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S. HRG. 109–1135 

NOMINATIONS TO THE 

DEPARTMENT OF COMMERCE, 

DEPARTMENT OF HOMELAND SECURITY, 

U.S. MARITIME ADMINISTRATION, 

SURFACE TRANSPORTATION BOARD, 

AND NATIONAL TRANSPORTATION SAFETY BOARD 

HEARING 

BEFORE THE

COMMITTEE ON COMMERCE, 

SCIENCE, AND TRANSPORTATION 

UNITED STATES SENATE 

ONE HUNDRED NINTH CONGRESS 

SECOND SESSION 

JULY 27, 2006 

Printed for the use of the Committee on Commerce, Science, and Transportation 

( 

(II) 

SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION 

ONE HUNDRED NINTH CONGRESS 

SECOND SESSION 

TED STEVENS, Alaska, Chairman 

JOHN MCCAIN, Arizona 

CONRAD BURNS, Montana 

TRENT LOTT, Mississippi 

KAY BAILEY HUTCHISON, Texas 

OLYMPIA J. SNOWE, Maine 

GORDON H. SMITH, Oregon 

JOHN ENSIGN, Nevada 

GEORGE ALLEN, Virginia 

JOHN E. SUNUNU, New Hampshire 

JIM DEMINT, South Carolina 

DAVID VITTER, Louisiana 

DANIEL K. INOUYE, Hawaii, Co-Chairman 

JOHN D. ROCKEFELLER IV, West Virginia 

JOHN F. KERRY, Massachusetts 

BYRON L. DORGAN, North Dakota 

BARBARA BOXER, California 

BILL NELSON, Florida 

MARIA CANTWELL, Washington 

FRANK R. LAUTENBERG, New Jersey 

E. BENJAMIN NELSON, Nebraska 

MARK PRYOR, Arkansas 

LISA J. SUTHERLAND, Republican Staff Director 

CHRISTINE DRAGER KURTH, Republican Deputy Staff Director 

KENNETH R. NAHIGIAN, Republican Chief Counsel 

MARGARET L. CUMMISKY, Democratic Staff Director and Chief Counsel 

SAMUEL E. WHITEHORN, Democratic Deputy Staff Director and General Counsel 

LILA HARPER HELMS, Democratic Policy Director 

(III) 

C O N T E N T S 

Page 

Hearing held on July 27, 2006 ............................................................................... 1 

Statement of Senator Allen ..................................................................................... 9 

Statement of Senator Burns ................................................................................... 46 

Statement of Senator DeMint ................................................................................. 3 

Prepared statement .......................................................................................... 4 

Statement of Senator Dorgan ................................................................................. 3 

Statement of Senator Inouye .................................................................................. 10 

Statement of Senator Lott ...................................................................................... 42 

Statement of Senator Stevens ................................................................................ 1 

WITNESSES

Cohen, Admiral Jay M., nominee to be Under Secretary for Science and 

Technology, Department of Homeland Security ................................................ 10 

Prepared statement .......................................................................................... 11 

Biographical information ................................................................................. 12 

Connaughton, Sean T., nominee to be Administrator of the U.S. Maritime 

Administration ..................................................................................................... 20 

Prepared statement .......................................................................................... 21 

Biographical information ................................................................................. 22 

Davis, Hon. Tom, U.S. Representative from Virginia ........................................... 6 

Prepared statement .......................................................................................... 8 

Domenici, Hon. Pete V., U.S. Senator from New Mexico ..................................... 5 

Nottingham, Charles D., nominee to be a Member of the Surface Transportation Board .......................................................................................................... 25 

Prepared statement .......................................................................................... 26 

Biographical information ................................................................................. 27 

Reed, Hon. Jack, U.S. Senator from Rhode Island ............................................... 6 

Sumwalt III, Robert L., nominee to be a Member of the National Transportation Safety Board .............................................................................................. 32 

Prepared statement .......................................................................................... 34 

Biographical information ................................................................................. 34 

Warner, Hon. John, U.S. Senator from Virginia ................................................... 3 

Wienecke, Nathaniel F., nominee to be Assistant Secretary for Legislative 

and Intergovernmental Affairs, Department of Commerce .............................. 15 

Prepared statement .......................................................................................... 16 

Biographical information ................................................................................. 17 

APPENDIX

Wolf, Hon. Frank R., U.S. Representative from Virginia, prepared statement .. 49 

Response to written questions submitted by Hon. Barbara Boxer to Admiral 

Jay M. Cohen ........................................................................................................ 53 

Response to written questions submitted by Hon. Conrad Burns to Charles 

D. Nottingham ...................................................................................................... 56 

Response to written questions submitted by Hon. John McCain to Admiral 

Jay M. Cohen ........................................................................................................ 49 

Response to written questions submitted by Hon. Trent Lott to: 

Admiral Jay M. Cohen ..................................................................................... 50 

Sean T. Connaughton ....................................................................................... 55 

Charles D. Nottingham .................................................................................... 58 

Robert L. Sumwalt III ...................................................................................... 59 

Response to written questions submitted by Hon. John E. Sununu to: 

Admiral Jay M. Cohen ..................................................................................... 51 

Nathaniel F. Wienecke ..................................................................................... 55 

(1) 

NOMINATIONS TO THE 

DEPARTMENT OF COMMERCE, 

DEPARTMENT OF HOMELAND SECURITY, 

U.S. MARITIME ADMINISTRATION, 

SURFACE TRANSPORTATION BOARD, AND 

NATIONAL TRANSPORTATION SAFETY BOARD 

THURSDAY, JULY 27, 2006 

U.S. SENATE, COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION, Washington, DC. 

The Committee met, pursuant to notice, at 11 a.m. in room SR– 

253, Russell Senate Office Building, Hon. Ted Stevens, Chairman 

of the Committee, presiding. 

OPENING STATEMENT OF HON. TED STEVENS, 

U.S. SENATOR FROM ALASKA 

The CHAIRMAN. We’re waiting for the Senators who will make 

some introductions, but before they arrive, I want to say that this 

morning we’re going to hear from five of the President’s nominees. 

Our Committee welcomes each of you and thanks you for your willingness to serve. 

Nathaniel Wienecke has been nominated to be Assistant Secretary for Legislative and Intergovernmental Affairs at the Department of Commerce. He has been very helpful to this committee in 

his current capacity and continues to provide valuable assistance 

with respect to a bill that I am very interested in, the MagnusonStevens Act and other matters. 

Admiral Jay Cohen is the nominee to be Under Secretary for 

Science and Technology for the Department of Homeland Security. 

If confirmed, he will oversee the research and development of the 

next generation of technology used to secure our country. The Committee recently reported a bill to foster American innovation and 

competitiveness, and we look forward to learning about Admiral 

Cohen’s vision today. 

Sean Connaughton has been nominated to be Administrator of 

the Maritime Administration. MARAD seeks to protect the U.S. 

Merchant Marine shipbuilding ports and reserve shipping. Our 

committee approved a Maritime reauthorization bill last week, and 

we look forward to hearing from this nominee about what more 

should be done to enable MARAD to fulfill its mission. 

Charles Nottingham has been nominated to be a Member of the 

Surface Transportation Board, which monitors railways and servVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00005 Fmt 6633 Sfmt 6633 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
2 

ices, as well as trucking, ocean shipping and moving van rate 

issues. As the demand on our railroads and transportation grows, 

the STB will play a heightened role in our Nation’s economy. 

Robert Sumwalt has been nominated to become a Member of the 

National Transportation Safety Board. As many of you know, 

NTSB is vital to my home state given that a large percentage of 

Alaska can be reached only by plane. We have worked closely with 

the NTSB to reduce the number of pilot deaths and air crashes and 

we look forward to hearing from Mr. Sumwalt. 

Senators Domenici and Reed will be here to introduce Jay Cohen. 

Senators Allen and Warner and Congressman Davis are here to introduce Sean Connaughton and Charles Nottingham. And Senator 

DeMint to support Robert Sumwalt. 

Congressman Wolf has submitted a statement supporting Sean 

Connaughton. 

I have been notified that many nominees have their family and 

friends here today, and I hope the nominees will take the time to 

introduce them. We might do that now if they are willing to do that 

while we wait for the Senators. 

Mr. Wienecke, do you have family here today? 

Mr. WIENECKE. I do, Mr. Chairman. My wife, Chantal and 

daughter, Kendell, and my parents, Paul and Jean Wienecke. 

The CHAIRMAN. Thank you very much for coming. We appreciate 

your presence. 

And Admiral Cohen, do you have family here? The Admiral is 

not here yet. 

Sean Connaughton, are you here? 

Mr. CONNAUGHTON. Yes, sir. 

The CHAIRMAN. Do you have family with you? 

Mr. CONNAUGHTON. My wife, Teresa, my daughter, Courtney, 

and unfortunately, my son had to travel back for a soccer game. He 

is on his way to North Carolina right now. 

The CHAIRMAN. Thank you. And Mr. Nottingham, are you here? 

Mr. NOTTINGHAM. Yes, sir. 

The CHAIRMAN. Do you have members of your family here? 

Mr. NOTTINGHAM. Yes, my wife, Catherine, my sons, Charles and 

Garner. 

The CHAIRMAN. Thank you very much. 

And Mr. Sumwalt, are you here? 

Mr. SUMWALT. Yes, Mr. Chairman. My wife, Anne and my 

daughter, Mackenzie. 

The CHAIRMAN. Well, we welcome all of you here. Senator Warner, there is a place right there by your name. 

Senator WARNER. Well, it has gotten fancy in this room and I’m 

not sure how you activate this. 

When I was on this committee we used to use a natural voice, 

but now we have all kinds of things. 

The CHAIRMAN. Well, there is a microphone for you right there 

John, if you would like to sit there. 

Senator WARNER. I like this one. 

The CHAIRMAN. Senator Dorgan, do you want to make a comment? 

3 

STATEMENT OF HON. BYRON L. DORGAN, 

U.S. SENATOR FROM NORTH DAKOTA 

Senator DORGAN. Mr. Chairman, I just want to make a comment 

for a brief moment to welcome Senator Warner of course, all of the 

colleagues who will come. I intend to support all of these nominees 

and thank them to be willing to serve their country. I did not want 

to miss the moment, however, for the nominee to be Chairman of 

the Surface Transportation Board. We have as you know, Mr. 

Chairman, we have for a long, long while have been suffering 

through these issues of rail rates in this country. We desperately 

need an aggressive Surface Transportation Board that will stand 

up for shippers and do the right thing. I am going to support Mr. 

Nottingham. I hope that he and I will engage often and see if we 

can get the Surface Transportation Board stand up for the consumers and the rail shippers of this country. 

But again, I will support all of these nominees, and I think the 

Administration has given us some good folks to consider for these 

important decisions. 

The CHAIRMAN. Senator DeMint, Senator Warner is here first. I 

know you are to support a nominee, but we will proceed with him 

if that is all right with you? 

Senator DEMINT. Yes. 

The CHAIRMAN. Senator Warner, we are pleased to have your 

comments. 

STATEMENT OF HON. JOHN WARNER, 

U.S. SENATOR FROM VIRGINIA 

Senator WARNER. Thank you Mr. Chairman and Senator Inouye 

and colleagues. I am currently chairing the Armed Services Committee, and we have a hearing with General Conway before us to 

be the next Commandant of the Marine Corps. However, I am 

pleased to speak on behalf of Sean Connaughton whom I have 

known. He has had a very distinguished career. I worked with him 

extensively when he was Chairman of the Board of Supervisors. I 

think one of the fastest growing counties in America, not just the 

United States, but America. 

And to Chip Nottingham, I wish him well. I have worked with 

him through the years, and he will do an excellent job as a public 

servant, both of these men. 

So with that, Mr. Chairman, and I ask indulgence to my good 

friends who I’ve come to speak for, actually it is better that I say 

less, and you say more. 

Thank you very much. 

The CHAIRMAN. Mr. Chairman, we welcome you, and we thank 

you very much for your statement. 

Senator WARNER. I thank the presiding officer. 

The CHAIRMAN. Senator DeMint, do you have a person to introduce? 

STATEMENT OF HON. JIM DEMINT, 

U.S. SENATOR FROM SOUTH CAROLINA 

Senator DEMINT. I thank you Mr. Chairman, and Co-Chairman 

Inouye. I would like to commend all of the nominees today. We’re 

proud to be here to make your case. I am especially pleased to inVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00007 Fmt 6633 Sfmt 6633 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
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troduce to the Committee, Mr. Robert Sumwalt of Columbia, South 

Carolina, as a nominee to serve on the National Transportation 

Safety Board. 

I also, I think Mr. Chairman, you have already recognized Robert’s wife, Anne, his daughter, Mackenzie, who are here to support 

his nomination today. 

When you meet Robert the first thing that comes through is his 

passion for transportation safety. His resume ́ is evidence of this. 

Mr. Sumwalt has built a distinguished career in both aviation 

operations and safety program development. For 24 years, he 

served as a pilot for major U.S. international carrier where he 

logged 14,000 flight hours and type rating in five aircraft. In addition, he has extensive experience as an airline captain, an airline 

check airman, an instructor pilot, and an air safety representative. 

Mr. Sumwalt’s contributions to aviation safety through academic 

instruction and safety program development are too numerous to 

be named at this time, so I encourage each of you to take a thorough look at his list of accomplishments. However, I would like to 

point out that two of Mr. Sumwalt’s aviation safety improvements 

have been recognized by prestigious industry awards: the Flight 

Safety Foundation Laura Taber Barbour Air Safety Award in 2003, 

and the Air Line Pilots Association Air Safety Award in 2004. 

In addition, Mr. Sumwalt has co-authored a book profiling recent 

aircraft accidents, and this is a rather large book that I have to 

confess that I haven’t read all the way through myself, but clearly 

this gentleman has spent a lot of time studying how we can improve safety in airlines. 

Currently, Mr. Sumwalt serves as Manager of Aviation for 

SCANA Corporation, a Fortune 500 energy-based company. He 

oversees operations, maintenance and safety of company aircraft, 

the department’s personnel, and management of the department’s 

fiscal matters. 

The Safety Board’s responsibility for accident investigations and 

safety recommendations is crucial to the safety and advancement 

of our Nation’s transportation systems. It is extremely important 

that each Board Member have real-world knowledge of transportation safety. Mr. Sumwalt not only has the required expertise, he 

also has an uncommon commitment to public safety. I am confident, that if confirmed, Mr. Sumwalt would be a valuable addition 

to the Board. 

I urge this committee to carefully consider Mr. Sumwalt’s background and favorably report his nomination. 

I thank you for allowing me the opportunity to introduce this talented and distinguished nominee. 

Mr. Chairman, I yield back. 

[The prepared statement of Senator DeMint follows:] 

PREPARED STATEMENT OF HON. JIM DEMINT, U.S. SENATOR FROM SOUTH CAROLINA

Thank you Chairman Stevens, Co-Chairman Inouye, I would like to commend all 

of the nominees here today on their nominations. But I am especially pleased to introduce to the Committee Mr. Robert Sumwalt of Columbia, South Carolina, as a 

nominee to serve on the National Transportation Safety Board (NTSB). 

I would also like to recognize Robert’s wife. Anne, and his daughter, Mackenzie, 

who are here to support his nomination today. 

5 

When you meet Robert, the first thing that comes through is his passion for transportation safety. His resume ́ is evidence of this. 

Mr. Sumwalt has built a distinguished career in both aviation operations and 

safety program developments. For 24 years, he served as a pilot for a major U.S.- 

based international carrier where he logged 14,000 flight hours and type rating in 

five aircraft. In addition, he has extensive experience as an airline captain, an airline check airman, an instructor pilot, and an air safety representative. 

Mr. Sumwalt’s contributions to aviation safety through academic instruction and 

safety program development are too numerous to be named at this time, so I encourage each of you to take a thorough look at his list of accomplishments. However, 

I would like to point out that two of Mr. Sumwalt’s aviation safety improvements 

have been recognized by prestigious industry awards: the Flight Safety Foundation 

Laura Taber Barbour Air Safety Award in 2003, and the Air Line Pilots Association 

Air Safety Award in 2004. 

In addition, Mr. Sumwalt has co-authored a book profiling recent aircraft accidents entitled, Aircraft Accident Analysis: Final Reports and has authored the aircraft accident and incident investigation section in The Standard Handbook for 

Aeronautical and Astronautical Engineers. 

Currently, Mr. Sumwalt serves as Manager of Aviation for SCANA Corporation, 

a Fortune 500 energy-based company. He oversees operations, maintenance and 

safety of company aircraft, the department’s personnel, and management of the department’s fiscal matters. 

The NTSB’s responsibility for accident investigations and safety recommendations 

is crucial to the safety and advancement of our Nation’s transportation systems. It 

is extremely important that each NTSB Board Member have real-world knowledge 

of transportation safety. Mr. Sumwalt not only has the required expertise, he also 

has an uncommon commitment to public safety. I am confident, that if confirmed, 

Mr. Sumwalt will be a valuable addition to the Board. 

I urge this committee to carefully consider Mr. Sumwalt’s background and favorably report his nomination. 

Thank you for allowing me the opportunity to introduce this talented and distinguished nominee. 

The CHAIRMAN. Thank you, Senator. 

Senator Domenici, do you have a statement to make for one of 

the nominees? 

STATEMENT OF HON. PETE V. DOMENICI, 

U.S. SENATOR FROM NEW MEXICO 

Senator DOMENICI. I will be brief, but thank you for giving me 

a couple of moments. I am here to speak on behalf of and introduce 

Admiral Jay Cohen, the President’s nominee to be Under Secretary 

of Homeland Security for Science and Technology. 

Admiral Cohen graduated from the Naval Academy and received 

a Master’s degree from Massachusetts Institute of Technology. 

He is a 35-year veteran of the Navy, most recently serving as the 

Chief of Naval Research. In that role, he has championed many significant programs for the Marines and the Navy, including some 

that I have been personally involved in and watched him professionally undertake. 

I got to know the Admiral through two important projects that 

we have worked on together over the years. One is called the 

Magdalena Ridge Observatory, kind of a ‘‘break the mold’’ observatory approach on the top of a mountain with a different structure 

for observatories. This project will send huge new photographs to 

the world of what is going on in space. 

And the second was an Expeditionary Unit Water Purification. 

The Expeditionary Unit Water Purification Program has had much 

success in the past few years. 

6 

Mr. Chairman, you have heard of the work the units performed 

last summer, providing 450,000 gallons of fresh water for the Coast 

Guard Loran Station at Port Clarence, Alaska. 

Additionally, last September two of the units, basically research 

units, which are moving ahead dramatically with desalination, 

were deployed to Mississippi to provide drinking water for the victims of Hurricane Katrina. 

Clearly, to this Senator, the Expeditionary Unit Water Purification Program is meeting some great goals, much of that due to 

the leadership qualities of this nominee. He is truly capable of accomplishing what is required in this new job, as he has spearheaded projects as the Chief of Naval Research. He will do the 

same in this new capacity. 

So I believe he will bring this innovative, forward-thinking approach to Homeland Security which you are here to fill a vacancy 

at the most expeditious time. I hope that will occur, and the man 

will be this gentleman, and I thank you for giving me time to introduce him, Mr. Chairman and fellow Senators. 

The CHAIRMAN. Thank you very much Senator. 

Senator Reed, you have a comment about Mr. Cohen also? 

Senator REED. I do. 

STATEMENT OF HON. JACK REED, 

U.S. SENATOR FROM RHODE ISLAND 

Senator REED. Mr. Chairman and members of the Committee, I 

am pleased to join Senator Domenici in introducing Admiral Jay 

Cohen. He has an extraordinarily distinguished career in the 

United States Navy, and let me emphasize as Senator Domenici 

did, his service of 51⁄2 years as the Chief of Naval Research. There 

he was responsible and effective in managing complicated technology projects, delivering new technology and new innovation to 

the fleet and with those skills, he will be superbly prepared to assume his new responsibilities in the Department of Homeland Security. 

