolutely critical in moving
grain for a huge number of area farmers. I want to make sure that you
have a real appreciation for what short lines mean for vast areas of
rural and small town America. In that regard, I commend for your
reading file recent Congressional testimony given by Rick Webb, CEO of
Watco Companies which own and operates 19 short lines across the
country. The testimony was given on January 28 before the House
Railroad Subcommittee and it does a good job of explaining why short
lines are such an important part of the Nation's transportation
network.
Answer. I and the Federal Railroad Administration (FRA) are well
aware of the importance of the short line railroads. While the Class I
railroads generate far more ton-miles of traffic, a significant portion
of that traffic either originates or terminates on short line
railroads. They form a critical link to the national economic system
for many communities while reducing wear and tear on rural roads not
designed for heavy truck traffic. The ability of short lines to provide
local ``retail'' service, vital to small communities, assembling small
shipments into larger blocks of cars that are then interchanged with
the Class I's allows many smaller communities to receive good quality
rail service despite their smaller size and gives them access to the
world's markets. I am also aware of some of the unique challenges short
line railroads face, including the lack of financing. The RRIF program
was created to help address these needs. Funding the track and other
improvements needed by short line railroads not only improves safety
and service, it reduces pollution and puts people to work.
Question 3. In that same regard, I want to make sure that you are
committed to working with the short lines with regard to implementing
the recently passed Rail Safety Legislation. That legislation was aimed
primarily at safety issues on the Class I railroads. While many of the
provisions are relevant to all rail operations, there are a number of
rules regarding hours of service and the installation of Positive Train
Control systems where the short lines are going to have to engage in
very expensive compliance measures in areas where their operating
characteristics do not match the Class I characteristics and where
there is no safety benefit associated with the action. I hope you
intend to pay close attention to this issue and to make regulatory
adjustments where that is appropriate.
Answer. I certainly appreciate the fact that one size doesn't
always fit all. Although FRA has an obligation to ensure that the law
is enforced and that safety needs are met, the agency also has a
responsibility to ensure that small entities, including small
railroads, are not subject to requirements that are unnecessary. As a
safety stakeholder in my current job, I have watched the FRA work
closely with the American Short Line and Regional Railroad Association
through the Railroad Safety Advisory Committee and in other forums. I
know many short line and regional railroaders, and I respect the role
that they play in the national rail system. If confirmed, I will
welcome the chance to work closely with smaller railroads to ensure
that the Rail Safety Improvement Act of 2008 is implemented in an
effective but rational way which takes into account real differences in
safety exposure.
______
Response to Written Questions Submitted by Hon. John D. Rockefeller IV
to Dana G. Gresham
Question 1. How do you plan to facilitate open, honest, and timely
communication between the Department of Transportation and Congress?
What process will you establish to make certain that the Administration
consults with this Committee in a timely fashion before implementing
major policy shifts?
Answer. I recognize the facilitation of open, honest, and timely
communication between the Departments of the Executive Branch and
Congress, conducted in a bi-partisan manner as emphasized by Ranking
Member Hutchison at the Committee hearings on my nomination, to be a
primary function of the Office of Governmental Affairs. Timely
communications would be a focus of my management of the Office should I
be confirmed, including notice to Congress of impending policy shifts.
To make that happen, I would expect to work closely with the senior
policy staffs of the Secretary, Deputy Secretary, and Under Secretary,
as well as the Administrators, to remain cognizant of developing policy
and to make clear the need for consultation, as appropriate, with the
appropriate Senate and House committee leaderships.
Question 2. The Administration's FY 2010 budget is expected to be
received by Congress in the coming weeks. Can we depend on more
aggressive support of critical rural air service programs, both
Essential Air Service (EAS) and the Small Community Air Service
Development program, from the Obama Administration?
Answer. The President signaled his strong support for, and
recognition of the value of, the Essential Air Service Program in his
preliminary Budget message in February. From all that I have learned
about the objectives of the EAS program and Small Community Air Service
Development program since being nominated, I am convinced that these
two programs can play a valuable role in maintaining a network of air
service in areas that have historically been underserved.
Question 3. How will you work to improve relationships,
communications and understanding between your Department and the
Department of Homeland Security to ensure the DHS is well informed
about the operational impacts to their security regulations?
Answer. I understand that DOT and DHS have developed a productive
working relationship and coordinate often on matters that are relevant
to or affect both Departments. For example, DOT coordinates frequently
with DHS via quarterly staff-level meetings, and the Secretaries of
Transportation and Homeland Security are in agreement on continuing the
routine of quarterly meetings established by their predecessors. Any
issues concerning security regulations are addressed at the appropriate
coordination level, whether that is the working group level or
Secretarial level. I commit to emphasizing the continued need for
nurturing these close working relationships.
Question 4. How will you work to ensure efficient coordination
between the Maritime Administration and Department of Homeland
Security's Customs and Border Protection to ensure strong enforcement
of the Jones Act?
Answer. I am told that the Department of Transportation's Maritime
Administration is in regular, close contact with the Department of
Homeland Security's United States Customs and Border Protection (CBP)
element to assure vigorous enforcement. If confirmed, I will work to
ensure that the relationship remains strong.