He also understands very well the need to develop and maintain 

an industrial base that will support the technology efforts of the 

Department, and that industrial base is not just the facilities, but 

also the designers and the engineers that are so critical to maintaining our progress and continuing our leadership in so many different roles. As Senator Domenici pointed out, Admiral Cohen is a 

graduate of the Naval Academy, and I was reluctant to come here 

today until he informed me that the Navy football team lost all 4 

years while he was at Navy. This too, endears me to Admiral 

Cohen, but I recommend his nomination wholeheartedly. 

The CHAIRMAN. Thank you very much Senator. 

Congressman Tom Davis of Virginia, you have a comment to 

make about one of our nominees. 

STATEMENT OF HON. TOM DAVIS, 

U.S. REPRESENTATIVE FROM VIRGINIA 

Representative DAVIS. Senator, two nominees with whom I have 

had a long relationship, Sean Connaughton and Chip Nottingham. 

I have known Mr. Connaughton and Mr. Nottingham for many 

years. I have had a long relationship with them. I remember Sean 

7 

Connaughton who was nominated to serve as the Administrator of 

the Maritime Administration. He is a graduate of Kings Point, the 

Merchant Marine Academy and is a Maritime attorney by trade, 

but is well aware of the central role that Maritime plays in the 

global economy. It is also integral to our national security, so I 

think this is a man of very high caliber. I worked with Sean. He 

has been Chairman of the Board of Supervisors in Prince William 

County which is in my district. Since 1999, this is one of the fastest 

growing counties in the country. Such growth could easily overwhelm many local governments, but under Sean, the county has 

earned a reputation of being a great place to do business and to 

live. They are known for their sound financial management. 

Just a couple specifics, Prince William County enjoys a AAA 

bond rating with a handful of jurisdictions around the country that 

does that. They got that under his leadership. They’ve actually enjoyed two ratings upgrades since he assumed the office. They’ve 

also dramatically increased their fund balance, their ‘‘rainy day’’ 

account, and they have consistently run budget-year surpluses. 

Finally, under Sean, Prince William has been a leader in using 

information technology and other process improvements to make 

government efficient and user-friendly. Like Sean, I was Chairman 

of the neighboring county in Fairfax before I came to Congress, but 

I just think he is an excellent nominee, and I would urge his support. 

I also turn to Chip Nottingham, who is a graduate of Wesley 

University in Connecticut, but I have worked continuously with 

Chip since 1994 when I was first selected to Congress. He was my 

first Counsel when I came to Congress in 1995, and he rose up the 

ranks to serve as my Chief of Staff and was also Chief of Staff to 

Congressman Bob Goodlot. He has worked with me as Counsel on 

the Government Reform Committee as well, which I now Chair. 

As a senior staffer, no job is too big or too small for Chip to handle with care and to bring successful closure. He is a problem solver. He has extraordinary interpersonal and communication skills. 

This Committee is likely well aware of his transportation expertise—more than 8 years of working at the highest levels of transportation policy and management at the State and Federal levels. 

But I would like to emphasize Chip’s passion and experience in 

delivering effective government management strategies, safeguarding taxpayer dollars and bringing positive reforms to complex 

government organizations. As Chairman of the House Government 

Reform Committee, I am especially pleased to report that Chip is 

a strong and effective manager and a careful steward of taxpayer 

dollars. Whether it was earning the trust of Federal employees and 

Federal retirees while handling civil service issues for me; helping 

us to reform the District of Columbia and as you know, write the 

Control Board Legislation, or more recently when he was CEO of 

the Virginia Department of Transportation and initiated more than 

100 management reforms including creating an Inspector General 

Office and Chief Environmental and Regulatory Affair’s officer, 

Chip has always had a passion for making government work better 

in a more transparent responsive manner. 

If Chip is confirmed as Chairman of the STB, he will become the 

Chief Executive Officer of an agency that faces a number of chalVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00011 Fmt 6633 Sfmt 6601 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
8 

lenges. Approximately 60 percent of the STB’s 140-person workforce is retirement-eligible, and the agency has not been reauthorized in many years due to competing interest among STB’s stakeholders. The STB is in need of a strong, proven leader with a 

record of problem solving and public service, and I think Chip Nottingham is the right person for the job. And I appreciate the opportunity to be here and share these thoughts with you today. 

[The prepared statement of Representative Davis follows:] 

PREPARED STATEMENT OF HON. TOM DAVIS, U.S. REPRESENTATIVE FROM VIRGINIA

Chairman Stevens, Co-Chairman Inouye, members of the Committee, today I have 

the distinct pleasure of introducing two individuals here today: Sean Connaughton 

and Chip Nottingham. I have known both Mr. Connaughton and Mr. Nottingham 

for many years, and am pleased President Bush has nominated them for their respective positions in his Administration. I recommend this committee’s and the Senate’s speedy confirmation of these outstanding public servants. 

I will begin my remarks with Sean Connaughton, nominated to serve as the Administrator of the Maritime Administration. 

The Members of this committee are well aware of the central role maritime trade 

plays in our Nation’s—and the global—economy. It is also integral to our national 

security. Thus, it is of the utmost importance that the Maritime Administrator be 

of the highest caliber. President Bush has done well to nominate Sean to fill this 

important role. 

I have worked with Sean on numerous occasions in recent years. The 11th Congressional District of Virginia, which I am honored to represent, is comprised of 

large portions of Fairfax County and Prince William County, Virginia. As you know, 

Mr. Connaughton has served as Chairman of the Prince William County Board of 

Supervisors since 1999. 

Prince William County is experiencing the same explosive population growth felt 

throughout all of Northern Virginia. Such growth could easily overwhelm many local 

governments; however, under Sean, the county has earned the reputation of being 

a great place to both do business and reside. 

Prince William County is also known for its sound financial management, due in 

large part to the abilities of Chairman Connaughton. A few specifics: Prince William 

County enjoys a AAA bond rating, having enjoyed two ratings upgrades since Sean 

assumed office. Prince William has also dramatically increased its fund balance, or 

‘‘rainy day’’ account and has consistently run year-end budget surpluses. Finally, 

under Sean. Prince William has been a leader in using information technology and 

other process improvements to make government more efficient and user-friendly. 

Like Sean, I have served as the Chairman of a County Board before coming to 

Congress. I know the myriad challenges inherent in this position, and am impressed 

with the job Sean has done. Sean’s impressive record as an executive, coupled with 

his extensive experience in and knowledge of maritime matters, give me every confidence that he will bring the same level of accomplishment to the Maritime Administration as he has to Prince William County. I urge your support of his confirmation. 

I turn now to Chip Nottingham, with whom I have worked continuously since 

1994. He served as my first Counsel when I came to Congress in 1995 and rose up 

the ranks to serve as my Chief of Staff. He has also worked for me as Counsel on 

the Government Reform Committee. 

As a senior staffer, no job was too big or too small for Chip to handle with care 

and bring to successful closure. He is a problem-solver and has extraordinary interpersonal and communications skills. This committee is likely well aware of his 

transportation expertise—more than 8 years working at the highest levels of transportation policy and management at the state and Federal levels. What I’d like to 

emphasize today is Chip’s passion and experience in delivering effective government 

management strategies, safeguarding taxpayer dollars, and bringing positive reform 

to complex government organizations. 

As Chairman of the House Government Reform Committee, I am especially 

pleased to report that Chip is a strong and effective manager and careful steward 

of taxpayer dollars. Whether it was earning the trust of Federal employees and Federal retirees while handling civil service issues for me; helping me to reform the 

government of the District of Columbia when we created the Financial Control 

Board and the Chief Financial Officer of DC; or more recently when he was CEO 

of VDOT and initiated more than 100 management reforms, including creating an 

9 

Inspector General Office and a Chief Environmental and Regulatory Affairs Officer, 

Chip has always had a passion for making government work better and in a more 

transparent and responsive manner. 

If Chip is confirmed as Chair of the STB, he will become the Chief Executive Officer of an agency that faces a number of challenges. Approximately 60 percent of the 

STB’s 140-person workforce is retirement eligible, and the agency has not been reauthorized in many years due to competing interests among the STB’s stakeholders. 

The STB is in need of a strong, proven leader with a record of problem solving and 

public service. Fortunately, in Chip Nottingham, we have the right person for the 

job. 

Thank you for the opportunity to appear here today. Again, I urge your support 

for these two fine individuals. 

The CHAIRMAN. Mr. Chairman, we are delighted that you would 

take the time to support these two nominees and we appreciate any 

questions for the Congressman. Thank you, Mr. Chairman. I appreciate you being here. 

Senator Allen, do you have an introduction? 

STATEMENT OF HON. GEORGE ALLEN, 

U.S. SENATOR FROM VIRGINIA 

Senator ALLEN. Yes, I do Mr. Chairman. Congressman Davis has 

worked at the local government level and has worked with both of 

these gentlemen. Particularly, understanding Sean Connaughton’s 

work, and I thank Congressman Davis for coming over here for 

them. 

Let me just say a few things about two of the nominees. The 

third one by the way, Robert Sumwalt, I’ve actually had the pleasure of meeting him with Senator DeMint, and I’m sure he’ll extol 

his virtues, but I endorse his nomination as well. 

As far as Sean Connaughton to be Administrator of the MARAD 

and Chip Nottingham to be a Member of the Surface Transportation Board, both of these are long time Virginians with an exceptional records of service to the people of the Commonwealth. 

Sean Connaughton has done an absolutely superb job as Chairman of the Prince William Country Board of Supervisors. He has 

brought in new, good-paying jobs. He has balanced the needs that 

the fighting and disputes that the country has over growth and 

where the growth should be. He has done an outstanding job. It is 

a very diverse and growing county. They are getting new jobs, new 

investment. It is a really great place to live. I was there about a 

month ago dedicating a 9/11 memorial for those who perished on 

9/11 from Prince William County, and what Sean has really shown 

is he is a man sticking to principles, well-grounded, but also working with all parties to achieve positive goals for the people of a very 

diverse, large and growing county. He is particularly well-qualified 

for this position. 

In addition to that, being a graduate of not just of George Mason’s law school, but a graduate of the U.S. Naval War College. 

He’s served in the Navy Reserve and has been until this year since 

1986. He was a Merchant Marine. He served our country in the 

Coast Guard. He’s results-oriented and that is what we need with 

Maritime. He’s results-oriented, can-do, get things done, and Sean 

Connaughton, I have no question in my mind would be exceptional 

in this position. 

On Chip Nottingham, Chip served in Virginia, the Commonwealth Transportation Board, Commissioner of the Virginia DeVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00013 Fmt 6633 Sfmt 6601 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
10 

partment of Transportation, a tough, but a very important job. He 

has been a champion of increased investment. He is also one who 

looks for innovative, creative ways of expanding the transportation 

pie. One of the key Administration successes I had when I was 

Governor was what is called a Private Transportation Act, and 

Chip Nottingham tested and expanded and utilized the approach, 

and I think that’s the sort of creative leadership we need at the national level, and Chip Nottingham is a person again with a proven 

record of performance, a person who has the right principles. He 

is hands-on. He solves problems and that’s the sort of person we 

need on the Surface Transportation Board, and I recommend both 

of these gentlemen with all my highest recommendations and look 

forward to their confirmation. 

Thank you, Mr. Chairman. 

The CHAIRMAN. Thank you, Senator. 

Senator Inouye, do you have any comments? 

STATEMENT OF HON. DANIEL K. INOUYE, 

U.S. SENATOR FROM HAWAII 

Senator INOUYE. I’d just like to say I am pleased that the adopted son of Hawaii, Admiral Cohen, is one of the nominees, and I am 

certain that he will continue service to our Nation with great distinction. 

Thank you. 

The CHAIRMAN. Thank you, Senator. 

Now if the nominees would please take their places at the table. 

Admiral Cohen, we did not have a chance to see whether you had 

family members here? Do you have any family members here 

today, sir? 

Admiral COHEN. I do, Chairman Stevens, and I am so pleased to 

introduce my wife Nancy, her mother, Lee Noll, a World War II 

Navy Nurse; and Eleanor Rickover who we consider part of our 

family. She is Admiral Rickover’s widow, a career Navy Nurse, also 

Admiral Rickover who both of you, and many on the Committee 

knew so well, taught us all to change the world and taught us the 

value of standards. My brother-in-law and sister-in-law, Sarah and 

Don Clements, and the future generation Hailey Clements and if 

we can get her to Hawaii, I think Senator she will compete very 

well for Miss Hawaii. 

The CHAIRMAN. Well thank you very much for bringing these 

guests here. It certainly brings back memories for Senator Inouye 

and I and we’re particularly pleased to see you here ladies, thank 

you for joining us. 

Let us proceed through the list. Since you have just spoken, Admiral, why don’t we take you first? We would be pleased to have 

any statement you wish to make. 

STATEMENT OF ADMIRAL JAY M. COHEN, NOMINEE TO BE 

UNDER SECRETARY FOR SCIENCE AND TECHNOLOGY, 

DEPARTMENT OF HOMELAND SECURITY 

Admiral COHEN. Chairman Stevens, Senator Inouye, Members of 

the Committee, I am greatly pleased to appear before the Committee as you consider the President’s nomination of myself to be 

11 

the next Under Secretary for Science and Technology of the Department of Homeland Security. 

I am deeply honored and humbled that President Bush has nominated me to serve this great country and its people. If confirmed, 

I look forward to the opportunity and privilege to serve with the 

dedicated men and women, scientists, engineers and professionals 

who are working to secure our homeland and defend our freedoms. 

Because of the number of people that you are considering today, 

Mr. Chairman, I will ask that my written statement be made part 

of the record and I will just say at the end that if confirmed, I commit to working with you and your staff and Chairman Stevens and 

Senator Inouye, I want to commend both staffs who are extremely 

professional, and I appreciate their vetting me and also their good 

advice. And if confirmed, I will work very closely with them. I 

think they help significantly in establishing the Department of 

Homeland Security, a very complex Department which is still maturing. 

I look forward to working with government departments and all 

agencies, business both large and small, academia, laboratories, 

international partners, and innovators to discover and develop the 

best technologies and capabilities to those who are charged with 

protecting America, our homeland, today and tomorrow. 

Now with that, and a time you deem appropriate, I am pleased 

to answer the Committee’s questions. 

[The prepared statement and biographical information of Admiral Cohen follow:] 

PREPARED STATEMENT OF ADMIRAL JAY M. COHEN, NOMINEE TO BE UNDER

SECRETARY FOR SCIENCE AND TECHNOLOGY, DEPARTMENT OF HOMELAND SECURITY

Chairman Stevens and Senator Inouye, members of the Committee, I am pleased 

to appear before this committee as you consider the President’s nomination of myself to be the next Under Secretary for Science and Technology at the Department 

of Homeland Security. 

I am deeply honored and humbled that President Bush has nominated me to 

serve this great country and its people. If confirmed, I look forward to the opportunity and privilege to serve with the dedicated men and women, scientists, engineers and professionals who are working to secure our homeland and defend our 

freedoms. 

I am joined today by family and friends. I would like to recognize my wife Nancy 

and her Mom, Lee Noll, a World War II Navy Nurse and widow of Lt. Col. Don Noll, 

a career Marine, both members of the ‘‘greatest generation.’’ My parents, Sol and 

Sally Cohen, who are no longer with us, were children of immigrants whose first 

view of America and its promise of freedom was the Statue of Liberty in New York 

harbor. They instilled in me a love of country and an ethos of service which has 

guided me throughout my naval career. 

Since my nomination I have been asked, why after a full Navy career and nearly 

6 years as the Department of the Navy Chief of Naval Research, I would volunteer 

to continue my public service. The answer is straight forward—the United States 

and the world’s democracies are in a life and death conflict with terrorists who want 

to destroy the freedoms which we hold so dear. Our homeland has been attacked 

and remains at risk. During my tenure at the Office of Naval Research (ONR), especially after 9/11, I learned firsthand the incredible value that a sustained, customer 

focused basic and applied research program adds to America’s ability to bring advanced technology to our (and our allies) asymmetric advantage against the enemies 

of freedom. It can mean the difference between life and death, victory or defeat. 

The incredible economic engine which powers our economy and security is based 

on the innovation of citizens, research organizations and industry in a free society. 

The vision, guidance and accountable investment which only our Federal Government is capable of making in science and technology year in and year out has been 

crucial to the technological and economic strength of the United States. If the AdVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00015 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
12 

ministration and you consider that my experience leading a world-class technology 

organization like ONR will benefit the maturing value of Science and Technology 

to further enhance the Department of Homeland Security mission to protect and defend the United States, I would be honored to serve and contribute to America’s defense and continued technological advancement. 

If confirmed, I commit to working with you and your staff, government departments and agencies, business (large and small), academia, laboratories, international partners, and innovators to discover, develop and deliver the best technologies and capabilities to those charged with protecting our homeland, today and 

tomorrow. 

I am pleased to answer the Committee’s questions. 

A. BIOGRAPHICAL INFORMATION

1. Name (Include any former names or nicknames used): Jay Martin Cohen. 

2. Position to which nominated: Under Secretary for Science and Technology at 

the Department of Homeland Security. 

3. Date of Nomination: June 28, 2006. 

4. Address (List current place of residence and office addresses): 

Residence: information not released to the public. 

Office: None. 

5. Date and Place of Birth: Dec. 12, 1946; New York, NY. 

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): My spouse, Nancy Lee Cohen is not employed and we have 

no children. 

7. List all college and graduate degrees. Provide year and school attended. 

1964–1968, United States Naval Academy, Annapolis, MD, B.S. 

1970–1972, Joint Program, Massachusetts Institute of Technology, Cambridge, 

MA and Woods Hole Oceanographic Institution, Woods Hole, MA—two degrees—Joint MIT/WHOI Ocean Engineering Degree and MIT Masters Degree in 

Naval Architecture and Marine Engineering. 

8. List all management-level jobs held and any non-managerial jobs that relate 

to the position for which you are nominated. 

1985–1988, Commanding Officer, USS HYMAN G. RICKOVER (SSN 709). 

1988–1989, Senior Member, Atlantic Fleet Nuclear Propulsion Examining 

Board. 

1989–1991, Director, Operational Support, Office of Naval Intelligence. 

1991–1993, Commanding Officer, USS L Y SPEAR (AS 36). 

1993–1997, Deputy Chief of Navy Legislative Affairs, Dept. of the Navy. 

1997–1999 Director, Navy Y2K Office. 

1999–2000, Deputy Director for Operations (Joint Staff J–3). 

2000–2006, Chief of Naval Research, Dept. of the Navy. 

9. 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. 

United States Naval Post Graduate School Board of Advisors Member (Monterey, 

CA) in Chief of Naval Research Chair. 

10. 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: None. 

11. 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. 

Memberships for entire past 10 years: 

Society of Naval Architects and Marine Engineers 

Sigma Xi 

13 

United States Naval Academy Alumni Association 

United States Naval Institute 

Army Navy Country Club (Arlington, VA) 

Army Navy Club (Washington, DC) 

Naval Submarine League 

Porsche Club of America 

Mercedes Benz Club of America 

Toy Train Collectors Association 

Lionel Railroader Club 

Membership since 2000: 

American Society of Naval Engineers 

Business and Higher Education Forum (as Chief of Naval Research) 

Membership since 2006: 

Disabled American Veterans 

To my knowledge none of the above restrict membership. 

12. Have you ever been a candidate for public office? No. 

13. 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: None. 

14. List all scholarships, fellowships, honorary degrees, honorary society memberships, military medals and any other special recognition for outstanding service or 

achievements. 

1967 USNA Trident (honors) Scholar 

1970 MIT/WHOI U.S. Navy Burke Scholar 

Military Medals: 

Distinguished Service Medal 

Defense Superior Service Medal (2) 

Legion of Merit (6) 

Meritorious Service Medal (3) 

Navy Commendation Medal (2) 

Navy Achievement Medal 

15. Please list each book, article, column, or publication you have authored, individually or with others, and 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 authored three articles; 

‘‘The Deep Questions,’’ Naval Institute Proceedings, Jan. 1969 (a discussion of 

deep diving research submarines). 

Two articles in the American Society of Naval Engineers Journal, one in the 

1970s and one in the 1980s. These articles were the publication of my technical 

research theses at the U.S. Naval Academy and MIT dealing with research submarine design and motion response of a catamaran surface ship in a seaway 

respectively. 

As Chief of Naval Research from June 2000 until January 2006, I gave scores 

of technical ‘‘speeches’’ at professional conferences. Additionally, I conducted 

several interviews with technical and professional publications, (i.e., Defense 

News, Under Sea Technology, SeaPower, etc.) and my comments at symposia 

and other technical meetings were referred to on numerous occasions in defense 

and scientific media. All of these were in support of Department of Defense and 

Navy goals/initiatives. 

16. Please identify each instance in which you have testified orally or in writing 

before Congress in a non-governmental capacity and specify the subject matter of 

each testimony. 

I never testified (orally or in writing) before Congress in a non-government capacity. 

B. POTENTIAL CONFLICTS OF INTEREST

1. Describe all financial arrangements, deferred compensation agreements, and 

other continuing dealings with business associates, clients, or customers: None. 

14 

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. 

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 5 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 5 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. 

Annual testimony as Chief of Naval Research before the House and Senate in support of the President’s Department of the Navy Science and Technology Budget request. 

6. Explain how you will resolve any potential conflict of interest, including any 

that may be disclosed by your responses to the above items. 

I will either divest my holdings or recuse myself as recommended/required by the 

Government Ethics’ Office. 

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. 

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? 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—In Jan. 1993, when my Father and Stepmother were killed in a traffic accident, my Stepsister subsequently protested my Father’s will in the 17th Judicial 

Circuit Court, Broward County, FL. The estate was closed/settled out of court in 

Dec. 1994. 

4. Have you ever been convicted (including pleas of guilty or nolo contendere) of 

any criminal violation other than a minor traffic offense? No. 

5. Please advise the Committee of any additional information, favorable or unfavorable, which you feel should be disclosed in connection with your nomination. 

I have served honorably throughout nearly 42 years on active duty in the United 

States Navy, representing our country around the world, with governments, military, industry, academia, professional groups and the Executive Branch and Halls 

of Congress. For the past 13 years, I have been assigned duties continuously in 

Washington, D.C., at the highest levels of the Department of the Navy and Joint 

Staff/Department of Defense leading men and women in all the services as well as 

hundreds of dedicated government service and contract support civilians. I have 

never shirked my responsibility for the care and development of the people assigned 

to my commands, while holding both military and civilian personnel accountable for 

their performance and behavior. I have always been guided by doing the right thing, 

not the expedient thing. I am excited about the opportunity (if confirmed by the 

Senate) to serve the United States, and the President at the Department of Homeland Security, by bringing my experience and talents to the fight against terrorism 

through the effective and rapid application of science and technology to our brave 

men and women who serve in the many DHS agencies to protect America. 

6. 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. 

Last year, in the Spring of 2005, while I was serving as the Chief of Naval Research (CNR), responsible for the Department of the Navy (DON), Office of Naval 

Research (ONR), I became aware of a situation with a senior (GS–15) ONR employee (Dr. Maribel Soto). Specifically, I received multiple informal allegations and 

a formal (written) complaint that Dr. Soto had created an emotionally abusive workplace at ONR, by abrasive verbal and written statements insulting and derogatory 

to both subordinate and supervisory personnel. When my verbal counseling of Dr. 

Soto was not effective in correcting the situation, in June 2005, I consulted personally with the DON General Counsel (Hon. Alberto Mora), the Deputy Assistant SecVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00018 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
15 

retary of the Navy (DASN-Civilian Human Resources, Ms. Patricia Adams and her 

counsel/staff) and the DON Deputy Inspector General (Ms. Jill Loftus). They informed me that as a Commanding Officer, once such allegations of a hostile workplace environment were formally identified to me that I had to remove the offending 

individual from said workplace. To ensure there would be no question of the objectivity of actions I might have to take as CNR in this matter, I requested that the 

DASN-Civilian Human Resources (above me in the DON chain of command) have 

an independent ONR ‘‘Command Climate Survey’’ done by her counsel to determine 

the validity and extent of workplace problems associated with Dr. Soto’s reported 

behavior. That initial survey was completed in July 2005 and the results substantiated the allegations involving Dr. Soto. As a result, on August 3, 2005, I formally 

(in writing) reassigned Dr. Soto from her supervisory position at ONR to a temporary research assignment at the Naval Research Laboratory (NRL) in Washington, D.C., until a more detailed/comprehensive investigation was completed. 

DASN-Civilian Human Resources then initiated a formal investigation into the extent of Dr. Soto’s behavior and its impact on ONR command effectiveness and morale. When this investigation was completed and reviewed by CNR and the responsible DON leadership, appropriate action would be taken with Dr. Soto. 

Dr. Soto denied any wrongdoing on her part and interpreted her temporary reassignment from ONR to NRL to be prejudicial and formally grieved my action to 

my superiors in the DON. Before I left the Office of Naval Research on January 20, 

2006 (a normal relief after nearly 6 years as CNR) and retired from the Navy on 

February 1, 2006 (that date scheduled since May 2005), I was informed by the DON 

Office of the General Counsel and DASN-Civilian Human Resources that Dr. Soto’s 

grievance of my actions had been investigated and was not substantiated. Her grievance against me was denied as was Dr. Soto’s request that my reassignment of her 

be overturned. To my knowledge, Dr. Soto remains on temporary reassignment outside ONR as the formal investigation results undergo review and DON leadership 

decides what action is to be taken in this matter. The facts in this matter may be 

substantiated with DON Office of General Counsel, DASN-Civilian Human Resources and DON Inspector General. 

Other than the above, in my 38 years of commissioned service as a U.S. Navy officer, I have no knowledge of any other accusation (formal or informal) involving sexual harassment or discrimination on the basis of sex, race, religion or any other 

basis involving me. 

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. 

The CHAIRMAN. Thank you very much. All of your statements 

will be printed in the record in full. You may summarize them, or 

read them, or whatever you wish to do. We thank you, Admiral. 

The next person that I would call on would be Nathaniel 

Wienecke who is to be Assistant Secretary of Commerce. 

STATEMENT OF NATHANIEL F. WIENECKE, 

NOMINEE TO BEASSISTANT SECRETARY FOR 

LEGISLATIVE AND INTERGOVERNMENTAL AFFAIRS, 

DEPARTMENT OF COMMERCE 

Mr. WIENECKE. Chairman Stevens, Co-Chairman Inouye, and 

members of the Committee, it is a privilege for me to appear before 

you today as the nominee to be Assistant Secretary for Legislative 

and Intergovernmental Affairs at the Department of Commerce. I 

do have a brief statement. 

16 

I would like to thank President Bush for nominating me, and I 

am also very grateful to Secretary Gutierrez for supporting my 

nomination. It is a tremendous honor to work under his leadership 

at the Department. 

Thank you for allowing me to introduce my family. I am truly 

grateful for the love, support and great sacrifices of my wife and 

daughter. It is only because of them that I sit before you today. 

Also, throughout my life, my parents have made countless hard 

choices for my benefit and I thank them as well. Thank you all. 

I would also like to thank the career sector of the Department 

of Commerce. They are dedicated public servants, particularly 

Karen Swanson-Woolf and Jim Schufrieder, Clark Reid and Jim 

Wasilewski. The American people are better for their service. Your 

staff and the Committee are wonderful to work with. They pay attention to the details and are very forceful advocates for your legislative priorities. Over the past 5 years I have had the opportunity 

to work with every Member of the Senate and the House. If confirmed, I pledge to work closely with all of our stakeholders in a 

fair and honest manner without regard to position or party. As a 

former Congressional aide, I understand that the livelihood, quality-of-life, and very often the bottom line of your constituents can 

be affected by the Department’s responsiveness to your inquiries. 

If I am fortunate enough to be approved by the Committee and 

confirmed by the Senate, I pledge to work with every Member of 

this committee, the Senate and the entire Congress to meet your 

needs. 

Thank you very much and I’ll take any questions. 

[The prepared statement and biographical of Mr. Wienecke follow:] 

PREPARED STATEMENT OF NATHANIEL F. WIENECKE, NOMINEE TO BE ASSISTANT

SECRETARY FOR LEGISLATIVE AND INTERGOVERNMENTAL AFFAIRS, DEPARTMENT OF

COMMERCE

Chairman Stevens, Co-Chairman Inouye, and distinguished members of the Committee, it is a privilege for me to appear before you today as the nominee to be Assistant Secretary for Legislative and Intergovernmental Affairs at the Department 

of Commerce. I deeply respect the great traditions of the Senate and am both humbled and honored to be considered for this position. I would like to thank President 

Bush for nominating me, and I am also very grateful to Secretary Gutierrez for supporting my nomination. It is a tremendous honor to work under his leadership at 

the Department of Commerce. 

I would like to introduce my wife, Chantal, and my daughter, Kendall. It is only 

with their love, support and great sacrifice that I sit before you today, and I am 

truly grateful for their support. My parents, Paul and Jean Wienecke, are here 

today, and I would like to recognize them as well. The hard choices they have made 

for my benefit and that of my siblings are countless. Thank you, Chantal, Kendall, 

Mom and Dad for your unwavering support. 

I would also like to commend the career staff of the Department of Commerce. 

They are dedicated, professional and always up to the task. The American people 

are better off for their service. Additionally, Chairman Stevens and Co-Chairman 

Inouye, I would like to commend the Commerce Committee staff—it is a pleasure 

to work with them. They focus on the details and are forceful advocates for your 

legislative priorities. 

Mr. Chairman, I firmly believe that America’s strength lies in the ingenuity and 

entrepreneurial spirit of its citizens. Serving at the Department of Commerce, where 

our mission every day is to ‘‘foster, promote, and develop the foreign and domestic 

commerce’’ of the United States is a distinct honor and privilege. If confirmed, I 

pledge to continue working in partnership with you and the Committee to address 

the concerns and needs of the American public. Over the past 5 years, I have served 

17 

in a variety of positions at the Department and have had the opportunity to work 

with our incredibly diverse portfolio, managed by 12 bureaus and under the oversight of 21 different Congressional committees. 

During my tenure at the Commerce Department, I have had the opportunity to 

work with almost every Member of the Senate and House and most of our Nation’s 

Governors. If confirmed, I pledge to work closely with our stakeholders to provide 

them timely and accurate information about the Department’s programs and policies. I will do so fairly and without regard to position or party. As a former Congressional aide, I understand that the livelihood, quality-of-life or bottom line of your 

constituents can be affected by the Department’s responsiveness to your inquiries 

on their behalf. 

The issues faced by your constituents vary greatly across America. Whether the 

unique challenges faced by Alaskan Natives, the treasured ecosystem of Hawaii, or 

the reinvigoration of the Gulf Coast, each state and each region has its own unique 

needs. I am committed to helping you address them. Programs at the Department 

of Commerce affect people personally—whether it be promoting economic development in distressed communities, enforcing our trade laws, or helping small businesses protect their newest innovations, there are no small or unimportant issues. 

If confirmed by the Senate, there are three priorities on which I will focus: 

First, I will be a strong advocate for the Administration’s legislative priorities that 

are before the Congress. Whether it the reauthorization of the Magnuson-Stevens 

Act, promoting the President’s American Competitiveness Initiative, or advancing 

legislation to open markets around the world to U.S. goods and services, I will provide the Congress with the information it needs to craft legislation and oversee the 

Department’s activities. 

Second, I will ensure that the Department’s legislative staff meets often with 

yours to ensure that we understand your priorities. There is no substitute for faceto-face interaction in the disposition of complex issues. 

Third, I will work to implement three key information technology improvements 

to better our ability to communicate with Members’ offices. Specifically, we must improve the means by which we notify Members’ offices of grants and contracts that 

affect your respective states. We must also improve the methods we use to share 

the wealth of economic and statistical data that we produce. And finally, we need 

to continue to improve the means by which we ensure that inquiries from Members 

of Congress are responded to in a timely manner. 

I look forward to assisting Secretary Gutierrez by serving as a conduit to share 

his views and objectives with the Congress and relay your concerns back to the Department. In addition, I am committed to keeping the lines of communication open 

with state and local governments on issues of importance to them. 

If I am fortunate enough to be approved by this committee and confirmed by the 

Senate, I will ensure that the Department responds to your questions as quickly as 

possible with the best information that is available. 

Thank you for the opportunity to appear before you today. I will be happy to answer any questions that you may have. 

A. BIOGRAPHICAL INFORMATION

1. Name (Include any former names or nicknames used): Nathaniel Frederick 

Wienecke, Nickname: Nat. 

2. Position to which nominated: Assistant Secretary of Commerce for Legislative 

and Intergovernmental Affairs. 

3. Date of Nomination: June 29, 2006. 

4. Address (List current place of residence and office addresses): 

Residence: information not released to the public. 

Office Address: Office of Legislative and Intergovernmental Affairs, Room 5421, 

U.S. Department of Commerce, 14th & Constitution Ave., NW, Washington, DC 

20230. 

5. Date and Place of Birth: January 10, 1972; Rockford, Illinois; Winnebago County. 

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: Chantal Suess Rainey, Homemaker and part-time Consultant for Hoosier PAC. 

Child: Kendall Marie Wienecke, 4 years old. 

18 

7. List all college and graduate degrees. Provide year and school attended: Bachelor of Science in Business Economics, 1994, State University of New York at 

Oneonta. 

8. List all management-level jobs held and any non-managerial jobs that relate 

to the position for which you are nominated. 

Acting Assistant Secretary for Legislative and Intergovernmental Affairs, U.S. 

Department of Commerce, Intermittently from June 2005–present. 

Deputy Assistant Secretary for Legislative and Intergovernmental Affairs, U.S. 

Department of Commerce, March 2004–present. 

Deputy Assistant Secretary for External Affairs and Communications, Economic 

Development Administration, U.S. Department of Commerce, November 2002– 

March 2005. 

Director of Legislative Affairs, Communications, Economic Development Administration, U.S. Department of Commerce, August 2001–November 2002. 

Professional Staff, Government Reform Committee, U.S. House of Representatives, August 1999–August 2001. 

Legislative Assistant, Representative Dan Burton, U.S. House of Representatives, May 1995–August 1999. 

Legislative Correspondent, Representative Michael P. Forbes, U.S. House of 

Representatives, February 1996–May 1997. 

9. 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. 

10. 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: None. 

11. 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. 

I am or have been a member of the organizations listed below. None of these organizations restricts membership on the basis of sex, race, color, religion, national origin, age or handicap. The organizations include: 

St. Josephs Parish, 12/95–present, no positions; 

Capitol Hill Club 1998–1999, no positions; and 

Ducks Unlimited 2001–present, no positions. 

12. Have you ever been a candidate for public office? I have never been a candidate for public office. 

13. 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: George W. Bush via Bush-Cheney 2004 (primary) Inc., 8/27/2004— 

$2000.00. 

14. List all scholarships, fellowships, honorary degrees, honorary society memberships, military medals and any other special recognition for outstanding service or 

achievements. 

Soepp Roesse Scholarship for International Studies, 1994. 

Scott Jenkins Scholarship for Study Abroad Programs, 1994. 

15. Please list each book, article, column, or publication you have authored, individually or with others, and 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 collaborated on a great number of speeches and writings for Members of 

Congress and Secretary Gutierrez during my career working for Congress and in the 

Administration. 

In the course of official events with the Department of Commerce and at the Economic Development Administration (EDA) at the Department of Commerce I participated in dozens of public events where I gave remarks to the public and interviews 

to the media. The events consisted of grant announcements with Members of Congress and speaking at EDA’s national conferences. In all cases my remarks were 

19 

from prepared notes and not written speeches. I do not have a record of specific 

dates and locations. 

I participated in the drafting of a Majority Staff Report for the Committee on Government Reform, U.S. House of Representatives, entitled Conflicts of Interest in Vaccine Policy Making, August 21, 2000. 

As President of the Student Government at Oneonta State College I wrote an oped article in the State Times on the need for insurance for club sports. 

16. Please identify each instance in which you have testified orally or in writing 

before Congress in a non-governmental capacity and specify the subject matter of 

each testimony. 

I have never testified orally or in writing before Congress in a nongovernmental 

capacity. 

B. POTENTIAL CONFLICTS OF INTEREST

1. Describe all financial arrangements, deferred compensation agreements, and 

other continuing dealings with business associates, clients, or customers: None. 

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. 

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 5 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 5 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 my official capacity at the Commerce Department over the past 5 years I have 

promoted the Administrations Legislative agenda. 

Over the last 5 years in my official capacity as Deputy Assistant Secretary for 

Legislative and intergovernmental Affairs at the Commerce Department and Deputy 

Assistant Secretary for External Affairs and Communications at the Economic Development Administration, I have taken an active role in promoting the Administration’s priorities before Congress. The issue areas that I have been responsible for 

include all legislation concerning the Bureaus of the Department of Commerce, notably Magnuson-Steven’s Reauthorization, Central American—Dominican Republic 

Free Trade Agreement and the Economic Development Administration Reauthorization Act of 2004. 

6. Explain how you will resolve any potential conflict of interest, including any 

that may be disclosed by your responses to the above items. 

I will consult with ethics officials at the Department of Commerce and if appropriate divest myself of conflicting interests, recuse myself, or obtain a conflict of interest waiver under 18 U.S.C. Sec. 208(b). 

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. 

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? 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? No. 

4. Have you ever been convicted (including pleas of guilty or nolo contendere) of 

any criminal violation other than a minor traffic offense? No. 

5. Please advise the Committee of any additional information, favorable or unfavorable, which you feel should be disclosed in connection with your nomination: 

None. 

6. Have you ever been accused, formally or informally, of sexual harassment or 

discrimination on the basis of sex, race, religion or any other basis? No. 

D. RELATIONSHIP WITH COMMITTEE

1. Will you ensure that your department/agency complies with deadlines for information set by Congressional committees? Yes. 

20 

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. 

The CHAIRMAN. Thank you, sir. 

And now we turn to Sean Connaughton who is nominated to be 

the Administrator of Maritime. 

STATEMENT OF SEAN T. CONNAUGHTON, NOMINEE TO BE 

ADMINISTRATOR OF THE U.S. MARITIME ADMINISTRATION 

Mr. CONNAUGHTON. Chairman Stevens, Co-Chairman Inouye, 

Members of the Committee, it is a privilege to appear before you 

today to be considered for the position of Administrator of the U.S. 

Maritime Administration of the Department of Transportation. I 

would like to specifically thank Senator Allen, Senator Warner, 

Congressman Davis, and also Congressman Wolf for their comments in support of my nomination, as well. 

America is the world’s largest maritime trading economy. The 

maritime industry in all its aspects on land and sea, the people and 

the hardware, the terminals and the land-side connectors, is 

squarely in the front-line of the advancement of the American economy and the defense of the United States. The efficiency, safety 

and security of our domestic and international maritime transportation system from origin to destination are a matter of paramount 

importance to the welfare of every citizen of this Nation. 