Question 5. Last fall, a 5-year Amtrak reauthorization was signed
into law, which set an aggressive plan for improving Amtrak's network
and operations. President Obama and Secretary LaHood have indicated
that they are very supportive of development of high speed rail in the
United States, as indicated by their $1 billion per year budget request
for high-speed rail development. Can we expect that the Secretary will
also be supportive of fully funding Amtrak at the authorized levels?
Answer. Secretary LaHood has expressed his support for a vital
Amtrak and I am convinced would press for the level of funding that
permits the Corporation to fulfill the robust role Congress envisioned
for it in last October's enactment.
______
Response to Written Questions Submitted by Hon. John D. Rockefeller IV
to Robert S. Rivkin
Question 1. What steps would you take to bolster the DOT's efforts
to enforce passenger rights under existing statutes in order to address
the consumer protection concerns that have arisen over the past several
years?
Answer. The protection of airline consumers is the responsibility
of the Office of the General Counsel and would be one of my priorities.
Accordingly, I would ensure that the Department completes in a timely
fashion its pending consumer protection rulemaking that proposes to
enhance passenger protections in the following ways: by requiring
carriers to adopt contingency plans for lengthy tarmac delays; by
requiring air carriers to respond to consumer problems; by deeming the
continued operation of a flight that is chronically delayed to be an
unfair and deceptive practice; by requiring carriers to publish
information on flight delays on their websites; and by requiring
carriers to adopt customer service plans, and to audit their own
compliance with their plans. I would also ensure that the Department
takes into account the views of Congress and stakeholders on the
appropriate definitions of tarmac delays and chronically delayed
flights. It is important to recognize that we cannot rely solely on
existing regulations, or in the sometimes lengthy process of enacting
new regulations, to protect consumers in an industry as dynamic as the
airline industry. If confirmed, I would work to ensure that the
Department is vigilant in reviewing carriers' evolving practices to
prevent unfair and deceptive practices or unfair methods of
competition. I advocate strong enforcement action, as well, to provide
air travelers the level of protection they deserve.
Question 2. Under the Bush Administration's leadership, the NHTSA
has included language in rules stating that Federal safety regulations
preempted state common law. Many of us on the Committee felt that it
was highly improper for the Administration to include preemption in
safety rules that are addressed once every two decades. When the
Administration included language that removed private rights of action,
it also eliminated incentives to push industry to innovate and improve
safety standards outside of the requirements of the rules. Do you agree
that safety rules should be floors, not ceilings?
Answer. I am aware that various NHTSA rules promulgated during the
previous Administration contained language, in the preamble of the
relevant rule, announcing that the rule was intended to preempt State
regulatory authority and State common law remedies. Some NHTSA
regulations can have a preemptive effect on a State's ability to
provide for its own standards or remedies, and guidance as to the
preemptive effect of DOT regulations in those limited areas can be
helpful in explaining the reach of a Federal regulation. However, it is
my belief that, as a general matter, NHTSA's safety rules should be
viewed, consistent with NHTSA's statutory authority, as minimum
standards. It is my understanding that the Administration is currently
reviewing the prior Administration's expansive approach to the
preemption of State regulations and common law remedies by Federal
regulations.
Question 3. In light of the Supreme Court's decision in
Massachusetts. v EPA that gave the Environmental Protection Agency the
authority to regulate greenhouse gas emissions, how do you view the
NHTSA's legal authority to regulate fuel economy?
Answer. Under the Energy Policy and Conservation Act of 1975 and
the Energy Independence and Security Act of 2007, NHTSA retains
independent statutory authority to set fuel economy standards for
passenger cars and light trucks, with the requirement to achieve a
minimum fleet-wide average of 35 miles per gallon by model year 2020.
The Supreme Court decision recognized the Environmental Protection
Agency's authority to regulate greenhouse gas emissions, but did not
alter NHTSA's legal authority to regulate fuel economy. Because of the
relationship between fuel use and greenhouse gas emissions, NHTSA is
working closely with the Environmental Protection Agency in this area.
Question 4. Do you plan to advocate for the Department's continued
leadership in regulating national fuel economy programs?
Answer. The Department plays an important role in regulating both
the fuel economy and the safety of motor vehicles. These issues are
intertwined and both require careful consideration. This is a
challenging and evolving area, and we look forward to working with our
colleagues across Government and in the Congress.
Question 5. As the Department of Transportation's General Counsel
how do you intend to ensure that all modes and offices within the
Department are compliant with our cargo preference laws?
Answer. If confirmed as General Counsel, I would work with the
Maritime Administration (MARAD) as it uses new enforcement authority
enacted in 2008 (P.L. 110-417) to ensure compliance by the Department
of Transportation and all other government agencies or their
subcontractors with cargo preference regulations. Under the new
authority, MARAD may levy a fine of $25,000 per day per violation for
persons who violate the laws, as well as direct agencies who violate
the laws to ship make-up cargoes. Specifically, I would work to ensure
that 100 percent of military and Export-Import Bank cargoes, 75 percent
of agricultural food aid cargoes, and 50 percent of all other impelled
cargoes are shipped on U.S.-flag merchant fleet vessels crewed by
American citizens.