If confirmed by the Senate, I will, of course, continue to implement MARAD’s statutory mandates to ensure the availability of efficient water transportation service to American shippers and consumers; an adequate shipbuilding and repair base; efficient ports; 

effective and intermodal water and land transportation connections; and sufficient intermodal shipping capacity for use by the 

Department of Defense in times of national emergency. I will also 

strive to ensure that the industry and all the persons who serve in 

it directly or indirectly are recognized, honored and appreciated for 

all that they have done and all that they will continue to do every 

day to support our economy, to protect our waterways and to preserve the marine environment. I have worked in this industry as 

a mariner and as a legal advisor. I have served as an officer in our 

Coast Guard and in our Navy. These experiences will, I hope, help 

me merit your trust in fulfilling the duties of Maritime Administrator. 

I recognize there are challenges and changes facing the transportation system, the U.S. maritime industry and the Federal Government. The Maritime Administration must focus its efforts on the 

strategic areas of commercial mobility and congestion relief, maritime and port development, national security and an environmental 

stewardship. The Maritime Administration must support the strategic objectives of the Department of Transportation. One of our 

greatest challenges is to increase our national transportation options in order to support our Nation’s economic growth. Greater use 

of the maritime transportation system, through elements such as 

21 

short sea shipping and multi-modal port development, offer the potential to reduce congestion while increasing efficiency in our ports 

and waterways. We expect that the U.S. military will increase its 

reliance on commercial transportation systems. These challenges 

and changes are of such importance that we must plan wisely now 

to ensure a more effective marine transportation system that 

serves our national need for personal mobility and for the safe and 

efficient movement of domestic and international freight. 

None of these objectives can be achieved without close cooperation and open communication with Congress, the national and 

international maritime industry, the shippers and receivers of the 

goods that move by water, and the skill and talents of the industry 

and MARAD’s professional staff. I look forward to working with all 

of you. 

Thank you for considering my nomination, and I would be 

pleased to answer any questions you may have. 

[The prepared statement and biographical information of Mr. 

Connaughton follow:] 

PREPARED STATEMENT OF SEAN T. CONNAUGHTON, NOMINEE TO BE ADMINISTRATOR

OF THE U.S. MARITIME ADMINISTRATION

Chairman Stevens, Co-Chairman Inouye, Members of the Committee, it is a privilege to appear before you today to be considered for the position of Administrator 

of the U.S. Maritime Administration of the Department of Transportation. I have 

with me today my family. I would like to introduce my wife Teresa, my daughter 

Courtney and my son, Sean Jr. I have been an elected official in local government 

for the past 7 years and during that time they have endured the schedule and demands that you and your families are very familiar with. I appreciate their past and 

continued support of my tenure in public service. 

America is the world’s largest maritime trading economy. The maritime industry 

in all its aspects on land and sea, the people and the hardware, the terminals and 

the land-side connectors, is squarely in the front-line of the advancement of the 

American economy and the defense of the United States. The efficiency, safety and 

security of our domestic and international marine transportation system from origin 

to destination is a matter of paramount importance to the welfare of every citizen 

of this Nation. 

If confirmed by the Senate, I will, of course, continue to implement MARAD’s statutory mandates to ensure the availability of efficient water transportation service 

to American shippers and consumers; an adequate shipbuilding and repair base; efficient ports; effective intermodal water and land transportation connections; and 

sufficient intermodal shipping capacity for use by the Department of Defense in 

times of national emergency. I will also strive to ensure that the industry and all 

the persons who serve it directly or indirectly are recognized, honored and appreciated for all that they have done and all that they will continue to do every day 

to support our economy, to protect our waterways and to preserve the marine environment. I have worked in this industry as a mariner and as a legal advisor. I have 

served as an officer in our Coast Guard and in our Navy. These experiences will, 

I hope, help me to merit your trust and the trust of the President in fulfilling the 

duties of Maritime Administrator. 

I recognize there are challenges and changes facing our transportation system, the 

U.S. maritime industry and the Federal Government. The Maritime Administration 

must focus its efforts on the strategic areas of commercial mobility and congestion 

relief, maritime and port development, national security, and environmental stewardship. The Maritime Administration must support the strategic objectives of the 

Department of Transportation. One of our greatest challenges is to increase our national transportation options in order to support our Nation’s economic growth. 

Greater use of the maritime transportation system, through elements such as short 

sea shipping and multi-modal port development, offer the potential to reduce congestion while increasing efficiency of our ports and waterways. We expect that the U.S. 

military will increase its reliance on commercial transportation systems. These challenges and changes are of such importance that we must plan wisely now to ensure 

a more effective marine transportation system that serves our national need for perVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00025 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
22 

sonal mobility and for the safe and efficient movement of domestic and international 

freight. 

None of these important objectives can be achieved without close cooperation and 

open communication with the Congress, the national and international maritime industry, the shippers and receivers of goods that move by water, and the skill and 

talents of the industry and MARAD’s professional staff. I look forward to working 

with all of you. 

Thank you for considering my nomination. I would be pleased to answer any questions you may have. 

A. BIOGRAPHICAL INFORMATION

1. Name (Include any former names or nicknames used): 

Sean Thomas Connaughton. 

2. Position to which nominated: Administrator, U.S. Maritime Administration. 

3. Date of Nomination: June 27, 2006. 

4. Address (List current place of residence and office addresses): information not 

released to the public. 

5. Date and Place of Birth: February 25, 1961; Brooklyn, New York. 

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: Teresa M. Connaughton, Registered Nurse, Inova Health Systems. 

Children: Courtney M. Connaughton, age 14; Sean T. Connaughton Jr., age 12. 

7. List all college and graduate degrees. Provide year and school attended. 

U.S. Merchant Marine Academy, B.S., 1983. 

Georgetown University, M.A., 1988. 

George Mason University, J.D., 1992. 

University of Virginia, Charlottesville, Fellow, Political Science, 1995. 

Naval War College, Diploma, 1998. 

8. List all management-level jobs held and any non-managerial jobs that relate 

to the position for which you are nominated. 

Commissioned officer, U.S. Coast Guard, Office of Marine Safety, Security and 

Environmental Protection (1983–86). 

Assistant Branch Chief (Grade GM–13), U.S. Coast Guard, Office of Marine 

Safety, Security and Environmental Protection (1986–88). 

Marine Transportation Associate, American Petroleum Institute, (1988–1992) 

Attorney, Haight Gardner Poor and Havens (1992–1995); Eckert Seamans 

Cherin & Mellot (1995–2001): Troutman Sanders (2001–present). 

Commander, U.S. Naval Reserve (1986–2006). 

9. 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. 

Board of County Supervisors, Prince William (2000–present). 

Northern Virginia Transportation Authority, Commonwealth of Virginia (2000– 

present). 

Potomac and Rappahannock Transportation Commission (2000–present). 

Board of Directors, Washington Council of Governments (2004–present). 

Metropolitan Washington Transportation Planning Board (2000–2005). 

Advisory Board, United States Merchant Marine Academy (2006–present). 

Towing Safety Advisory Committee, U.S. Coast Guard (2005–present). 

Prince William Advisory Board of George Mason University (2004–present). 

Committee for the Performing Arts Center at George Mason University (2004– 

present). 

Northern Virginia Base Realignment and Closure Working Group (2005–2006). 

Woodbridge Campus Advisory Board, Northern Virginia Community College 

(2006–present). 

23 

As outlined in the Acting General Counsels opinion letter, I will be resigning 

from all of these positions upon being sworn in as Administrator. 

10. 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, 9/11 Memorial Fund (2002–2006). 

Chairman, Potomac Hospital Capital Campaign (2003–present). 

Board of Directors, Homeland Protection Institute, Ltd. (2003–present). 

Board of Directors, Northern Virginia Science Center at Belmont Bay (2003– 

present). 

Board of Directors, Conservation Leaders Network (2005–present). 

As outlined in the Acting General Counsel’s opinion letter, I will be resigning 

from all of these positions upon being sworn in as Administrator. 

11. 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. 

Government Affairs Committee, U.S. Merchant Marine Academy Alumni Association (1997–present). 

Mid-Atlantic Fundraising Chairman, U.S. Merchant Marine Academy Alumni 

Association (1997–1998). 

Montclair Lions Club (1997–present). 

Optimist Club of Manassas (2000–present). 

Maritime Law Association (1992–present). 

Kings Point Club of Washington (1983–present). 

Naval Reserve Association (1987–present). 

Reserve Officers Association (1986–present). 

Prince William Committee of 100 (1999–present). 

Ancient Order of the Hibernians, Dowd Division, Woodbridge (1999–present). 

Knights of Columbus (2006–present). 

St. Francis of Assisi Church, Triangle (1987–present). 

National Conference of Republican County Officials (2001–present). 

Prince William Republican Committee (1987–present). 

American Legion, Post 28 (1992–present). 

As outlined in the Acting General Counsel’s opinion letter, I will be resigning 

from the Government Affairs Committee of the U.S. Merchant Marine Academy 

Alumni Association upon being sworn in as Administrator. 

12. Have you ever been a candidate for public office? If so, indicate whether any 

campaign has any outstanding debt, the amount, and whether you are personally 

liable for that debt. 

1999, 2003—Chairman, Prince William Board of County Supervisors—No debt. 

2005—Lt. Governor, Commonwealth of Virginia—No debt. 

13. 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. 

Connaughton for Chairman, $45,000, 1999. 

George Allen for Senate, $250, 2000. 

Alexandria Republican City Committee, $500, 2005. 

Fairfax County Republican Committee, $1,000, 2005. 

Cheney for Congress, $1,000, 2004. 

Republican Party of Virginia, $3,300, 2004/2005. 

Va Conservative Action PAC, $925, 2004. 

10th District Republican Congressional, $500, 2005. 

Marty Nohe for Supervisors, $1,500, 2003. 

Corey Stewart for Supervisor, $12,000, 2003. 

Tom Davis for Congress, $250, 1997. 

24 

14. List all scholarships, fellowships, honorary degrees, honorary society memberships, military medals and any other special recognition for outstanding service or 

achievements. 

Distinguished Service Award for County Elected Officials, National Association 

of Counties (2004). 

Meritorious Alumni Service Award, U.S. Merchant Marine Academy Alumni Association (1998). 

Franklin D. Reinauer II Defense Economics Prize, U.S. Naval War College 

(1998). 

Defense Meritorious Service Medal, Office of the Secretary of Defense (1997). 

Fellow, Virginia Institute of Political Leadership (1995). 

15. Please list each book, article, column, or publication you have authored, individually or with others, and 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. 

Numerous Opinion-Editorial pieces on transportation and other issues impacting Northern Virginia localities, The Washington Post, Potomac News, Prince 

William Times, 2000 to present. 

International Trade: Standardization and Harmonization vs. States’ Rights, The 

Metropolitan Corporate Counsel, October 2000. 

U.S. Legislative and Regulatory Developments, Survey of Maritime Administrative Law, August 1999. 

Revolt of the Admirals: Part Deux, U.S. Naval Institute Proceedings, February 

1999. 

Protecting Your ISM Documents, International Journal of Shipping Law, December 1998. 

Reinventing Sealift, U.S. Naval Institute Proceedings, December 1997. 

OPA’90—The Debate Continues, BIMCO Bulletin, April 1997. 

Seatrials Column, Journal of Commerce, (July, March, 1999; December, October, October, August, July, June, May, April, March, February, January 1998; 

November, October, September, August, July, June, May, April, February, January 1997). 

Transportation Law, Lloyd’s List, (December, September 1997). 

Reflagging Moratorium? An Idea Whose Time Can Wait, International Ship 

Registry Review, August 1993. 

Vessel Pollution Prevention and Response Considerations, Oil Pollution Act of 

1990, December 1990. 

Fatigue and Reduced Manning, Proceedings of the Marine Safety Council, August–September 1988. 

Chemical Drug Testing, Proceedings of the Marine Safety Council, October–November 1987. 

Coast Guard Merchant Vessel Manning, Society of Naval Architects and Marine 

Engineers, September 1987. 

16. Please identify each instance in which you have testified orally or in writing 

before Congress in a non-governmental capacity and specify the subject matter of 

each testimony: None. 

B. POTENTIAL CONFLICTS OF INTEREST

1. Describe all financial arrangements, deferred compensation agreements, and 

other continuing dealings with business associates, clients, or customers. 

401K Plan, Troutman Sanders LLP. 

401K Plan, Prince William County. 

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. 

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. 

Please refer to the Acting General Counsel’s opinion letter. 

25 

4. Describe any business relationship, dealing, or financial transaction which you 

have had during the last 5 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. 

As an attorney with Troutman Sanders LLP, I have provided legal services to the 

American Waterways Operators; the International Group of Protection and Indemnity Clubs, the International Association of Independent Tanker Owners, Nordisk, 

Cemex USA, and Chevron Shipping. None of the services provided involve or involved representation before the Maritime Administration. Pursuant to my Ethics 

Agreement, I have agreed to not have dealings with these entities for 1 year after 

my being sworn in as Administrator. 

5. Describe any activity during the past 5 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 am currently involved in the legal representation of the American Waterways 

Operators regarding the constitutionality of a Massachusetts law regulating shipping. As an elected official on behalf of Prince William County, I have lobbied the 

Virginia Congressional delegation for support for transportation, community development and related projects and programs. 

6. Explain how you will resolve any potential conflict of interest, including any 

that may be disclosed by your responses to the above items. 

Please refer to the Acting General Counsel’s opinion letter. 

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. 

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? 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? No. 

4. Have you ever been convicted (including pleas of guilty or nolo contendere) of 

any criminal violation other than a minor traffic offense? No. 

5. Please advise the Committee of any additional information, favorable or unfavorable, which you feel should be disclosed in connection with your nomination: 

None. 

6. Have you ever been accused, formally or informally, of sexual harassment or 

discrimination on the basis of sex, race, religion or any other basis? No. 

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. 

The CHAIRMAN. Next is Charles Nottingham who is nominated to 

be Member of the Surface Transportation Board and upon confirmation you would become the Chairman, so we welcome your 

statement. 

STATEMENT OF CHARLES D. NOTTINGHAM, NOMINEE TO BE A 

MEMBER OF THE SURFACE TRANSPORTATION BOARD 

Mr. NOTTINGHAM. Thank you Chairman Stevens and Co-Chairman Inouye. I am pleased to appear before this committee today 

as President Bush’s nominee to the Surface Transportation Board. 

26 

I would like to thank Senators Warner and Allen and Congressman Davis for their kind introductions. I have had the honor working with them for many years and I am grateful to have earned 

their support and trust. I would also like to thank former Secretary 

of Transportation Mineta and Acting Secretary Cino. I have worked 

closely with them and appreciate their support for my nomination. 

As former Secretary Mineta stated often, one of our Nation’s priorities must be to work relentlessly to prevent the transportation 

system in our country from turning into the choke point that restricts economic growth. Transportation infrastructure will require 

significant and continuous improvement in order to handle the anticipated growth of all types of traffic and to keep our economy 

moving. I believe that the decisions and policies of the STB can 

play a vital role in ensuring that our country rises to this congestion and infrastructure challenge. This is one of the reasons that 

I am excited about the prospect, if confirmed, of serving on the 

STB. 

The STB is an independent adjudicatory body and as such its 

Members must be impartial, fair and open-minded. If confirmed, I 

will give all of the issues that come before the STB full, fair and 

impartial consideration. I would not take office with any preconceived ideas about the outcome of any issue. I would consider 

each matter on the merits and endeavor to make the right decision 

based on the facts and the law. 

If confirmed, I will give all matters fair, impartial, careful and 

thoughtful consideration. 

In conclusion, I would like to emphasize that, if confirmed, I 

would continue to work closely with the Congress and all stakeholders. I’ve worked for the Congress and I have complete respect 

for the letter and spirit of the laws crafted by this institution. All 

Members of Congress can be certain that I will be accessible and 

responsive to them and their staffs. Similarly, the STB’s stakeholders can count on me to be accessible and open-minded. 

I am honored to be under consideration for this important job 

and by the prospect of continuing to serve our great Nation and all 

of its citizens who depend on our transportation network. 

Thank you for your consideration. I look forward to answering 

any questions you might have. 

[The prepared statement and biographical information of Mr. 

Nottingham follow:] 

PREPARED STATEMENT OF CHARLES D. NOTTINGHAM, NOMINEE TO BE A MEMBER OF

THE SURFACE TRANSPORTATION BOARD

Thank you Chairman Stevens and Co-Chairman Inouye. I am pleased to appear 

before this committee today as President Bush’s nominee to the Surface Transportation Board (STB). I appreciate the Committee’s willingness to schedule this hearing during a very busy time in the legislative season. 

I would like to thank Senators Warner and Allen and Congressman Davis for 

their kind introductions. I have had the honor of working with them for many years 

and am grateful to have earned their support and trust. I would also like to thank 

former Secretary of Transportation Mineta and Acting Secretary Cino. I have 

worked closely with them and appreciate their support for my nomination. My wife, 

Catherine, and sons Garner and Charles, are with me today and seated in the audience. 

I appear before this committee today as President Bush’s nominee to the STB. 

The President has indicated that, if I am confirmed, he would designate me as 

Chairman of the STB. The STB is an independent agency with significant adjudicaVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00030 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
27 

tive, regulatory and policymaking responsibilities. If confirmed, I will carry out 

these responsibilities in an impartial, fair, and effective manner. 

I have dedicated my career to public service. My first job in Washington, D.C., 

was serving as an intern in Senator Lautenberg’s office in the Summer of 1985. I 

recently had an opportunity to personally thank Senator Lautenberg for providing 

me with my first professional exposure to public service and for instilling in me an 

enduring and deep respect for Congress. My first job out of college was in the Justice Department’s Environment and Natural Resources Division where I served in 

the civil service as a paralegal in 1988 and 1989. 

After graduating from law school and being admitted to the Virginia Bar Association, I worked for Congressman Tom Davis as his Counsel and, eventually, as his 

Chief of Staff. I subsequently served as Chief of Staff to Congressman Bob Goodlatte. From 1998 to 2002, I served the Commonwealth of Virginia as the Assistant 

Secretary of Transportation and then as Commonwealth Transportation Commissioner—the Chief Executive Officer in charge of the Virginia Department of Transportation (VDOT). VDOT is the third largest state department of transportation in 

the Nation and employed approximately 10,500 people with an annual budget of 

$3.2 billion. As the Commissioner of VDOT from 1999–2002, I learned invaluable 

lessons on how to manage a large, complex organization. I also gained first-hand 

experience in tackling the transportation challenges that confront ports, shippers, 

railroads, farmers and commuters alike. 

Since 2002, I have served in the Federal Senior Executive Service as the Associate 

Administrator for Policy and Governmental Affairs at the Federal Highway Administration (FHWA). I worked closely with Congress in crafting the surface transportation reauthorization bill, SAFETEA–LU, which was enacted in August 2005. I 

have also worked closely with state, local and private stakeholders on advancing 

policies to address our Nation’s growing transportation congestion problem and infrastructure capacity needs. 

As former Secretary Mineta stated often, one of our Nation’s priorities must be 

to work relentlessly to prevent the transportation system in our country from turning into the choke point that restricts economic growth. Freight traffic of all kinds 

in the U.S.—whether on the rails, roads, seaways, or by air—is forecast to double 

in volume over the next 20 years. Our existing transportation infrastructure will require significant and continuous improvement in order to handle the anticipated 

growth of all types of traffic and to keep our economy moving. I believe that the 

decisions and policies of the STB can play a vital role in ensuring that our country 

rises to this congestion and infrastructure challenge. This is one of the reasons that 

I am excited about the prospect, if confirmed, of serving on the STB. 

The STB is an independent, adjudicatory body and, as such, its Members must 

be impartial, fair and open-minded. If confirmed, I will give all of the issues that 

come before the STB full, fair and impartial consideration. I would not take office 

with any preconceived ideas about the outcome of any issue. I would consider each 

matter on the merits and endeavor to make the right decision based on the facts 

and the law. If confirmed, I will give all matters fair, impartial, careful and thoughtful consideration. 