______
Response to Written Question Submitted by Hon. Frank R. Lautenberg to
Robert S. Rivkin
Question. Air traffic controllers have been without a collective-
bargaining contract since 2005. How do you recommend DOT move forward
with air traffic controllers and other FAA unions to negotiate a
collective bargaining agreement on pay and working conditions? If
confirmed, will you make this a priority?
Answer. I can assure you that resolving the contract issues with
the air traffic controllers is a top priority for this Administration.
The President and the Secretary have made that very clear. If
confirmed, I will work closely with the Secretary and the FAA to
resolve disputes with the National Air Traffic Controllers Association
(NATCA), which represents the controllers, and with other FAA unions so
that going forward we are in the best possible position to meet the
important challenges facing the FAA.
______
Response to Written Questions Submitted by Hon. John D. Rockefeller IV
to Roy W. Kienitz
Question 1. What is the current status of the second stage of the
E.U.-U.S. Open Skies negotiations? What are the primary goals of the
Administration for the second-stage negotiations?
Answer. Negotiating teams from the United States and the European
Union are continuing to explore issues of priority interest to both
sides, and a third round of negotiations on a second-stage U.S.-E.U.
aviation agreement has been scheduled during the week of June 22 in
Brussels. The Administration is still in the process of developing its
position for these negotiations and will be coordinating with aviation
stakeholders as part of this process.
Question 2. U.S. ports are the key modal connector for more than 95
percent of all overseas trade and currently have no national level
strategy for development or funding. What do you plan to do to
adequately prepare the Nation's ports, marine transportation system,
and intermodal connectors to meet their current needs, to reduce
congestion, decrease emissions, and to support the doubling of freight
traffic in the coming decade?
Answer. There are likely to be shifts in the kinds of
transportation demands that we will face. It is no secret that the
economy is becoming increasingly dependent upon global sources of
supplies, but exports have grown as well. Since 1970, exports as a
percentage of GDP have almost doubled, and imports have tripled.
Moreover, the U.S. manufacturing base is increasingly shifting to high-
value, high-tech products like pharmaceuticals and instruments, in
which we retain a comparative advantage. These high-value products
require an expedited transportation system that relies increasingly on
overnight truck and air freight delivery. Our increasing reliance on
imports of lower-value manufactured goods (and parts for domestic
manufacturers) places a growing reliance on key ports of entry, such as
the San Pedro Bay ports of Los Angeles and Long Beach, and the Puget
Sound ports of Seattle and Tacoma. Landside connections to these ports,
linked to an efficient domestic intermodal rail and truck freight
transportation system, will be important to keeping the delivery costs
of these commodities low. Overall, the shift in GDP from goods
production to services production will cause freight vehicle-miles
traveled (VMT) to grow more slowly than GDP, but the growth will still
be large.
Question 3. In the past, the Department of Transportation's stove-
piped nature has made it difficult for the modal administrations to
coordinate on cross-cutting policy issues. What will you do to improve
coordination between the modes on cross-cutting policy issues? What is
your plan for coordinating the Secretary's Office of Policy's efforts
with the modal administrations' policy offices on going work?
Answer. I recognize that the role of Under Secretary for Policy is
inherently tasked with improving the communication and efficiency among
the modes in the interests of multi-modal policy solutions. In that
regard, I have been struck with the success the Secretary has
engendered in the so-called ``TIGER Team'' effort to rapidly implement
the terms of the American Recovery and Reinvestment Act of 2009. The
combination of new IT technology and cross-modal teams has had
remarkable success in making available in a mere 9 weeks $37 billion of
the overall $48.1 billion appropriated to the Department. I would like
to make that a model going forward for multi-modal initiatives.
Question 4. Do you support the Jones Act and how will you work to
ensure strong enforcement of it?
Answer. If confirmed, I would work with the Maritime Administration
(MARAD) as it uses new enforcement authority enacted in 2008 (PL110-
417) to ensure compliance by the Department of Transportation and all
other government agencies or their subcontractors with cargo preference
regulations. Under the new authority, MARAD may levy a fine of $25,000
per day per violation for persons who violate the laws, as well as
direct agencies who violate the laws to ship make-up cargoes.
Specifically, I would work to ensure that 100 percent of military and
Export-Import Bank cargoes, 75 percent of agricultural food aid
cargoes, and 50 percent of all other impelled cargoes are shipped on
U.S.-flag merchant fleet vessels crewed by American citizens.
______
Response to Written Questions Submitted by Hon. Byron L. Dorgan to
Roy W. Kienitz
Question 1. What key steps does the FAA need to take to speed up
Air Traffic Control modernization?
Answer. Modernizing the Air Traffic Control system--or moving to
NextGen as quickly as possible--is a top priority for the President and
the Secretary. If confirmed, I will work with the Secretary to ensure
the FAA has the highest level of support in implementing NextGen
capabilities. To accelerate NextGen, the FAA must work to maximize the
use of capabilities already resident in today's aircraft and throughout
the infrastructure. FAA must also work collaboratively with industry to
encourage equipage to support new aircraft capabilities.