In conclusion, I would like to emphasize that, if confirmed, I would continue to 

work closely with the Congress and all stakeholders. I have worked for the Congress 

and have complete respect for the letter and spirit of the laws crafted by this institution. All Members of Congress can be certain that I will be accessible and responsive to them and their staffs. Similarly, the STB’s stakeholders can count on me to 

be accessible and open-minded. 

I am honored to be under consideration for this important job and by the prospect 

of continuing to serve our great Nation and all of its citizens who depend on our 

transportation network. Thank you for your consideration and I look forward to answering any questions you might have. 

A. BIOGRAPHICAL INFORMATION

1. Name (Include any former names or nicknames used): Charles Denmead Nottingham; ‘‘Chip’’. 

2. Position to which nominated: Member, Surface Transportation Board. 

3. Date of Nomination: June 5, 2006. 

4. Address (List current place of residence and office addresses): 

Residence: information not released to the public. 

28 

Office: U.S. Department of Transportation, Federal Highway Administration, 

Office of Policy and Governmental Affairs, Room 3317, 400 Seventh Street, SW, 

Washington, DC 20590. 

5. Date and Place of Birth: September 23, 1965; 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). 

Spouse: Catherine Casey Nottingham (not currently employed; full-time parent). 

Children: Garner Lewis Nottingham, age 9; Charles Southard Nottingham, age 

6. 

7. List all college and graduate degrees. Provide year and school attended. 

Bachelor of Arts, Wesleyan University (Middletown, CT), 1989. 

Juris Doctor, George Mason University School of Law, 1994. 

8. List all management-level jobs held and any non-managerial jobs that relate 

to the position for which you are nominated. 

Associate Administrator for Policy and Governmental Affairs, Federal Highway 

Administration (2002–present). 

Counsel, Committee on Government Reform, U.S. House of Representatives 

(2002). 

Commonwealth Transportation Commissioner and Vice Chairman of the Commonwealth Transportation Board (Richmond, VA, 1999–2002). 

Assistant Secretary of Transportation, Commonwealth of Virginia (1998–1999). 

Chief of Staff, Congressman Bob Goodlatte (VA–6, 1997–1998). 

Chief of Staff, Congressman Tom Davis (VA–11, 1996–1997). 

Counsel, Congressman Tom Davis (VA–11, 1995–1996). 

Legislative and Policy Consultant, American International Group, Inc. (Washington, D.C.), 1990–1991. 

Legal and Legislative Assistant, Powell Goldstein Frazer and Murphy (Washington, D.C.), 1989–1990. 

Paralegal, U.S. Department of Justice, Environment and Natural Resources Division (Washington, D.C.), 1988–1989. 

Intern, Office of Senator Frank Lautenberg (Washington, D.C.), May–August, 

1985. 

9. 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. 

10. 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. 

Uncompensated Trustee for the following two trusts created by my parents for the 

benefit of my two children: (1) Irrevocable Trust for Garner Lewis Nottingham (June 

1998 to the present); (2) Irrevocable Trust for Charles Southard Nottingham (November 2000 to the present). 

11. 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. 

Memberships: 

The University Club of Washington, D.C. (1990–present). 

Virginia Bar Association (2004–present). 

Fredericksburg (VA) Country Club (1998–present). 

Bay Head (NJ) Yacht Club (2004–present). 

Federalist Society for Law and Public Policy (1989–present). 

The Fredericksburg German (hosts of an annual dance) (2004–present). 

National Rifle Association (2004–present). 

Ducks Unlimited (1999–present). 

29 

Republican National Committee (2000–present). 

Darby Town Civic Association (neighborhood civic association in Fredericksburg, 

VA, 1996–2000). 

St. George’s Episcopal Church, Fredericksburg, VA (member, 1996–present; 

Head Usher, 2004–present). 

Friends of the Rappahannock (Fredericksburg area group dedicated to protecting the local river; 1997–2001). 

Fredericksburg City Republican Committee (active member, 1997–2001; inactive, 2002–present). 

Alexandria, VA City Republican Committee (1995–1997). 

Capitol Hill Club, Washington, D.C. (2002–present). 

Friends of the National Arboretum (2005, co-chair of annual clambake dinner 

fundraiser). 

Central Virginia Battlefields Trust (historic land preservation group, 1999– 

present). 

George Washington’s Ferry Farm Foundation (not-for-profit group dedicated to 

preserving Washington family properties in the Fredericksburg area; 1999– 

present).. 

12. Have you ever been a candidate for public office? No. 

13. 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. 

2006: Federal—(1) Republican National Committee, $250; (2) Friends of George 

Allen $500. 

State/local—none. 

[note: all references to state/local contributions refer to political campaigns and organizations in the Commonwealth of Virginia.] 

2005: Federal—(1) Friends of George Allen, $1,000; (2) Republican National 

Committee, $2,000; (3) Tom Davis for Congress, $500. 

State/local—(1) David B. Albo for Delegate, $500; (2) Jeff Frederick for Delegate, 

$500; (3) Kilgore for Governor, $6,250. 

2004: Federal—(1) Bill Manger for Congress, $500; (2) Friends of Frank Wolf, 

$1,000; (3) Thelma Drake for Congress, $1,000; (4) Bush-Cheney 2004, $2,000; 

(5) Bush-Cheney 2004 Compliance Committee, $1,000; (6) Republican National 

Committee, $1,000; (7) Tom Davis for Congress, $1,000; (8) Federal Victory 

Fund, $1,000. 

State/local—(1) Dominion leadership Trust PAC, $500. 

2003: Federal—(1) Republican National Committee, $2,000; (2) Jo Ann Davis for 

Congress, $500. 

State/local—(1) Thomas M. Bolvin for Delegate, $500; (2) Mychele B. Brickner 

for Chair, Fairfax County Board of Supervisors, $500; (3) Dominion Leadership 

Trust PAC, $500; (4) Christian Hoff for Delegate, $500; (5) Robert Stuber for 

Senate, $500; (6) Virginians for Jerry Kilgore, $500. 

2002: Federal—(1) Tom Young for Congress, $1,000; (2) National Republican 

Congressional Campaign Committee, $1,000; (3) Republican National Committee, $1,750; (4) Over the Hill PAC, $1,000. 

State/local—(1) George Allen’s Over the Hill Gang PAC, $1,000. 

2001: Federal—(1) Senator John Warner Committee, $2,000. 

State/local—(1) Earley for Governor, $1,000; (2) William J. Howell for Delegate, 

$1,000; (3) Kilgore for Attorney General, $500. 

2000: Federal—(1) Friends of George Allen, $1,000; (2) Tom Davis for Congress, 

$1,000; (3) Republican National Committee, $1,000. 

State/local: none. 

1999: Federal—(1) Tom Davis for Congress, $500. 

State/local—(1) New Majority Project PAC, $500; (2) Mel Sheridan for Senate, 

$500; (3) Jane H. Woods for Senate, $500. 

1998: None. 

1997: Federal—(1) Tom Davis for Congress, $500. 

State/local—(1) Gilmore for Governor, $525. 

1996: None. 

30 

14. List all scholarships, fellowships, honorary degrees, honorary society memberships, military medals and any other special recognition for outstanding service or 

achievements. 

U.S. Secretary of Transportation ‘‘Secretary’s Team Award,’’ November 10, 2005; 

in recognition of contribution to enactment of H.R. 3—Surface Transportation Reauthorization Act of 2005. 

15. Please list each book, article, column, or publication you have authored, individually or with others, and 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. 

Numerous informal, unpublished remarks to local, state, and interest group delegations interested in transportation policy. No published writings. 

16. Please identify each instance in which you have testified orally or in writing 

before Congress in a non-governmental capacity and specify the subject matter of 

each testimony: None. 

B. POTENTIAL CONFLICTS OF INTEREST

1. Describe all financial arrangements, deferred compensation agreements, and 

other continuing dealings with business associates, clients, or customers. 

While working for the Commonwealth of Virginia between 1998 and 2002, I participated in a state employee defined contribution plan managed by Great West Life 

and Annuity Insurance Company and invested in the State Street Global Advisors 

Standard and Poor’s 500 index fund. I accumulated approximately $35,000 in this 

account while working for the Commonwealth. When I resigned my position with 

the Commonwealth, I decided to maintain this account. No additional contributions 

have been made to the account since my departure from state government. The account’s value adjusts in accordance with the S&P 500. The account currently contains approximately $45,000 in stock assets. 

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. 

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. 

I anticipate no conflicts of interest if I am confirmed to be a Member of the STB. 

I have consulted with STB ethics counsel and confirmed that my stock ownership 

in AIG, Inc., an insurance and financial services company, is not likely to present 

any real or apparent conflict of interest because AIG is not involved in matters that 

come before the STB. In the unlikely event that AIG were to have financial interest 

in a matter before the STB, I would take appropriate action, based on the advice 

of STB ethics counsel, to avoid any real or apparent conflict of interest, including 

disqualifying myself from participating in the matter or seeking a waiver of the disqualification requirement. 

My wife is a partner in two real-estate development partnerships owned by 10 

members of her family (CC Casey Sons and CC Casey, LLC). The partnerships are 

dedicated to managing and developing partnership real estate in Williamsburg, VA. 

I am not involved in these partnerships, other than being married to my wife. In 

the unlikely event that either of the partnerships were to have financial interest in 

a matter before the STB, I would take appropriate action, based on the advice of 

STB ethics counsel, to avoid any real or apparent conflict of interest, including disqualifying myself from participating in the matter or seeking a waiver of the disqualification requirement. 

4. Describe any business relationship, dealing, or financial transaction which you 

have had during the last 5 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 5 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 and early 2002 I served as Commonwealth Transportation Commissioner 

for Virginia. In this capacity, I administered and executed state and Federal transportation and environmental laws and policies that were delegated to the Virginia 

Department of Transportation. 

Between June 2002 and the present, I have served the U.S. Department of Transportation as Associate Administrator for Policy and Governmental Affairs at the 

Federal Highway Administration. In this capacity, I helped draft the AdministraVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00034 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
31 

tion’s proposed reauthorization of the surface transportation programs. I represented the views of the Administration on surface transportation issues in numerous meetings with Members and staff in the Congress. I have also provided extensive legislative and policy technical assistance related to surface transportation 

(mostly highway) issues to numerous Congressional offices and staff. I work on a 

regular basis to ensure that FHWA is properly implementing and executing laws 

and policies. 

6. Explain how you will resolve any potential conflict of interest, including any 

that may be disclosed by your responses to the above items. 

I anticipate no potential conflicts of interest, based on consultation with STB ethics counsel. Also, both STB ethics counsel and the U.S. Office of Government Ethics 

have certified that my Public Financial Disclosure Report is in compliance with applicable laws and regulations governing conflicts of interest. Nevertheless, if a real 

or apparent conflict of interest were to arise or come to my attention, I would immediately consult with STB ethics counsel for advice on what action might be taken 

to avoid the conflict and then act on that advice. Actions available to me would include disqualifying myself from participating in the action involving the conflict, 

seeking a waiver of the disqualification requirement, if appropriate, or divesting the 

asset that gave rise to the 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? 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. 

Yes. In September, 1999 I received a citation from a Virginia Department of Game 

and Inland Fisheries officer while hunting dove (migratory bird) in Caroline County, 

Virginia on a private farm owned by a friend. The citation charged me with hunting 

without a shotgun ‘‘plug’’—a device installed in the chamber of a shotgun to restrict 

the number of shells that can be loaded into the gun. Under Virginia law, migratory 

bird hunters must restrict their shotguns’ ability to hold more than three shells. I 

had recently purchased a new shotgun and was told by the seller that it was properly equipped with a ‘‘plug.’’ At the time of the citation, I was participating in a lawful hunt, carried the required license, and was well-within the 12-bird limit for dove 

in Virginia. I appeared in Caroline County General District Court in October 1999, 

explained the facts and circumstances to District Judge Trible and denied knowingly 

or intentionally violating any law or regulation. The judge dismissed the charge 

without prejudice and without condition. I was represented in court by an eye witness and hunting companion on the day of the citation, Mr. Gordon Willis. He currently works as a judge in the Fredericksburg Circuit Court in Fredericksburg, VA. 

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? No. 

4. Have you ever been convicted (including pleas of guilty or nolo contendere) of 

any criminal violation other than a minor traffic offense? No. 

5. Please advise the Committee of any additional information, favorable or unfavorable, which you feel should be disclosed in connection with your nomination. 

I would like the Committee to know that I have dedicated my life to public service 

ever since graduating from law school in 1994. For the past 8 years I have dedicated 

myself to improving our Nation’s transportation infrastructure and to making the 

transportation sector more accountable to taxpayers. 

I was the youngest Chief Executive Officer in the 100-year history of the Virginia 

Department of Transportation (VDOT) when appointed in 1999 at the age of 33. In 

that capacity, I managed a staff of 10,500 employees and an annual budget of $3.2 

billion. VDOT operates the third largest highway system in the United States with 

more miles than the Nation’s entire Interstate system. I led a major organizational 

reform effort that focused on accountability, environmental stewardship, customer 

service, and transparency. 

As Assistant Secretary of Transportation for Virginia (1998–1999) I worked extensively on railroad, port and shipping issues of concern to the Port of Hampton 

Roads, the two Class I freight railroads who were then headquartered in Virginia, 

short-line railroads and the entire shipping community in Virginia. From 1999– 

2002, I also served as Vice Chair of the Virginia Commonwealth Transportation 

Board, a position that gave me exposure to issues relating to all modes of transportation. In this capacity, I worked extensively with local governments and shippers 

32 

interested in the administration of the Virginia Industrial Rail Access Grant Program. 

Prior to my state government experience, I served as Chief of Staff to Congressman Bob Goodlatte (VA–6) and Congressman Tom Davis (VA–11). My work for Congressman Goodlatte gave me extensive exposure to agricultural issues as his district 

is one of the most productive agricultural districts in the country. In this capacity, 

I spent extensive time in the Shenandoah Valley working with agricultural producers and short line and Class I freight railroads in an effort to improve access 

to markets for producers. My work for Congressman Tom Davis gave me extensive 

exposure to Federal civil service, government management and Federal procurement 

policy—experience that has served me well as a Senior Executive Service member 

and that would, if confirmed, be useful in my work as a Member of the STB. 

From 2002 to the present I have managed four offices, four Senior Executive Service managers and more than 80 employees at the Federal Highway Administration. 

In this capacity I have gained extensive knowledge of freight transportation issues, 

the importance of leveraging every mode of transport to meet freight growth trends 

and the overall importance of an accessible, safe and reliable freight transportation 

network. My work at FHWA also includes oversight and direction of Congressional 

relations activities. I have had the privilege of providing assistance to numerous 

Senate offices and have a deep respect for and understanding of the importance of 

providing prompt, objective, and professional response to Congress and all customers. Finally, throughout my career, beginning in my first full-time job working 

at the Justice Department, and including my focus on environmental law in graduate school, and in my subsequent career, I have developed significant experience 

in environmental law and policy—especially National Environmental Policy Act and 

Clean Air Act issues. If confirmed, I am confident that this experience would be put 

to good use at the STB. 

6. Have you ever been accused, formally or informally, of sexual harassment or 

discrimination on the basis of sex, race, religion or any other basis? No. 

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. 

The CHAIRMAN. Thank you very much. Mr. Sumwalt is next and 

Mr. Sumwalt has been nominated to be a Member of the National 

Transportation Safety Board. 

STATEMENT OF ROBERT L. SUMWALT III, NOMINEE TO BE A 

MEMBER OF THE NATIONAL TRANSPORTATION SAFETY 

BOARD 

Mr. SUMWALT. Thank you, Mr. Chairman, Mr. Co-Chairman and 

distinguished members of the Committee. I am honored to appear 

before you today as you consider confirmation of my nomination as 

a Member of the National Transportation Safety Board. 

I am grateful to President Bush for the confidence he has placed 

in me through this nomination, and if confirmed, I intend to work 

diligently to contribute to the Safety Board’s mission of preventing 

transportation accidents and maintaining the trust and confidence 

of the traveling public. 

I would like to thank Senator Jim DeMint from my home State 

of South Carolina for his kind introduction and support and Senator Allen, thank you sir for your comments. 

33 

Additionally, I would like to thank NTSB Board Members, both 

past and present for being here today to show their support for this 

nomination. 

Mr. Chairman, our nation’s transportation system is the lifeblood 

of our economy and our national well-being. It is therefore, vital 

that this Nation keep this complex system safe, healthy and dependable. And although our transportation generally performs very 

well, when transportation accidents do occur, it is imperative that 

we be able to reassure the American public that the government 

is conducting full, timely, honest, confident and unbiased investigations. The Board must act with a dispassionate eye, objectively formulating and making safety recommendations to government and 

industry that will prevent reoccurrence and then following up on 

those recommendations as necessary. And since 1967, the NTSB 

has fulfilled this role. 

The mission of the NTSB is very admirable. It is one that is dedicated to improving safety on our Nation’s waterways, railways, 

highways and airways, as well as ensuring safety of pipelines and 

transportation of hazardous materials. And through the tireless efforts of dedicated NTSB employees, many potential accidents have 

been prevented, lives saved and countless injuries were reduced. In 

addition, the Safety Board has an important role of assisting the 

families of aviation accidents. 

Clearly, the American public and the transportation community 

depend on the NTSB to fulfill its mission, not only in the wake of 

an accident, but by also being proactive through the Safety Board’s 

advocacy role, by conducting safety studies and making safety recommendations. If confirmed, I will undertake to support the Safety 

Board in all of its endeavors. 

Mr. Chairman, Senator DeMint outlined my qualifications, so I 

won’t go through that, but one thing that I would like to add is 

that I have accident investigation experience working through the 

auspices NTSB’s party system. I have investigated two air carrier 

accidents with the NTSB. Additionally, I have worked with the 

Transportation Safety Board of Canada as an observer in their investigation of the 1998 Swissair Flight 111 accident off the coast 

of Peggy’s Cove in Nova Scotia. Through these personal and professional experiences, I have developed an abiding respect for the 

work of the Board and its professional staff. 

Although I have a strong aviation safety background, I want to 

ensure you that if confirmed, I will not just limit my interest and 

attention to aviation safety. I feel strongly that the traveling public 

is entitled to and deserves safe transportation regardless of the 

transportation mode that they choose. 

I will also diligently work to ensure that the Safety Board maintains its well-earned status as the world’s preeminent transportation safety and accident investigation agency. 

Mr. Chairman, if confirmed, I look forward to the opportunity to 

work in a professional and collegial fashion with Acting Chairman 

Rosenker, with my fellow Board Members, with the dedicated 

NTSB staff and with this committee as we work together to enhance transportation safety. 

Thank you for your time and I look forward to answering your 

questions. 

34 

[The prepared statement and biographical information of Mr. 

Sumwalt follow:] 

PREPARED STATEMENT OF ROBERT L. SUMWALT III, NOMINEE TO BE A MEMBER OF

THE NATIONAL TRANSPORTATION SAFETY BOARD

Thank you, Mr. Chairman, Mr. Co-Chairman, distinguished members of the Committee. I am honored to appear before you today as you consider confirmation of my 

nomination as a Member of the National Transportation Safety Board. 

I am grateful to President Bush for the confidence he has placed in me through 

this nomination. If confirmed, I intend to work diligently to contribute to the Safety 

Board’s mission of preventing transportation accidents and maintaining the trust 

and confidence of the traveling public. 

I would also like to thank Senator Jim DeMint from my home State of South 

Carolina for his kind introduction and support. 

With your permission I would like to introduce my wife, Anne, and our daughter 

Mackenzie, age 12. 