Question 2. What specific programs should the FAA pursue over the
next 3-5 years to achieve modernization benefits in the near-term?
Answer. The FAA should focus on programs that immediately improve
safety, increase efficiency, and reduce emissions and noise--this means
accelerating movement toward performance based navigation and
surveillance, and I believe that those efforts should be the FAA's
focus over the next 3-5 years. If confirmed, I look forward to working
with the Secretary and the FAA to support NextGen implementation.
Question 3. What specific steps can Congress take to help the FAA
accelerate the date of a complete transition to NextGen?
Answer. If confirmed, I will work closely with the Secretary and
the FAA to quickly identify the challenges or obstacles to full
implementation of NextGen. I believe that working closely with
Congress, we can identify areas where Congress can help to facilitate
acceleration. I understand that the FAA has been operating under a
series of short-term authorizations since October 2007. An immediate
step that Congress could take to support NextGen is to pass a multi-
year FAA authorization bill, which is needed to clarify the funding for
NextGen and provide stability over the next few years.
Question 4. What will you do to improve communication and
efficiency across the modal administrations in order to create multi-
modal policy solutions?
Answer. I recognize that the role of Under Secretary for Policy is
inherently tasked with improving the communication and efficiency among
the modes in the interests of multi-modal policy solutions. In that
regard, I have been struck with the success the Secretary has
engendered in the so-called ``TIGER Team'' effort to rapidly implement
the terms of the American Recovery and Reinvestment Act of 2009. The
combination of new IT technology and cross-modal teams has had
remarkable success in making available in a mere 9 weeks $37 billion of
the overall $48.1 billion appropriated to the Department. I would like
to make that a model going forward for multi-modal initiatives.
______
Response to Written Questions Submitted by Hon. Tom Udall to
Roy W. Kienitz
Question 1. The Essential Air Service program currently ensures
that there is commercial air service for five small communities in my
state. While I agree that the program could probably be more efficient,
could you tell me more about what changes DOT proposes for Essential
Air Service? What steps would you take to provide a better foundation
for the Essential Air Service program and otherwise ensure that small
communities depending on it continue to benefit from airline
transportation?
Answer. The Essential Air Service program provides a vital link to
the national air transportation system for many communities across the
country. Nonetheless, communities' eligibility for inclusion in the EAS
program has never been based on individual needs, but, rather, only on
whether the community was receiving scheduled air service at the time
of airline deregulation in 1978. The EAS program has remained
fundamentally unchanged since its inception while the aviation
landscape has changed dramatically with the spread of the hub-and-spoke
system, regional jets, and low-fare carriers. In order to ensure that
the program remains responsive to the needs of rural America, we intend
to review the challenges facing EAS and we look forward to working with
Congress in an effort to develop a more efficient and sustainable
program.
Question 2. In 2006, a man who was drinking before and during his
flight to Albuquerque later killed a family of six while driving the
wrong way down the highway. Although current Federal regulations
prohibit an intoxicated person from boarding a flight, or from being
served more alcohol, it is not mandatory for airlines to provide
training to ensure that these important safety regulations are obeyed.
I have introduced legislation (S. 743)--supported by unions
representing flight attendants and Federal air marshals, as well as
Mothers Against Drunk Driving--that would require that airlines provide
flight attendants and gate attendants training for identifying
intoxicated passengers, serving alcohol, and managing drunk or
belligerent passengers onboard. Do you agree that flight attendants and
gate attendants should receive such training to help ensure passenger
safety in the air and protect public safety on the ground?
Answer. While I am not familiar with the particulars of this safety
issue, it is only reasonable that flight attendants and gate attendants
should receive training in matters that affect the safety of the public
in the air and on the ground.
Question 3. The State of New Mexico is aggressively addressing the
problem of drunk driving through a combination of enforcement and
education efforts. Yet in 2007 alone, there were still 133 fatalities
involving alcohol impaired drivers in my state. Although the last
highway bill provided grant programs to help states tackle the problem
of drunk driving, it is a still a problem of great concern. What would
you do as Under Secretary for Transportation Policy to further efforts
to reduce drunk driving?
Answer. I commend the State of New Mexico for its steady progress
over recent years in reducing drunk driving. I am aware of Governor
Richardson's announcement in February that the number of DWI-related
deaths in your State has decreased 35 percent since 2002. Yet I fully
agree that 133 drunk driving deaths is far too many and we need to
continue looking for every possible remedy for this problem, in New
Mexico and across the Nation.
If confirmed as Under Secretary for Transportation Policy, I will
work with the Secretary and Congress to maintain the Department's
traditional leadership role in providing research, strategies, guidance
and resources that States need to address the drunk driving problem. I
will work with NHTSA and the Department to develop evidence-based
programs that can address recidivist drunk driving behavior as well as
first time offenders. I also believe the Department must continue its
partnership with States and communities as laboratories of change and
innovation to insure that we can evolve our countermeasure strategies
to meet changes in the highway safety environment.
______
Response to Written Questions Submitted by Hon. John Thune to
Roy W. Kienitz
Question 1. Mr. Kienitz, I would be interested to know your views
concerning the current shortfall in the Highway Trust Fund and how you
envision the Obama Administration will address the significant funding
needs that exist across the country when it comes to highway and bridge
infrastructure which is critical to our Nation's economy?