Mr. Chairman, our Nation’s transportation system is the lifeblood of our economy 

and national well-being. Therefore, it is vital that this Nation keep this complex system safe, healthy and dependable. 

Although our transportation system generally performs very well, when transportation accidents do occur, it is imperative that we be able to reassure the American 

public that the government is conducting thorough, timely, honest, competent and 

unbiased investigations. The Board must act with an objective, dispassionate eye, 

formulating and making the recommendations to government and industry that will 

prevent recurrence and following up on the recommendations, as necessary. 

Since 1967, the NTSB has fulfilled this role. 

The mission of the NTSB is very admirable—one that is dedicated to improving 

safety on our Nation’s waterways, railways, highways and airways, as well as ensuring safety of pipelines and transportation of hazardous materials. Through the tireless efforts of dedicated NTSB employees, many potential accidents have been prevented, lives saved and countless injuries reduced. In addition, the Safety Board has 

an important role of assisting the families of victims of aviation accidents. 

Clearly, the American public and the transportation community depend on the 

NTSB to fulfill its mission, not only in the wake of an accident, but also to be 

proactive through the Safety Board’s advocacy role, by conducting safety studies and 

by making safety recommendations. If confirmed, I will undertake to support the 

Safety Board in all its endeavors. 

Mr. Chairman, my background includes a combination of experience in aviation 

management, accident and incident investigation, teaching human factors and its 

relationship to transportation safety, and actively working to create aviation safety 

programs. I am an active pilot and have been flying for over 32 years including 24 

years as a pilot for a major U.S.-based international air carrier. I currently manage 

the corporate flight department for a Fortune 500 company. 

Working through the auspices of the NTSB’s party system, I have worked with 

the Safety Board on two major air carrier accident investigations. I also participated 

as an observer with Transportation Safety Board of Canada in their investigation 

of the 1998 Swissair Flight 111 accident off the coast of Peggy’s Cove, Nova Scotia. 

Through these personal and professional experiences, I have developed an abiding 

respect for the work of the Board and its professional staff. 

Although I have a strong aviation safety background, I want to assure you that 

if confirmed, I will not limit my interests and attention to aviation. I believe the 

traveling public is entitled to and deserves safe transportation, regardless of the 

transportation mode they chose. 

I will also work diligently to ensure that the NTSB maintains its well-earned status as the world’s preeminent transportation safety and accident investigation agency. 

Mr. Chairman, if confirmed, I look forward to the opportunity to work in a professional and collegial fashion with Acting Chairman Rosenker, my fellow Board Members, the dedicated NTSB staff and this committee to enhance transportation safety. 

Thank you for your time and I look forward to answering your questions. 

A. BIOGRAPHICAL INFORMATION

1. Name (Include any former names or nicknames used): Robert Llewellyn 

Sumwalt III. 

2. Position to which nominated: Member, National Transportation Safety Board. 

35 

3. Date of Nomination: June 6, 2006. 

4. Address (List current place of residence and office addresses): 

Residence: information not released to the public. 

Office: SCANA Corporation, Aviation Department, 2695 Aviation Way, West Columbia, SC 29170. 

5. Date and Place of Birth: June 30, 1956; Columbia, SC. 

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). 

Anne Macdonald Sumwalt, Jewelry Designer, Self-employed, working from 

home, DBA Whimsy. 

Kaylyn Mackenzie Sumwalt, Age 11. 

7. List all college and graduate degrees. Provide year and school attended: Bachelor of Science, University of South Carolina, 1979. 

8. List all management-level jobs held and any non-managerial jobs that relate 

to the position for which you are nominated. 

SCANA Corporation, Manager of Aviation, November 2004–present (Managing 

corporate flight department for a Fortune 500 company). 

US Airways, Airline Pilot, February 1981–November 2004 (Assigned to Corporate Safety Department on temporary assignment, 1997–2004) 

9. 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. 

Air Line Pilots Association, International, Volunteer/advisory role; Chairman, 

Human Factors and Training Group; Member, Accident Investigation Board; Air 

Safety Representative, 1987–2004. 

University of Southern California Aviation Safety and Security Program, 

Human Factors Instructor, 2003–present. 

I have consulted on Aviation Safety matters for the following organizations: 

Pfizer Aviation Department (January 2006), 1001 Jack Stephan Way, West 

Trenton, NJ 08628. 

REACH Air Medical Services (November 2005), 451 Aviation Blvd., Suite 201, 

Santa Rosa, CA 95403. 

Merck Aviation Department (December 2002–January 2004), 100 Sam Weinroth 

Road, West Trenton, NJ 08625. 

ConocoPhillips (July 2003–October 2003), Global Aviation Services, George 

Bush International Airport, 16901 JFK Blvd., Houston, TX 77205. 

ConocoPhillips Alaska (April 2004–May 2005), Aviation Department, 6601 

South Airpark Place, Anchorage, AK 99502. 

Robbins, Kaplan, Miller & Ciresi, LLP (November 2002–December 2002), 2800 

LaSalle Plaza, 800 LaSalle Avenue, Minneapolis, MN 55402–2015. 

Andrews and Kurth, LLP (September 2001–May 2004), 600 Travis Street, Suite 

4200, Houston, TX 77002–3090. 

Dodd and Associates (June 2002–August 2003), 2008 Grandview Avenue, 

Gambrills, MD 21054–1730. 

TAME Airlines (June 2002), Avs.Amazonas 1354 Quito, Ecuador. 

The Klinect Group (June 2002–February 2003), LOSA Collaborative, P.O. Box 

684645, Austin, TX 78768. 

Air Methods (April 2004), Englewood, CO. 

Instituto Technologico de Aeronautica (October 2004), Sao Jose dos Compos, Sao 

Paolo, Brazil. 

DuPont Corporate Aviation Department (July 2003), Wilmington, DE. 

Bookspan (2001), Mechanicsburg, PA. 

I have written articles and received compensation for writing these articles from 

the following organizations: 

Queensmith Communications (May 1985–present), Professional Pilot Magazine, 

30 S. Quaker Lane, Suite 300, Alexandria, VA 22314. 

36 

Flight Safety Foundation (June 1994–August 2003), 601 Madison Street, Suite 

300, Alexandria, VA 22314. 

Members of Committees 

National Business Aviation Association (NBAA). Since January 2005 I have 

served on NBAA Safety Committee. 

Flight Safety Foundation (FSF). Since 1993 I have been a member of FSF ICARUS Committee. 

Air Line Pilots Association, Member, March 1982–January 2005; Chairman, 

Human Factors and Training Group (1998–2004); Member, Accident Investigation Board (2002–2004). 

Eastminster Presbyterian Church, USA, Member of Deaconate, 2001–2004. 

Federal Aviation Administration Aviation Safety Counselor, 2000–present. 

Southeastern Aviation Safety Roundtable, Member, 2005–present. 

10. 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 response to Question 9 lists all organizations that I have consulted for, or 

those that I have been a representative of during the past 5 years. Of those, there 

is only one that I was officially considered to be an officer and that organization 

is Eastminster Presbyterian Church, USA, (Columbia, SC); my officer role was Deacon. (2001–2004). 

11. 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. 

Note: None of these organizations restrict membership on the basis of sex, race, 

color, religion, national origin, age or handicap. 

Air Line Pilots Association, Member, March 1982–January 2005; Chairman, 

Human Factors and Training Group (1998–2004); Member, Accident Investigation Board (2002–2004). 

Aircraft Owners and Pilots Association, Member, October 2005–Present. 

Flight Safety Foundation Icarus Committee, Member, July 1993–Present. 

University of South Carolina Alumni Association, Member, Approximately 

1980–present. 

Forest Lake Club (Country Club), Member, 1981–present. 

Columbia Ball (Debutante Ball), Member, Approximately 1995–present. 

Cotillion Ball (Debutante Ball), Member, Approximately 2003–present. 

International Society of Air Safety Investigators, Affiliate Member, Approximately 1995–present. 

National Business Aviation Association, Member, 2002–2004; Member, NBAA 

Safety Committee, 2005–present. 

Eastminster Presbyterian Church, Member, 1995–present; Deacon, 2001–2004. 

Federal Aviation Administration, Aviation Safety Counselor, 2000–present. 

Southeastern Aviation Safety Roundtable, Member, 2005–present. 

National Speakers Association, Member, 2003–2004. 

Soaring Society of America, Member, 1998–2002. 

12. Have you ever been a candidate for public office? No. 

13. 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: Henry McMaster for S.C. Attorney General—$500—November 2005. 

14. List all scholarships, fellowships, honorary degrees, honorary society memberships, military medals and any other special recognition for outstanding service or 

achievements. 

Flight Safety Foundation Laura Taber Barbour Air Safety Award. 2003. This 

annual award was established in 1956. The award recognizes notable achievement in the field of aviation safety—civil or military—in method, design, invention, study or other improvements. The award’s recipient is selected for a ‘‘sigVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00040 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
37 

nificant or group effort contributing to improving aviation safety, with emphasis 

on original contributions,’’ and a ‘‘significant individual or group effort performed above and beyond normal responsibilities.’’ 

ALPA Air Safety Award. 2004. This award is the highest honor for an air safety 

representative of the Air Line Pilots Association. It is bestowed each year on 

a pilot who has made significant contributions to safety through volunteer service in the Association’s air safety structure. 

15. Please list each book, article, column, or publication you have authored, individually or with others, and 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. 

Sumwalt, R.L., and Boyer, R.D., ‘‘Applying Operational Risk Management in 

Corporate Flight Operations.’’ In Proceedings from the 51st annual Flight Safety 

Foundation/National Business Aviation Association Corporate Aviation Safety 

Seminar (CASS), May 9–11, 2006. Phoenix, AZ. 

Sumwalt, R.L., ‘‘Accident Analysis: Failure to Monitor Airspeed Leads to Loss 

of Control.’’ Professional Pilot Magazine. November 2005. 

Acceptance Speech for Receipt of ALPA Annual Air Safety Award. Air Line Pilots Association Air Safety Forum, August 18, 2005. 

Sumwalt. R.L., ‘‘Enhancing Flight-crew Monitoring Skills Can Increase Corporate Aviation Safety.’’ In Proceedings from the 49th annual Flight Safety 

Foundation/National Business Aviation Association Corporate Aviation Safety 

Seminar (CASS), April 27–29, 2004. Tucson, Arizona. 

Walters, J.M. and Sumwalt, R.L., ‘‘Accident Analysis: Aspen CFIT Accident.’’ 

Professional Pilot Magazine. October 2003. 

Sumwalt, R.L., ‘‘Airplane Upset Recovery Training: A Line Pilot’s Perspective.’’ 

Flight Safety Digest. July–August 2003. 

Sumwalt, R.L., Thomas, R.J., Dismukes, R.K. ‘‘The Last Line of Defense 

Against Aviation Accidents.’’ Viewpoint Editorial in Aviation Week and Space 

Technology. August 25, 2003. 

Sumwalt, R.L., ‘‘Cockpit Monitoring.’’ Professional Pilot Magazine. August 2003. 

Sumwalt, R.L., O’Neill, J. ‘‘Runway Changes: Managing the Threat.’’ Safety On 

Line. Spring 2003. 

Sumwalt, R.L., Thomas, R.J., Romeo, C., ‘‘Newly implemented Line Operations 

Safety Audit produces valuable data for air carrier.’’ ICAO Journal. Number 1, 

2003. Volume 58. 

Sumwalt, R.L. and Walters J.M., ‘‘Accident Analysis: Missing the Runway Completely.’’ Professional Pilot Magazine. January 2003. 

Sumwalt, R.L., ‘‘Setting the FCU Improperly Can Lead to an Unauthorized 

Open Descent.’’ Safety On Line. Winter 2003. 

Sumwalt, R.L., Thomas, R.J., Dismukes, R.K. ‘‘Enhancing Flight-crew Monitoring Skills Can Increase Flight Safety.’’ In Proceedings from the Joint Meeting 

of the 55th annual FSF International Air Safety Seminar (IASS), 32nd IFA 

International Conference. November 4–7, 2002. Dublin, Ireland. 

Sumwalt, R.L., ‘‘Aircraft Accident and Incident Investigation.’’ In The Standard 

Handbook for Aeronautical and Astronautical Engineers. McGraw Hill. 2002 

Sumwalt, R.L., ‘‘How to Set Up a LOSA—US Airways Experience.’’ Chapter 4 

in ICAO Line Operations Safety Audit (LOSA) Manual. ICAO Document 9803 

AN/761. First Edition—2002. 

Sumwalt, R.L. and Walters, J.M., ‘‘Accident Analysis: Lear 35A vanishes from 

radar near LEB.’’ Professional Pilot Magazine. June 2002. 

Sumwalt, R.L. and Thomas, R.J., ‘‘Findings from the US Airways Line Operations Safety Audit (LOSA).’’ Safety On Line. Spring 2002. 

Sumwalt, R.L. and Walters, J.M., ‘‘Accident Analysis: Falcon 900 overrun. 

Hyannis, MA. March 17, 2000.’’ Professional Pilot Magazine. April 2002. 

Sumwalt. R.L., ‘‘Error management gives pilots weapons against taxiway and 

runway problems.’’ Professional Pilot Magazine. January 2002. 

Sumwalt, R.L. and Walters, J.M., ‘‘Accident Analysis: Destabilized flare and 

hard landing lead to disaster.’’ Professional Pilot Magazine. November 2001. 

Sumwalt, R.L. and Walters, J.M., ‘‘Accident Analysis: Niner Mike is in trouble.’’ 

Professional Pilot Magazine. September 2001. 

38 

Sumwalt, R.L. and Walters, J.M., ‘‘Accident Analysis: Failure to monitor leveloff at MDA leads to CFIT accident.’’ Professional Pilot Magazine. April 2001. 

Sumwalt, R.L. and Walters, J.M., ‘‘Accident Analysis: Nothing good comes from 

an unstabilized approach.’’ Professional Pilot Magazine. March 2001. 

Walters, J.M. and Sumwalt, R.L., ‘‘Accident Analysis: Revisiting the steps that 

can lead to disaster,’’ Professional Pilot Magazine. December 2000. 

Walters, J.M. and Sumwalt, R.L., ‘‘Accident Analysis: On HOU to IAH, First 

Approach was Bad, Second was Fatal.’’ Professional Pilot Magazine. March 

2000. 

Walters, James M. and Sumwalt, Robert L., Aircraft Accident Analysis: Final 

Reports. McGraw Hill. 2000. (ISBN 0–07–135149–3) 

Sumwalt, R.L., Thomas, R.J., ‘‘Enhancing Safety Through Error Management.’’ 

In Proceedings from the Joint Meeting of the 52nd annual FSF International Air 

Safety Seminar (IASS), 29th IFA International Conference. November 8–11, 

1999. Rio de Janeiro, Brazil. 

Sumwalt, R.L., ‘‘Enhancing Flight-crew Monitoring Skills Can Increase Flight 

Safety.’’ Flight Safety Digest. March 1999. 

Sumwalt, R.L., ‘‘Enhancing Safety Though Error Management.’’ US Airways 

Safety On Line. March 1999. 

Sumwalt, R.L., ‘‘The Wrong Stuff: Troubled Cockpit Interpersonal Relations Can 

Affect Safety.’’ Professional Pilot Magazine. February 1999. 

Dismukes, K., Young, G., and Sumwalt, R.L., ‘‘Cockpit Interruptions and Distractions.’’ ASRS Directline. December 1998. 

Sumwalt, R.L., ‘‘Integrating Human Factors into Aircraft Accident Investigations.’’ ISASI Forum. June–August 1998. International Society of Air Safety Investigators. 

Sumwalt, R.L., ‘‘Closing the Gap on CFIT.’’ Professional Pilot Magazine. January 1998. 

Sumwalt, R.L. ‘‘Can You Throw Another Log on the Fire: Be Careful What You 

Say.’’ US Airways SAFETY ON LINE. December 1997. 

Sumwalt, R.L., Morrison, R.F, Watson, A. and Taube, E., ‘‘What ASRS Date Tell 

About Inadequate Flight Crew Monitoring.’’ In Proceedings of the Ninth International Symposium on Aviation Psychology, Columbus, Ohio. April, 1997. (This 

paper prepared under subcontract for NASA’s Aviation Safety Reporting System.) 

Sumwalt. R.L., ‘‘Avoiding the Fate of Icarus.’’ Air Line Pilot. April 1997. 

Sumwalt, R.L., ‘‘A Human Performance Evaluation: The Effects of Airport Curfews on Flight Crew Performance.’’ Air Line Pilot. March 1997. 

Sumwalt, R.L., ‘‘Finding Fault.’’ Professional Pilot Magazine. February 1997. 

Sumwalt, R.L., ‘‘Aircraft Malfunctions Require Crew Coordination.’’ Professional 

Pilot Magazine. January 1996. 

Sumwalt, R.L., ‘‘Altitude Awareness Programs Can Reduce Altitude Deviations.’’ Flight Safety Digest. December 1995. 

Sumwalt, R.L., ‘‘ASRS Incident Data Reveal Details of Flight-crew Performance 

During Aircraft Malfunctions.’’ Flight Safety Digest. October, 1995. 

Sumwalt, R.L., ‘‘The Quest for Aviation Safety’s Holy Grail: Finding Underlying 

Causes of Accidents and Incidents or, If You Really Want to Improve Aviation 

Safety, You Must First Identify Systemic Problems.’’ In Proceedings of Workshop on Accident and Incident Human Factors. FAA, June 1995. 

Mancuso, V., Sumwalt, R.L., ‘‘Human Factors Evaluation: Runway Collision Between TWA Flight 427 and Superior Aviation Cessna 441, STL Airport, November 22. 1994.’’ Airline Pilots Association, May 1995. 

Sumwalt, R.L., ‘‘Coping with Tiredness—Fatigue Part 2.’’ Professional Pilot 

Magazine. May 1995. 

Sumwalt, R.L., ‘‘Flying Alert—Fatigue, Part 1.’’ Professional Pilot Magazine. 

April 1995. 

Sumwalt, R.L., Watson, A. ‘‘What ASRS Incident Data Tell About Flight Crew 

Performance During Aircraft Malfunctions.’’ In Proceedings of the Eighth International Symposium on Aviation Psychology, Columbus, Ohio. April 1995.) (This 

paper prepared under subcontract for NASA’s Aviation Safety Reporting System.) 

39 

Sumwalt, R.L., Cox, J.M. ‘‘Aircraft Incident Report. Controlled Flight Into Terrain: American West Flight 754, DFW Airport, December 8, 1993.’’ Air Line Pilots Association. September 1994. 

Sumwalt. R.L., Accident and Incident Reports Show Importance of ‘‘Sterile 

Cockpit Compliance,’’ Flight Safety Digest. July 1994. 

Sumwalt, R.L., ‘‘Crew Resource Management for All Operators.’’ ASRS Callback. July 1994. (This paper prepared under subcontract for NASA’s Aviation 

Safety Reporting System.) 

Sumwalt. R.L., ‘‘There’s No Such Thing as a Little Ice.’’ Professional Pilot Magazine. January 1994. 

Sumwalt, R.L., ‘‘Watch Your Altitude.’’ ASRS Callback. December 1993. (This 

paper prepared under subcontract for NASA’s Aviation Safety Reporting System.) 

Sumwalt, R.L., ‘‘Incident Reports Highlight Problems Involving Air Carrier 

Ground Deicing/Anti-icing.’’ Flight Safety Foundation Airport Operations. September/October 1993. 

Sumwalt, R.L., ‘‘The Sterile Cockpit.’’ ASRS Directline. June 1993. (This paper 

prepared under subcontract for NASA’a Aviation Safety Reporting System.) 

Sumwalt, R.L., ‘‘Aircraft Ground Deicing Problems: Recommendations from 

Analysis of ASRS Incident Data.’’ In Proceedings of SAE Aircraft Ground Deicing Conference, Salt Lake City, Utah, June 1993. 

Sumwalt, R.L., ‘‘ASRS Problems Involving Air Carrier Ground Deicing/Antiicing.’’ In Proceedings of the Seventh International Symposium on Aviation Psychology, Columbus, Ohio. April 1993. (This paper prepared under subcontract 

for NASA’s Aviation Safety Reporting System.) 

Sumwalt, R.L., ‘‘Ground Deicing Problems in Air Carrier Operations.’’ ASRS 

Callback. February 1993. (This paper prepared under subcontract for NASA’s 

Aviation Safety Reporting System.) 

Sumwalt, R.L., ‘‘Rejected Take-off Considerations for Fokker 100 and F28.’’ 

Fokker Aircraft Wingtips. December 1992. 

Sumwalt, R.L., ‘‘Preventing Pilot-caused Runway Incursions.’’ Professional Pilot 

Magazine. December 1992. 

Sumwalt, R.L., ‘‘Accident Investigation School Teaches How to Find Probable 

Cause.’’ An inside look at the NTSB’s accident investigation school. Professional 

Pilot Magazine. October 1992. 

Sumwalt, R.L., ‘‘Leadership on the Flightdeck Reflects Training.’’ Professional 

Pilot Magazine. June 1992. 

Sumwalt, R.L., ‘‘Taxi!’’ ASRS Directline. Summer 1992. (This paper prepared 

under subcontract for NASA’s Aviation Safety Reporting System.) 

Sumwalt, R.L., ‘‘NTSB’s John Lauber Digs for Probable Cause.’’ Professional 

Pilot Magazine. January 1992. 

Sumwalt, R.L., ‘‘Weather or Not to Go.’’ Professional Pilot Magazine. January 

1992. 

Sumwalt, R.L., ‘‘Be Prepared to Abort: Rejected Takeoffs, Part Two.’’ Professional Pilot Magazine. December 1991. 

Sumwalt, R.L., ‘‘Rejected Takeoffs. Part One.’’ Professional Pilot Magazine. November 1991. 

Sumwalt, R.L., ‘‘The Importance of Proper Aviation Weather Dissemination to 

Pilots: An Airline Captain’s Perspective.’’ In Proceedings of the Fourth International Symposium on Aviation Weather Systems, Paris, France. June 1991. 

Sumwalt, R.L., ‘‘Eliminating Pilot-Caused Altitude Deviations: A Human Factors Approach.’’ In Proceedings of the Sixth International Symposium on Aviation Psychology, Columbus, OH. May 1991. 

Sumwalt, R.L., ‘‘Checking the Checklist.’’ Professional Pilot Magazine. March 

1991. 

Sumwalt, R.L. ‘‘Altitude Callouts: Who, When and Why.’’ Airwaves. February 

1991. 

Schwab, A., Sumwalt, R.L., The Terminal Checklist Book. Queensmith Publications, December 1990. 

Sumwalt, R.L., ‘‘Flightcrew Interactions.’’ Professional Pilot Magazine. November 1990. Sumwalt, R.L. ‘‘Altitude Awareness.’’ Professional Pilot Magazine. 

September 1990. 

40 

Sumwalt, R.L., ‘‘Gulfstream 4 Phase 2 Flightcheck.’’ Professional Pilot Magazine. February 1990. 

Sumwalt, R.L., ‘‘Piaggio P180 Avanti Flightcheck.’’ Professional Pilot Magazine. 

July 1989. 

Sumwalt, R.L., ‘‘Slippery When Wet.’’ Professional Pilot Magazine. March 1989. 

Sumwalt, R.L., ‘‘Stop! More Efficiently.’’ Professional Pilot Magazine. September 

1988. 

Sumwalt, R.L., ‘‘The Cat’s Eye (FLIR Technology to Enhance Instrument Landings).’’ Professional Pilot Magazine. September 1988. 

Sumwalt, R.L., ‘‘Fokker 50 Flightcheck.’’ Professional Pilot Magazine. August 

1988. 

Sumwalt, R.L., ‘‘Advanced Avionics: The New Generation.’’ Professional Pilot 

Magazine. May 1988. 

Sumwalt, R.L., ‘‘Fokker 100 Flightcheck.’’ Professional Pilot Magazine. March 

1988. 

Sumwalt, R.L., ‘‘Cockpit Resource Management.’’ Professional Pilot Magazine. 

December 1987. 

Sumwalt, R.L., ‘‘Category 3 Operations.’’ Piedmont Airlines B737 Flight Crew 

Training Manual. September 1987. 

Sumwalt, R.L., ‘‘TCAS Growing Pains.’’ Professional Pilot Magazine. April 1987. 

Sumwalt, R.L., ‘‘Improving Stopping Efficiency.’’ Piedmont Airlines Operations 

Update. December 1986. 

Sumwalt, R.L., ‘‘Improving Pilot Interpretation of Airborne Weather Radar.’’ 

Professional Pilot Magazine. June 1986. 

Sumwalt, R.L., ‘‘F28 Flightcheck,’’ Professional Pilot Magazine. March 1986. 

Sumwalt, R.L., ‘‘Low Visibility Operations,’’ Professional Pilot Magazine. February, 1986. 

Sumwalt, R.L., ‘‘Deadly Persuader: Low Altitude Windshear.’’ Professional Pilot 

Magazine. October 1985. 

Sumwalt, R.L., ‘‘Fuel Management Guide for Pilots.’’ Piedmont Airlines Route 

Manual. August 1985. 

Sumwalt, R.L., ‘‘Flying By the Book.’’ Professional Pilot Magazine. May 1985. 

Sumwalt, R.L., ‘‘Descent Techniques for Fuel Efficiency.’’ Piedmont Airlines Operations Update. Piedmont Airlines. March 1985. 

Sumwalt, R.L., ‘‘Fuel Conservation.’’ Piedmont Airlines Operations Update. December 1984. 

16. Please identify each instance in which you have testified orally or in writing 

before Congress in a non-governmental capacity and specify the subject matter of 

each testimony: None. 

B. POTENTIAL CONFLICTS OF INTEREST

1. Describe all financial arrangements, deferred compensation agreements, and 

other continuing dealings with business associates, clients, or customers. 

I retired from US Airways and am the recipient of a pension that is based upon 

service with US Airways. However, with US Airways’ bankruptcy, the pension is 

handled through the Pension Benefits Guaranty Corporation and, as such, is no 

longer contingent upon US Airways. The Ethics Agreement that I have entered into 

with the NTSB Ethics Official contains a provision that is designed to avoid any 

appearance of conflict in cases before the Board in which US Airways is or represents a party. 

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. My Ethics Agreement stipulates that I will resign my positions with the entities with which I have an active, on-going position or involvement. 

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. 

I currently own stock in Exxon Mobile Corporation and SCANA Corporation. The 

NTSB’s Designated Agency Ethics Officer (DAEO) has advised me that these financial holdings could create the potential for a conflict of interest for me in my capacity as a Member of the NTSB, should I be confirmed. Therefore, in accordance with 

41 

NTSB DAEO’s direction and advice, my Ethics Agreement states, ‘‘. . . I understand that, should I be confirmed as a Member of the NTSB, within a reasonable 

period of time thereafter, in order to perform the duties of Board Member and avoid 

conflicts under 18 U.S.C. § 208, I will be required to divest these financial interests.’’ 

Currently I have funds in my employer’s (SCANA Corporation) 401(k) program. 

My SF278, ‘‘Executive Branch Personnel Public Financial Disclosure Report,’’ Schedule C, Part II, dated June 6, 2006 states: ‘‘Pursuant to employment contract, [I] will 

be able to leave investments in the 401(k) program of SCANA. I will not be able 

to continue investing in the fund and SCANA will make no contributions to the fund 

subsequent to my resignation from the company.’’ 

4. Describe any business relationship, dealing, or financial transaction which you 

have had during the last 5 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. 

My Ethics Agreement points out that I am I am retired from US Airways, for 

whom I served as an airline pilot for approximately 24 years. The retirement/pension to which I should have been entitled is now provided and handled under the 

auspices of the Pension Benefit Guaranty Corporation, a governmental agency. I 

have no financial interest in US Airways. However, with regard to the sensitivities 

of what might be perceived as a relationship with this former employer, the NTSB’s 

Designated Agency Ethics Officer (DAEO) has advised me, and I have agreed that 

if confirmed to this position, I will not participate in any particular matter that 

comes before the Board involving specific parties in which US Airways, or any wholly owned subsidiary of US Airways, is or represents a party unless authorization 

to participate is granted in accordance with the procedures set forth at 5 CFR 

§ 2635.502. 

My Ethics Agreement further states that should I be confirmed to this position, 

prior to commencing my duties as a Member of the NTSB. I will resign my positions 

with the entities with which I have an active, on-going position or involvement. Further, pursuant to 5 CFR § 2635.502, I will not participate in any particular matter 

involving specific parties in which any of these entities is or represents a party for 

a period of 1 year after my resignation from the entity unless authorization to participate is granted in accordance with procedures set forth at 5 CFR § 2635.502. 

5. Describe any activity during the past 5 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: None. 

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 accordance with my EA, I have agreed to recuse myself in circumstances that 

would be a conflict of interest and to seek advice in those situations in which there 

was an appearance of a 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? 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? 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? No. 

4. Have you ever been convicted (including pleas of guilty or nolo contendere) of 

any criminal violation other than a minor traffic offense? No. 

5. Please advise the Committee of any additional information, favorable or unfavorable, which you feel should be disclosed in connection with your nomination. 

There is nothing unfavorable. 

As far as favorable information, I would like the Committee to know that I have 

a longstanding commitment to and passion for improving aviation safety. I will work 

very diligently to use my knowledge, skills and experience to help improve safety 

in all modes of transportation safety. My work ethic is unsurpassed. Below is a summary of my credentials. 

• Strong background with aircraft accident investigation, including serving as a 

party member of accident investigations with NTSB and Transportation Safety 

Board of Canada. 

• Co-authored book on aircraft accidents. This book is used as a textbook for all 

accident investigation courses taught by Embry Riddle Aeronautical University. 

42 

• Published over 85 articles on aircraft accident investigation, aviation human 

factors, cockpit procedures issues and aviation safety program development. 

• Currently teach human factors in the University of Southern California’s Aviation Safety and Security Program. 

• Recipient of two prestigious air safety awards: Flight Safety Foundation Laura 

Taber Barbour Air Safety Award (2003) and ALPA Air Safety Award (2004). 

• Served as an airline pilot for 24 years with US Airways. 

• Currently manage the aviation department for a Fortune 500 company. 

• Served on Air Line Pilots Association (ALPA) Accident Investigation Board. 

• Served as Chairman of Human Factors and Training Group of ALPA. 

• Strong writing, public speaking and interpersonal skills. 

• Team player and consensus builder. 

6. Have you ever been accused, formally or informally, of sexual harassment or 

discrimination on the basis of sex, race, religion or any other basis? No. 

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. 

The CHAIRMAN. Thank you very much Mr. Sumwalt. First, Senator Lott has not commented. Go ahead Senator Lott. 

STATEMENT OF HON. TRENT LOTT, 

U.S. SENATOR FROM MISSISSIPPI 

Senator LOTT. Thank you Mr. Chairman. I just wanted to come 

and express my appreciation for this group of nominees. It is an 

outstanding group. You may not have been nominated to be Cabinet Secretaries yet, but you are all nominated for very important 

assignments. I am familiar with the background of several of you, 

and I think you are really a well-qualified group. 

I do want to thank Mr. Nottingham for his help in the aftermath 

of Hurricane Katrina. We did have occasion to seek his assistance 

with some of our issues there along the Gulf Coast. You were very 

helpful and we appreciate that. 

I am glad to see us putting some local elected officials in some 

of these positions. I think it will serve us all well. I do want to emphasize that you all have these important assignments. I am very 

concerned about Maritime Administration and the strength of our 

maritime industry. We have some problems we are facing right 

now. I want to make sure the Administration understands and appreciates the need for the Jones Act, and so I’m counting on you 

Mr. Connaughton, to work with us to make sure we do the right 

thing for the maritime industry. 

And also, Mr. Nottingham, let me just say that I have a lot of 

interest in surface transportation and railroads. We have an opportunity here to improve service, expand capacity, better serve the 

economy, and prepare for the future. I am counting on you to provide fair and strong leadership as we move in that direction. 

43 

So congratulations to all of you. I certainly will support your 

nominations and I hope we can move them before the August recess. Thank you, Mr. Chairman. 

The CHAIRMAN. Thank you very much. Let me first start with 

comments and questions for Mr. Sumwalt. 

Three of the saddest days of my life involve briefings from your 

agency. One was an airplane that I barely missed getting on and 

it crashed, and with many of my friends on board and I was briefed 

on what happened to that airplane. 

The second was when I survived the crash and five people including my wife were killed and they came and told me what had happened. 

And the third was when the Alaska Airlines coming out of Mexico went into an inverted spin and crashed carrying a whole series 

of people that I had grown up with. Your Board has more contact 

I think with the people than you realize, and we all when we are 

exposed to circumstances like that want to know what happened. 

So, I want to ask you a couple of sort of preventive questions. I’m 

sure you know that the recent reduction in our accident rate in 

Alaska has been dramatic; brought about by the Medallion program and the programs that we put into effect to have continuing 

education for pilots and to continue the utilization of new technology. Have you ever been in Alaska? 

Mr. SUMWALT. Yes, sir I have had the pleasure to make three 

visits; twice in 2004 to work with a large corporation as a consultant for them in Alaska. I was there to work with their company 

to help them with some aviation safety issues and—yes, sir? 

The CHAIRMAN. Did you travel around the state? Are you familiar with some of the problems we face with 70 percent of our cities 

reached only by air, and the problems of mixing cargo and passengers and trying to keep planes flying long after they are utilized 

in other parts of the country, if not the world? 

Mr. SUMWALT. Yes, sir I have a folder about 1 inch thick in my 

briefcase about aviation safety issues in Alaska, and I read all of 

the proceedings from the field committee hearing that you held on 

July 5. I have tried to familiarize myself with those issues. I am 

very familiar with the Medallion Foundation. I know Jerry Dennis 

and several of the staff there, and I am very happy with what they 

have been able to do. 

The CHAIRMAN. Well, you come very highly recommended by Senator DeMint, and I have looked into your own record personally because I have such an extreme interest in your Board and I welcome 

you and look forward in assisting you in terms of your confirmation. 

Mr. SUMWALT. Thank you, sir. 

The CHAIRMAN. Admiral, just one question for you. I am sure you 

are familiar with this. The report of the National Academies entitled ‘‘Rising Above the Gathering Storm? ’’ 

Admiral COHEN. Yes, sir. 

The CHAIRMAN. I, and this committee, have been very much involved with that and the indication that the unintended consequence of our handling graduate students from our universities 

so that once they are getting their education, they are going elsewhere, particularly to China and India, and really the failure of 

44 

many institutions to recognize the challenges that they face. Do 

you feel in your work as Under Secretary of Homeland Security you 

can have an impact on the problems outlined by that report? 

Admiral COHEN. Absolutely, Mr. Chairman. First of all, I would 

like to compliment you. I learned from your staff of your extensive 

efforts in mentoring people on your staff over many years, and I 

think mentoring is absolutely the most effective, if not the most efficient way to help turn this around. But in my personal view, we 

are in a crisis in this country in science and technology. Young students in the middle schools are turning away from math and 

science. You have already indicated a problem with graduate and 

post-graduate degrees in students. We grew up with Mr. Wizard 

and each of us can remember a teacher that changed our lives in 

math and science, made it fun, made it challenging. I think a current statistic is as many as 80 percent of high school math and 

science teachers today, although good teachers, have not been specifically trained in math and science. This goes to not only our national security, but our economic well-being, the economic and innovation engine that powers our economy. You know some of the 

things, as does Co-Chairman Inouye, that I did naval research with 

summer interns, bringing them into our government laboratories, 

exposing them to scientists and engineers for rising juniors, seniors 

and graduate students, and if confirmed, I can tell you that in the 

long-term, the dedicated research component of my portfolio, I will 

be personally involved with this and I salute you for bringing this 

to everyone’s attention, sir. 

The CHAIRMAN. Thank you and thank you once again for bringing these distinguished ladies to our committee hearing today. 

Mr. Weinecke, NOAA has a substantial impact on the offshore 

states that the Co-Chairman and I represent, and we are disturbed 

by the fact that there hasn’t been a real articulate advocate for 

NOAA and NOAA continues to get cuts as the budget goes through 

the Office of Management and Budget. Can you tell us that you are 

going to take that role of advocating NOAA for the future? 

Mr. WEINECKE. Mr. Chairman, I can tell you that I will absolutely be an advocate for your voice and the Members of this committee on the Hill and within the Department of Commerce for 

NOAA; it is an incredibly important part of our mission and is over 

60 percent of our budget. At the Department it is—the resources 

that they bring to bear for your constituents and the entire country 

are critical and I commit to do that. 

The CHAIRMAN. Well, we’ve lost the leadership of an old friend. 

Senator Hollings was our expert in the oceans for many years and 

he was very articulate. He really wanted NOAA to become an independent agency, and we didn’t cooperate with him on that, but I 

am coming close to saying he was right, and unless something is 

done down there at the Department of Commerce that puts the emphasis on NOAA it should have, I intend during the next Administration to try and make it an independent agency. You’ve got a couple years to convince us that that agency has a spokesman and advocacy that it needs. 

Sean Connaughton, I don’t have any questions for you either, but 

I do think you have a terrific job ahead of you to improve the competitiveness of U.S. Maritime industry, and I hope you are preVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00048 Fmt 6633 Sfmt 6601 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
45 

pared to come before the Committee and give us some ideas and 

new plans for the improvements of the maritime ship disposal program. We look forward to hearing from you following your confirmation. 

Mr. Nottingham, I hope you listened to Senator Lott. He probably is our leader here in the total concept of surface transportation, and I do think we have one great issue and that is the use 

of arbitration to settle rate disputes. I think this committee ought 

to go into that subject. We will seek your views on the use of arbitration and rate disputes in the future. 

Thank you very much. 

Senator Inouye. 

Senator INOUYE. Thank you very much. Admiral Cohen, I am 

certainly aware that the Congress has been a bit disappointed with 

the performance of the Science and Technology directorate. There 

is no integrative research planned with performance measures. 

What actions do you intend to take to improve the directorate? 

Admiral COHEN. Well, Co-Chairman Inouye, I know your personal interest in science and technology as an incubator of innovation and how important that is, not only for Hawaii, but also for 

the free world. I have had a chance to review the Fiscal Year 2007 

Senate appropriations language which is very stern and very direct. There is much to be done. I truncated my introductory remarks. I could probably take the rest of your afternoon here describing what needs to be done, but I am not yet associated with 

the Department of Homeland Security. I’ve not been in the consultant role. All I can say to you sir, is that over the five plus years 

that I was at the Office of Naval Research, I encountered many of 

the same kinds of problems even though Office of Naval Research 

was very mature and a very effective organization, it was not customer or output-oriented. It was more provider and input-oriented 

and in today’s world, time to market, time to delivery, customer 

focus for the front line whether they’re local, state, tribal, or first 

responders under the auspices of the Department of Homeland Security, they must have near-term enhancements as well as longterm leap ahead improvements and capability. 

And so, if confirmed, I will bring the same management approach 

and leadership approach and hands-on personal involvement that 

you saw at the Office of Naval Research to get our budget process 

right, get our requirements process right, get our balance between 

long-term research and near-term enhancements and deliverables 

right with full disclosure to the Congress. And it’s a big job, and 

Senator I know frequently you hear that when individuals leave 

government, they say its to spend more time with their family, but 

my lovely wife, Nancy, reminded me that coming back in the government, it was to spend less time with my family, and so it’s a 

great challenge and I look forward to it sir, if confirmed. 