As a follow up to that question, I would be interested in knowing
your thoughts when it comes to innovative funding proposals, such as
the Build America Bonds Act that Senator Wyden and I have advocated,
which would supplement the funding that States currently receive via
the Highway Trust Fund, by providing $50 billion in infrastructure
funding to address critical needs when it comes to highway, bridge,
transit, rail and waterway infrastructure?
Answer. There is no doubt that the condition of the Nation's roads
and bridges is not what it should be. The funding sources that have
supported investment, mainly the gasoline tax, are less able every year
to carry the load. If conditions are to improve a change is needed.
Options for how to handle this challenge are being reviewed within the
administration, and recommendations may be forthcoming soon.
In my personal capacity I have worked extensively on innovative
financing plans over the last several years, including the Better
America Bonds proposal. President Obama has proposed an infrastructure
bank as part of his FY2010 budget and hopefully this proposal could be
part of a broad and inclusive conversation of how to finance
infrastructure.
Question 2. Mr. Kienitz, while there was widespread support among
Democrats and Republicans for infrastructure investment in the economic
recovery bill, some outside interests attempted to inject a ``no new
capacity'' policy with respect to the stimulus bill's highway funds.
That perspective was widely rejected by Congress, but it appears we
will be dealing with this again in the surface transportation
reauthorization debate. Since roughly 85 percent of Federal highway
funds are spent on maintenance activities, this seems to be a solution
in search of a problem. Can you explain why on one hand some want
increased flexibility for state and local government transportation
decisions and on the other hand want that flexibility constrained to
only certain activities?
Answer. The Obama Administration has not yet made specific
proposals for the 2009 surface transportation reauthorization bill so I
cannot comment on administration policy. For my own part, none of the
transportation authorizations I have worked on--at the Federal and
state levels going back more than 20 years--have included or even
seriously contemplated such a limitation.
Secretary LaHood has spoken publicly about his desire to modernize
Federal transportation investments, in part by choosing investments
based on which projects best serve important national goals. In such a
system, new capacity projects would compete for funding with other
types of projects as they do now based on their ability to achieve
agreed to goals.
Finally, given the current funding constraints affecting the
Highway Trust Fund it will be increasingly hard to fund major
transportation investments of all kinds, and so addressing this issue
creatively can pay dividends in many areas.
Question 3. Mr. Kienitz, it has been estimated transportation
contributes somewhere in the neighborhood of 30 percent of the Nation's
total greenhouse gas emissions. One of the leading causes of these
emissions is not necessarily transportation itself, but traffic
congestion. Vehicles caught in stop-and-go traffic emit far more of
these pollutants than they do operating without frequent braking and
acceleration. To date, climate change initiatives have focused on
getting people out of their cars as the primary way to reduce traffic
congestion. Should efforts to reduce greenhouse gas emissions focus
both on transportation alternatives and direct initiatives to relieve
traffic congestion?
Answer. President Obama has said on many occasions that combating
climate change will be a principal policy focus of his administration,
and this will no doubt have consequences for the transportation sector.
This will certainly begin with efforts to make motor vehicles more fuel
efficient. When it comes to capital projects, investment decisions
intended to reduce CO2 emissions should be chosen based on
the best available science as to what will be effective over the time-
frame identified for reducing the country's CO2 emissions.
______
Response to Written Questions Submitted by Hon. David Vitter to
Roy W. Kienitz
Question 1. As Gov. Rendell's chief advisor for Transportation, you
advocated leasing a Federal highway to a foreign entity and allowing
that foreign entity to charge tolls. You also advocated adding tolls to
another U.S. Highway, I-80. The Pennsylvania legislature did not
approve the lease, and the U.S. Department of Transportation rejected
this scheme. In your new position would you be inclined to support
approval of these arrangements that you have previously advocated? Do
you believe Americans should be required to pay a toll to a foreign
business to drive on a Federal highway? Do you see any problem with
entrusting our transportation infrastructure to foreign-based
companies?
Answer. The policies advocated by Governor Rendell regarding tolls
and toll roads in Pennsylvania were chosen by the Governor personally,
not by me. He is a very hands-on manager.
The plan to add tolls to I-80 eventually turned down by USDOT did
not originate with the Governor. However, the plan approved by the
legislature included new tolls on I-80, and he chose to sign that
legislation because the billions in road, bridge and transit funding it
would provide was sorely needed. On the day he announced his intention
to sign the bill he expressed that it was not his preferred course of
action. The Governor was not an advocate of this plan in the
legislative process and as a result neither was I.
If confirmed, I will follow the direction of the Secretary and
Congress on tolling policy. Current law allows new tolls on the
Interstate system in very limited circumstances, and if confirmed I
will enforce the law as written.
The proposal to lease the Pennsylvania Turnpike was strongly
supported by Governor Rendell. As his agent, my role was to help carry
out his vision. The eventual winning bidder was a consortium that
included both CitiBank and the Spanish company Abertis. Indeed, each of
the bidding teams included both U.S. and foreign companies. The
Pennsylvania DOT and the Office of General Counsel analyzed whether
foreign companies could be held fully accountable to the terms of a
lease contract, and once it was determined they could the Governor
chose to allow bidding to be open to U.S. and foreign companies. As
long as he could be assured that all rules on toll rates and road
maintenance would be followed regardless of which bidder was
successful, he was comfortable selecting the high bidder.
On this point, if confirmed it will be my duty to follow the laws
of the United States, which as of now do not differentiate between
bidders based on their country of origin. Congress will have the
opportunity to debate this issue in the reauthorization process, and if
the law should change I will faithfully implement any new requirements
if confirmed.
Question 2. From the policies you advocated throughout your career
in public policy and public service, which generally fall under what
some call ``Smart Growth,'' you seem to think that Americans need to
drive less, in favor of other means of transportation. In your new
position would you show greater favor to alternate means of
transportation, when driving is still the means of transportation
favored by most Americans?
In a paper on road congestion put out by the Surface Transportation
Policy Project under your direction, the claim is made that road
construction does not solve traffic congestion problems.\1\ As Under
Secretary for Policy, would you be inclined to recommend that funds be
shifted away from road repair and expansion, and if so, to what would
you shift those funds?
---------------------------------------------------------------------------
\1\ http://www.transact.org/report.asp?id=64 (Accessed April 20,
2009).
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Answer. If I am confirmed my primary role will be to follow the
policy direction provided by the President, Secretary LaHood and
Congress. At this point the Administration has not made policy
proposals for the reauthorization of surface transportation programs so
I cannot speak directly to those issues.
For my own part, I believe investment in roads and bridges is vital
to the country's future and will continue to support high levels of
investment just as I did working for Governor Rendell. The condition of
major roads and bridges steadily improved during the years I was in
Pennsylvania because a sustained effort was made to invest at very high
levels where needs were the greatest.
Driving is America's dominant form of transportation and will
remain so for the foreseeable future. Secretary LaHood has said on many
occasions that he supports highway investment. He also supports more
attention to other types of investment, from high speed rail to transit
to walking and biking.
______
Response to Written Questions Submitted by Hon. John D. Rockefeller IV
to Cameron F. Kerry
Question 1. As General Counsel, your primary job is to provide
legal counsel to the Secretary of Commerce and senior Department
leadership. As an active member of U.S. trade policy negotiations, how
do you foresee your role in counseling Secretary Locke and the Agency
in this role?
Answer. The Commerce Department is part of President Obama's
interagency team that is reviewing strategic and programmatic choices
for trade policy. As General Counsel, I would work with Secretary
Locke, Commerce's Under Secretary for International Trade, Ambassador
Kirk, and our other interagency colleagues to support their review with
the best possible legal advice and ensure that we are using all
available tools to address the economic crisis, including achieving
access to new markets for American businesses large and small.
Question 2. What is your perspective on the effectiveness of
Commerce's monitoring and enforcement of current trade agreements?
Answer. President Obama is determined to aggressively defend our
rights and benefits under the rules-based trading system. The ongoing
review of trade policy will include a careful review of existing trade
agreements with this policy goal in mind.
Question 3. What would you do differently regarding these
agreements and how they are monitored and enforced?
Answer. I have not yet had the opportunity to review how Commerce
is monitoring and enforcing trade agreements, but Secretary Locke and I
are committed to enforcement of these agreements. As Secretary Locke
testified, ``it is pointless to negotiate complex trade agreements if
we don't intend to enforce them.'' I intend to support him and the
Department's tradeofficers in this important work and to advise them of
enforcement opportunities in existing trade agreements.
______
Response to Written Questions Submitted by Hon. John D. Rockefeller IV
to Sherburne B. Abbott
Question 1. As the Associate Director for Environment for the
Office of Science and Technology Policy, what role do you see yourself
playing regarding the research, development, and adoption of Carbon
Capture and Sequestration technologies?
Answer. OSTP plays a vital role in helping to facilitate and
coordinate across the Executive Branch departments and agencies
involved in shaping and implementing Federal research and development
activities on climate technologies, including carbon capture and
sequestration (CCS) technologies. There are a number of science-related
challenges that must be overcome to enable wide-scale deployment of
CCS, including development of more cost-effective carbon capture
systems; monitoring, verification, and accounting systems for permanent
CO2 storage sites; a legal framework for CO2
storage permitting and liability; public support; and a CO2
pipeline infrastructure. OSTP has a vital role to facilitate
interagency coordination on scientific aspects of these issues through
the Climate Change Technology Program, which was created under the
Global Change Research Act, and the National Science and Technology
Council (NSTC), which is co-chaired by the Director of OSTP. For
example, the NSTC Subcommittee on Water Availability and Quality, under
OSTP's guidance, is investigating the impacts that geologic
sequestration might have on drinking water and aquatic ecosystems now
and into the future.
Question 2. The Joint Ocean Commission Initiative recently released
a report that outlines twenty priority actions needed for improving
ocean and coastal policy and management, strengthening ocean science,
and funding ocean and coastal policies and programs. In the area of
ocean science, the Commission recommended the Federal Government: (1)
more closely align ocean and coastal science priorities with the needs
of policymakers and managers; (2) integrate ocean and coastal science
into the broader climate initiative; (3) improve the availability of
ocean-related information, products, and services critical to the
operations of key sectors of the U.S. economy; (4) develop a
comprehensive strategy to guide marine-related, ecosystem-focused
research, assessment, and management under the guidance of the Office
of Science and Technology Policy; and (5) initiate an effort among
governmental, academic, and private stakeholders engaged in ocean
science to prioritize competing demands within the ocean and coastal
science community.
How do you see the Office of Science and Technology Policy
coordinating with the National Oceanic and Atmospheric Administration
to strengthen ocean science programs within the Federal Government,
prioritize ocean and coastal research efforts, and make sure the ocean
and coastal science programs meet the needs of managers at the local,
state, and regional levels?
Answer. Oceans are crucial to our well-being because they play a
central role in global weather and climate, are a major source of
protein for much of the world's population, provide employment in
fisheries and recreation, serve as home to much of the planet's
biodiversity, and more. Given this, OSTP will be very active in
promulgating policies that propel the United States into a leadership
position in marine stewardship. Included among the Obama Administration
ocean priorities are to reauthorize the Coastal Zone Management Act in
ways that strengthen the collaboration between Federal agencies and
state and local organizations, and strengthen and reauthorize the
National Marine Sanctuaries and the Oceans and Human Health Acts.
If confirmed, I will work with NOAA and other relevant agencies, as
well as with the Congress, to complete and implement the strong,
integrated, well-managed program of ocean research and stewardship that
is essential to sustain a healthy and productive marine environment and
the local, state and regional communities that depend upon it.
As a general overview, the OSTP works with NOAA (and other Federal
agencies and Executive Office of the President entities) through both
the NSTC Joint Subcommittee on Ocean Science and Technology (JSOST) and
the U.S. Group on Earth Observations (US GEO) to address a number of
science and technology research issues pertaining to oceans. Reporting
to the JSOST are a number of functional working groups that exist to
develop the research and operational priorities for national missions.
For example, the Interagency Working group on Ocean Observing monitors
the progress of the U.S. Integrated Ocean Observing System (IOOS) and
the Oceans Observatory Initiative (OOI) which spans the domain from
global to the coastal and Great Lakes and functionally from research to
operations within the ocean observing, monitoring and management of
information. Additional working groups focus on specific functions,
such as oceans and human health. The members for these structures also
participate in the U.S. GEO to ensure that the ocean and coastal
information is then included in the larger framework of observations
from land and atmosphere.
The Ocean Research Priorities Plan and Implementation Strategy
developed by the NSTC's Joint Subcommittee on Ocean Science and
Technology in the last administration appears to provide a useful
framework for analyzing research needs and moving ahead with meeting
them. A process to refine and update it is underway and I will study it
closely and seek input from the relevant Executive Branch agencies and
committees of Congress before reaching any conclusions about what
revisions in it might be warranted.
Response to Written Questions Submitted by Hon. Tom Udall to
Sherburne B. Abbott
Question 1. New Mexico is home to Los Alamos and Sandia National
Laboratories. Our National Labs are crown jewels of our Federal science
assets, and they play an essential role for national security. Their
original mission of safeguarding the Nation's nuclear weapons assets is
well known, but these labs are also at the forefront of energy and
environmental science which also has very real and direct links to our
national security. I would appreciate learning your thoughts on your
role in working with our National Labs. How would OSTP support and
leverage these scientific and national security assets in the fields of
energy and the environment?
Answer. OSTP recognizes that Sandia, Los Alamos, and other national
laboratories are leaders in the critical research that our Nation needs
in the areas of energy and the environment. OSTP also recognizes that
many sensors, analysis, and modeling capabilities developed for nuclear
weapons and other national security requirements have energy and
environmental applications.
Sandia and Los Alamos are leaders in the areas of measurements and
sensors, data-gathering and analysis; natural system modeling; climate
modeling and analysis with applications to regional prediction and sea-
level rise; social, economic and political modeling with applications
to economic impact of greenhouse gas policies, and dynamics of forced
migration; energy and infrastructure with applications to energy demand
and growth, and technology insertion. OSTP, through its leadership of
the interagency process, will ensure that these valuable assets are
fully utilized.
Question 2. Ms. Abbott, One of the key missions for the Office of
Science and Technology Policy, as set out by Congress in its
authorizing legislation, is to ``work with the private sector to ensure
Federal investments in science and technology contribute to economic
prosperity, environmental quality, and national security.''
A major component of President's Obama's recovery strategy is to
promote the development of ``green jobs.'' It appears that there's a
clear role that the Federal Government can play to create jobs to get
technology out of the laboratories and into the marketplace. How will
your office promote the commercialization of technologies that will
improve our energy independence and reduce the harmful effects of
global warming?
Answer. Active U.S. Government leadership and coordination is
necessary to help transition the Nation toward a clean energy economy
that promotes our security through increasing independence from foreign
oil and reduces our emissions of greenhouse gases. This transition also
requires robust Federal support for energy R&D and a framework of
energy policy that enables commercially attractive solutions. Federal
investments in energy R&D are essential to ensure that the United
States is on the cutting edge of clean-energy technologies, giving
birth to new industries and opportunities that will create jobs. OSTP
will work closely with the Federal agencies, OMB, and the Congress. to
identify effective R&D investments and ensure that these investments
produce results.
In his FY 2010 budget, the President has proposed a significant
increase in R&D funding for clean energy technologies, including an
investment of $150 billion over 10 years using a portion of the auction
revenues from a greenhouse gas cap-and-trade system. A significant
fraction of these funds should support transformational research that
could dramatically reduce cost and increase performance of energy
technologies, such as solar cells, biofuels, batteries, and buildings.
In addition, the Recovery and Reinvestment Act provides $6 billion for
loan guarantees, more than $13 billion in tax credits and grants
leveraging an estimated $100 billion in private sector investment in
clean energy and job creation, $2 billion for advanced battery
manufacturing, and $4.5 billion for modernizing the electric grid.
Transitioning to the clean economy requires the work of many Federal
agencies in collaboration with the private sector, National
laboratories, universities, and international partners. OSTP organizes
interagency cooperation, with outreach to academia and industry,
through the National Science and Technology Council (NSTC). Dr. Holdren
has expressed his intention to revitalize the NSTC, including a greater
focus on developing and commercializing technologies to address our
dependence on oil and to reduce greenhouse gas emissions.
Another priority for OSTP is to educate the next generation of
scientists and engineers. Increased investment in science, technology,
engineering and mathematics (STEM) education at all levels is critical
for building the workforce that will lead the way to a green energy
economy.
______
Response to Written Questions Submitted by Hon. Mark Begich to
Sherburne B. Abbott
Question 1. Are you aware of the work being done to create
sustainable northern communities at the Cold Climate Housing Research
Center (CCHRC)? How can the research at the CCHRC be applied to address
the energy and sustainability challenges facing our country?
Answer. The applied research of the CCHRC in developing, advancing
and promoting the efficient, safe, durable, and sustainable shelter for
circumpolar people is an excellent example of how technology and the
natural and social sciences need to come together to respond to
societal needs for clean energy and concerns about sustainable
development. The CCHRC and its partnership with the Arctic University
of the University of Alaska, provides a model for promoting the
integration of community needs and stakeholders with the research and
development on sustainability issues.
Question 2. In what capacity will cold climate research and arctic
policy play a role in the Office of Science and Technology Policy? What
deficiencies exist in the current field of knowledge on these subjects?
Answer. The Arctic Research and Policy Act of 1984 provides for a
comprehensive national policy dealing with national research needs and
objectives in the Arctic, for a National Critical Materials Council,
for development of a continuing and comprehensive national materials
policy, for programs necessary to carry out that policy, including
Federal programs of advanced materials research and technology, and for
innovation in basic materials industries, and for other purposes. Cold
climate research is an integral part of this R&D effort and OSTP plays
a role in facilitating coordination among the agencies involved in
arctic research.
OSTP is also involved in the interagency coordination of climate
research and efforts to use observations and models to understand and
quantify the rate and magnitude of the contributions of ice on land
(Greenland and Antarctica) to sea-level rise, what controls the rate of
ice loss from Greenland and Antarctica, and other highly uncertain
issues, such as carbon feedbacks at high latitudes and the likelihood
of large releases of carbon from the heating of northern soils.
In her remarks to the recent (April 6) meeting of the Arctic
Council, Secretary of State Clinton noted her strong intent to work
with the Council to continue the international cooperation in research
that was fostered during the recent International Polar Year. She noted
that much remains to be learned about the cold regions. OSTP will
assist in developing a coordinated inter-agency response to addressing
the research needs, including deficiencies in current programs, related
to strong U.S. participation in Arctic research related to the U.S.
interests in the Council.
______
Response to Written Question Submitted by Hon. John Thune to
Sherburne B. Abbott
Question. Ms. Abbott, Do you believe investment in research of
``high Energy Physics'' should play a role in the Administration's
scientific agenda? Do you believe a deep underground science laboratory
would benefit our knowledge of physics, geosciences, engineering and
biology?
Answer. President Obama has expressed his strong belief that the
pursuit of basic scientific research is essential to expand human
knowledge, and demonstrated his commitment to research through his
interest in doubling the Federal R&D effort and through $21 billion in
R&D investments in the Recovery Act. High energy physics research is
key to expanding the frontiers. It describes the fundamental particles
and interactions that govern the natural world. It tries to explain how
the universe was formed, how it evolves, and how it functions at the
most basic level. These are the kinds of questions that inspire the
next generation.
The High Energy Physics community has recently recommended a long-
range strategic plan that includes increased investments in the
``Intensity Frontier.'' A core component of that plan is a neutrino
program with a large and sensitive detector in a deep underground
laboratory. OSTP supports this program, and sees in it great discovery
potential. The Deep Underground Science and Engineering Laboratory
(DUSEL) is currently planned to support this experiment. The DUSEL
facility could also enable a wider range of research areas including
Geoscience, engineering, and microbiology, all of which would benefit
from the unique underground conditions.