Senator INOUYE. Well, Admiral, we look forward to working with 

you, sir. Since time is of the essence here, may I now go to Mr. 

Connaughton. 

We have this cargo preference requirement. How will you 

strengthen compliance, and oversight of that? 

Mr. CONNAUGHTON. Thank you very much for the question, Senator Inouye. Obviously, one of the responsibilities of the Maritime 

46 

Administration is to help enforce the cargo preference laws of the 

United States. I am generally familiar with these laws. I’ve been 

briefed from members of the Maritime Administration regarding 

how they currently do that type of enforcement. If I am confirmed, 

I will make sure that we enforce those laws and that we’ll end up 

with a system that is transparent and that people know what the 

requirements are and that those requirements are followed in accordance with the law, sir. 

Senator INOUYE. Am I correct to assume that you support the intent and purpose of the Jones Act? 

Mr. CONNAUGHTON. Mr. Co-Chairman, I will tell you that the Administration strongly supports the Jones Act and I strongly support 

the Jones Act as well, sir. 

Senator INOUYE. In your testimony you mentioned that you hope 

to bring the U.S. flag fleet back to the predominant role it once 

had. How do you plan to do that? 

Mr. CONNAUGHTON. Mr. Co-Chairman, I appreciate that question 

very much and if I am confirmed, I will work very closely with 

yourself, with this committee and other Members of Congress and 

the industry to work together cooperatively, to develop a shared vision about where we want to see the maritime industry, and the 

marine transportation system in the future. I recognize this is a 

very, very tall order, and one of the things, if I am confirmed, I will 

focus on immediately is meeting with industry leaders, meeting 

with Members of Congress and staffs and within the Administration to help develop a long-term plan on how we make the U.S. industry more competitive and how we make sure that it fits in within the long-term strategic goals and plans of the Department of 

Transportation. 

Senator INOUYE. Thank you very much Mr. Weinecke. As a member of an island state, I am naturally concerned about the mission 

of NOAA, and I concur fully with Chairman Stevens’ view on 

NOAA. Do you believe that NOAA is very important? 

Mr. WEINECKE. Mr. Co-Chairman, NOAA is a critical and integral part of the Department. One of my primary focuses over the 

last year has been the re-authorization of the Magnuson-Stevens 

Act and the NOAA Organic Act, the National Offshore Aquaculture 

Bill, the Marine Mammal Protection Act. The Department of Commerce and the Administration is absolutely committed to these. 

They will strengthen NOAA, make it a better place and more effective and you have my commitment to work with you hand-in-hand 

to pass these critical pieces of legislation. 

Senator INOUYE. Thank you very much. I wish to commend all 

of you for coming forward to serve our Nation, and I can assure you 

that this committee will help you in your work. Congratulations on 

your nominations. 

The CHAIRMAN. Thank you Senator. 

Senator BURNS. 

STATEMENT OF HON. CONRAD BURNS, 

U.S. SENATOR FROM, MONTANA 

Senator BURNS. Thank you Mr. Chairman. I have one question, 

and that is of Mr. Nottingham and I have some other questions, 

but I will forward them along later. Previous nominees, Mr. NotVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00050 Fmt 6633 Sfmt 6601 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
47 

tingham, have sat right in that same chair that you’re sitting in 

right now and promised this committee they’d get the small rate 

case procedure in place on the Surface Transportation Board and 

it has yet to come. They made those commitments about transparency and improved procedures, enhanced competition and a 

whole host of promises. You tell me why you’re going to be any different than the ones that preceded you? 

Mr. NOTTINGHAM. Thank you for the question, and thank you for 

the time you’ve given me personally in your office to better understand the challenges that confront your great state, Montana and 

for introducing me to some of your constituents from the grain and 

wheat industries. And your staff has helped educate me on many 

of your concerns as well. I can’t speak for former nominees. I can 

only tell you who I am and what experience and commitments I 

bring forward if confirmed to the STB. I am dedicated to making 

government work better for the people. I’ve done that. It’s not just 

a slogan. I’ve done it in Virginia when I ran one of the largest and 

most complex State agencies there and delivered over 100 management reforms tackling problems that people had complained about 

for decades, and I’ve done it throughout my career working back 

on the Government Committee on the House side and with Congressman Davis trying to resolve problems. 

And I will, if confirmed, pledge to you to work closely with you 

and your staff and your people and tackle the issues, get in there 

and really learn the details of the challenges. I am concerned about 

the time it seems to take and the cost that it seems to take to pursue a claim before the STB. I have heard loud and clear from 

stakeholders that it has a somewhat a chilling effect on conflict resolution which is one of the missions of the STB, and I am committed to getting in there, if confirmed, and identifying those problems and tackling them. And if we can’t tackle them administratively there, to bring ideas and recommendations forward to work 

with Congress to make sure they get addressed. 

Senator BURNS. Well I thank you and I thank you for meeting 

with some of the people of my constituents and I would appreciate 

that. There is no doubt in my mind that you’re not going to be confirmed. You can rest easy on that. That’s the only question I have 

as time is of the essence, and I have another—but I too want to 

echo the words of my good friend from Hawaii. I thank you for 

stepping forward, all of you to serve your Nation. It is great that 

we still have people that put the Nation’s interest and the citizens 

of the United States before themselves and serve this great country 

with great talent and intelligence and with great integrity, and so 

we appreciate every one of you stepping forward and doing that. 

And Mr. Chairman, thank you very much. 

The CHAIRMAN. Thank you very much. Let me tell all of you 

nominees that there have been questions filed from both sides of 

the aisle which we would ask you to respond to. If we can get the 

responses quickly, we will try to have the meeting off the floor of 

our committee sometime early next week, so we can get these 

nominations up and confirmed. We have to report them first so 

they go on the calendar and then they are subject to review by all 

of the Members of the Senate, but we will do our best to get them 

cleared before the end of next week when we expect to recess for 

48 

our August period. And let me again, Admiral, tell you that we appreciate you bringing Mrs. Rickover. We remember so well meeting 

with your husband so often, the Admiral, and how gracious he was 

and how much he contributed to the future of our Navy, so we 

thank you for taking the time to come with Admiral Cohen. 

Thank you all very much. Do you have any final statements, 

Senator? 

Thank you all very much. We will do our best to get these nominations cleared before we leave. 

[Whereupon, at 11:55 a.m., the hearing was adjourned.] 

(49) 

A P P E N D I X 

PREPARED STATEMENT OF HON. FRANK R. WOLF, 

U.S. REPRESENTATIVE FROM VIRGINIA

Mr. Chairman, it gives me great pleasure to lend my support today to Sean 

Connaughton to become the next Administrator of the U.S. Maritime Administration. 

As the U.S. Representative of the 10th Congressional District of Virginia which 

includes parts of Prince William County, I have had the privilege of working with 

Sean in his capacity as Chairman of the Prince William County Board of County 

Supervisors. He is a dedicated public servant who has diligently worked to address 

issues facing fast-growing suburban counties like Prince William. He has done so 

working in a bipartisan manner to promote the county as a great place to live, work 

and raise a family while also protecting the interests of Prince William citizens. 

While he has devoted the past 7 years serving Prince William County, his education and experience make him well qualified to lead the U.S. Maritime Administration. He is a graduate of the U.S. Merchant Marine Academy where he received 

his bachelor’s degree in 1983. From 1988 to 1992, he was the Senior Marine Transportation Associate for the American Petroleum Institute. He worked as a civil servant for the U.S. Coast Guard from 1986 to 1988 and served on active duty in the 

U.S. Coast Guard from 1983 to 1986 and in the U.S. Naval Reserve from 1986 to 

2006. 

Sean is a man of honor and integrity. He understands transportation and maritime issues and will serve our country well as the Administrator of the U.S. Maritime Administration. 

Mr. Chairman, I urge the Committee to recommend his confirmation. Thank you 

again for the opportunity to address the Committee. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN MCCAIN TO

ADMIRAL JAY M. COHEN

Question 1. If confirmed as Under Secretary for Science and Technology (S&T), 

would you consider the use of commercially-available devices, services or technologies to fulfill the mission of S&T? 

Answer. In my experience in Naval S&T at the Office of Naval Research, there 

are generally three options available for use to fulfill service/agency missions: Commercial off the Shelf (COTS), Modified/Militarized off the Shelf (MOTS) and Government off the Shelf (GOTS) (or as I think of it, what you already ‘‘got’’). If confirmed, 

I would absolutely consider (and favor due to cost, technological currency, ease of 

update/modernization and generally wider spread utilization across society) the use 

of commercially-available devices, services and technologies wherever and whenever 

they made mission and economic sense. 

Question 2. If confirmed as Under Secretary for Science and Technology, you 

would be responsible for developing standards for first responder equipment and 

technology. In this role, do you believe that such standards may include commercially-available devices, services or technologies? 

Answer. If confirmed, I will, to the maximum extent practicable, utilize standards 

that include commercially-available devices, services and technologies to better support local, state and tribal first responders. Where such commercial solutions are 

not available or immediately applicable, due to unique Homeland Security mission 

requirements, lack of an existing commercial industrial base/market or national security considerations, if confirmed, I will work with government/defense, industry 

and professional organizations responsible for developing, recommending and setting 

standards in order to leverage and optimize commercial solutions to the fullest. 

Question 3. In your role as Chief of Naval Research, what was your experience 

in using commercially-available devices, services or technologies? 

50 

Answer. As Chief of Naval Research I strongly encouraged the use of commercially-available devices, services and technologies to speed ‘‘time to market’’ for our 

Sailors and Marines in combat. When commercial solutions are objectively evaluated 

and applied to Naval needs, my experience was that they generally performed well 

and were available for use in less time and at lower cost than uniquely government 

solutions. 

As an example, in 2000, I established at ONR, a web-based ‘‘Technical Solutions’’ 

Group which received input and requests directly from Sailors and Marines. These 

young men and women are ‘‘tech savvy’’. While acquisition systems commands are 

the customer for Naval Research S&T output, Sailors and Marines are the ‘‘customer of the customer’’. I considered their needs to be important and therefore developed an efficient and credible method to address their challenges. 

When problems or suggestions were received by Tech Solutions, ONR would 

‘‘broker’’ those to what I termed the Naval Research Enterprise; naval warfare centers, university and laboratory partners and industry so that they might compete 

to provide the most effective technology solution, at lowest cost in the required timeframe. Examples of deliverables which utilized commercial technologies include long 

life (nearly maintenance free) LED shipboard battle lanterns, commercial Draeger 

tubes with slightly modified/militarized electronics for reliable contaminant sensing 

in the field, ‘‘LightSpeed’’—a commercial pulsing LED technology which we only 

‘‘packaged’’ for secure, reliable Line-of-Sight communications both at sea and ashore, 

web-enabled Voice-over Internet Protocol underwater communications for Navy 

SEALS and even a ‘‘Zamboni’’ to degrease aircraft carrier flight decks in the 130° 

F heat of the Arabian Gulf. 

If confirmed, I will continue to emphasize use of commercial solutions and ensure 

that similar, customer friendly responsive tools are put in place at DHS S&T. 

Question 4. Do you believe that there is a role for ‘‘Voice-over-Internet Protocol’’ 

technologies in fulfilling the mission of interoperability between first responders? 

Answer. Interoperability has been and regrettably remains one of the biggest challenges not only for homeland first responders, but our 21st century military as well. 

Voice-over-Internet Protocol (VoIP) is a rapidly developing tool (one of many) that 

I believe should be further explored for wider use by first responders. 

If we are to be successful in effectively and efficiently meeting the challenges 

which our first responders face from both natural and manmade events/attacks not 

only must their command, control, communications and computers be interoperable, 

but the system must also be reliable and rapidly scaleable from the smallest agency 

component to the DOD and other major Federal and international law enforcement 

and disaster response organizations. These capabilities must be achieved at an affordable cost with security that prevents system integrity from being compromised 

or worse, subjected to being hacked/deceived. The World Wide Web is ubiquitous 

and ‘‘self healing’’ because of the large number of alternate nodes, transmission 

paths and means for maintaining communications among first responders at different locations and chain of command levels. I personally believe VoIP could play 

a significant role in fulfilling mission interoperability between first responders. 

RESPONSE TO WRITTEN QUESTION SUBMITTED BY HON. TRENT LOTT TO

ADMIRAL JAY M. COHEN

Question. You did a great job getting Navy R&D focused on the needs of the Navy 

war fighters. At DHS, you will have a similar challenge, but with more agencies. 

Some of these agencies brought their own R&D programs to DHS. How would you 

focus DHS R&D to better serve the needs of front-line homeland security personnel 

and reduce the risk of transitioning new technologies into everyday DHS operations? 

Answer. Senator Lott, First allow me to thank you for your strong and sustained 

personal support for R&D and especially Science & Technology (S&T) in our Navy 

and Marine Corps. You understand the value of a balanced research portfolio that 

delivers immediate enhancements to our DOD war fighters and our DHS first responders now, as well as the need for thoughtful, sustained and focused long-term 

basic research into those areas and disciplines that will yield the ‘‘Eurekas’’ or 

breakthroughs that fundamentally change how we approach a problem. 

I appreciate your kind words for my service in the Navy in time of war. I can 

assure you any successes our scientists and engineers enjoyed in enhancing the capabilities (and protection) of our Sailors and Marines were the result of a team effort that included DON, Congress, government agencies, industry, research institutions, innovators (large and small) and the direct involvement/voice of the fighting 

personnel whose success and lives depend upon the output and products from R&D. 

51 

As you noted, DHS has more agencies (about 20+) than DON and in what is a 

new Department (DHS), some agencies have had their own R&D programs/laboratory facilities. While the magnitude of the challenge today at DHS to bring together 

varying agency ‘‘cultures’’ in order to better focus DHS R&D in support of front-line 

homeland security personnel (the DHS ‘customers’ for our R&D/S&T OUTPUT) is 

greater than that which I faced in Navy, the fundamentals are similar. 

While I am not currently either an employee of or consultant to DHS, I have studied the DHS enabling legislation (especially that portion which established the DHS 

S&T Directorate). The guidance in that legislation is comprehensive and clear in its 

desire to create a lean, agile, efficient and highly effective R, D, T&E organization 

to leverage and enhance existing U.S. Government research initiatives, activities 

and laboratories so as to avoid duplication where possible and better focus on the 

unique needs of our first responders where other research activities are not. Any 

successful S&T management organization (like the Office of Naval Research) has 

both science and technology providers along with research and development product 

customers. Time frames, investment portfolios, level of technological risk and personnel (i.e., scientists versus engineers versus program managers, budget and contract specialists) vary from discipline to discipline and customer to customer. If confirmed, I would use the same proven principles and methods at DHS, which I helped 

enhance at ONR to more directly and continuously involve the first line responders 

in setting requirements and needs (DEMAND), while empowering the scientists and 

innovators on the ‘‘input’’ side (SUPPLY). When you give the customer what they 

want and need and you focus the underlying technology discovery and invention on 

the customer through ongoing give and take dialogue, risk of transition is greatly 

reduced and the Nation benefits. It wasn’t easy with the Air, Surface, Sub and Land 

‘‘unions’’ in DON. With your support, I look forward to the challenges of service at 

DHS. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN E. SUNUNU TO

ADMIRAL JAY M. COHEN

Counter-MANPADS Program 

Question 1. As we discussed when we met last week, the Counter-MANPADS program was appropriated $110 million in FY06 to complete Phase III of the program, 

which was the flight testing of two systems in ‘‘real-world’’ operations. The Department took about $20 million from the program to use for other purposes, and I commend your attention to report language on that topic in the Senate’s version of the 

FY07 DHS appropriations bill. This reprogramming caused the Counter-MANPADS 

office to forego a passenger aircraft study of a system and conduct only cargo aircraft study. 

DHS created the Counter-MANPADS office to develop a system or systems to protect domestic aircraft from shoulder-fired missiles so that Congress and other policymakers could then determine whether to utilize this technology. Protecting cargo 

aircraft is important, but we all know the protection of our passenger aircraft is of 

primary importance. Of course, the operations of cargo aircraft are profoundly different than the operations of passenger aircraft. For DHS to submit a report to Congress on the findings of the Counter-MANPADS program without having flight tested a system on passenger aircraft would be counterintuitive, and provide an incomplete assessment to policymakers of available technology. To address this, the Senate included an additional $35 million above the President’s FY07 request for the 

Counter-MANPADS program so the Department may conduct a study of a system 

on passenger aircraft, and addressed this in the report accompanying the bill. 

Will you protect the remaining FY06 funds, and future funding for the CounterMANPADS program from future reprogramming? 

Answer. Senator Sununu, first allow me to thank you for taking your valuable 

time to meet with me and share your concerns regarding the Department of Homeland Security. As we discussed, if I am confirmed as the Under Secretary for Science 

and Technology at DHS, I will work with the Congress, staff, industry, research institutions/laboratories/academia to provide our first responders and the Nation the 

capabilities to meet not only our most pressing immediate threats, but also invest 

in the basic research necessary to prevent future technological surprise and achieve 

‘‘leap ahead/game changing’’ technological advantage over those that would threaten 

our way of life and freedoms. As you suggested, I have reviewed the stern report 

language in the Senate’s version of the FY07 DHS appropriations bill. 

I am neither an employee of nor consultant to DHS. I have not been made privy 

to the contents of what I understand is an overdue DHS post-Phase II CounterMANPADS program report. 

52 

While I am not presently knowledgeable of the DHS program, having recently 

completed more than 5 years as the Chief of Naval Research, responsible for the 

Office of Naval Research in the Department of the Navy in wartime, I am very familiar with the Tactical Air Directed Infra Red Counter Measures (TADIRCM) program. Navy research has been working on this important countermeasure for more 

than a decade at the Naval Research Laboratory, White Sands Proving Ground and 

China Lake, CA. This development program has resulted in a highly effective IR 

countermeasure device that has been successfully installed/tested on flying drone 

aircraft against actual MANPAD weapon firings. I understand that Naval Air Systems Command (working with commercial defense contractors) is in the process of 

transitioning this capability to Navy and Marine Corps F/A 18 aircraft and that 

some U.S. Army helicopters are already equipped with TADIRCM. If confirmed to 

be the next Under Secretary for Science and Technology at the Department of 

Homeland Security, I will bring this technical knowledge and program management 

experience to the DHS Counter-MANPADS program. 

Additionally, if confirmed, I will work with the Congress to spend FY06 and future Counter-MANPAD funding as intended and ensure that overhead costs associated with the Counter-MANPAD program are absolutely minimized. 

Question 2. Do you agree that a study of available Counter-MANPADS technology 

must be conducted on passenger aircraft to ensure a full and complete assessment 

of the technology’s applicability to commercial aircraft, and will you make sure such 

a study is conducted? 

Answer. As you indicated above, cargo and passenger aircraft operations are different. To the extent that Counter-MANPADS tests on either type aircraft could be 

used to determine the best solution to both, I think that would be a good use of 

taxpayer dollars. If the DHS post-Phase II Counter-MANPADS report (which is due 

to Congress) does not adequately address the unique operational differences between cargo and passenger aircraft, if confirmed, I will ensure that an assessment 

of available Counter-MANPADS technology for passenger aircraft will be expeditiously conducted. 

Commercial Port Security 

Question 3. The possibilities of attack from water-based operations at our commercial ports are endless. Although there are systems available to detect these threats 

in the military world, we know that the costs of these systems currently prohibit 

their introduction into the private sector. During your tenure at the Office of Naval 

Research, more cost-effective swimmer detection sonar networks were studied and 

evaluated with great success. The maturity of these ONR-funded systems leads one 

to believe that DHS would be well served to evaluate the work that has come from 

the ONR efforts. Given your success at ONR in developing these sonar networks, 

what are your plans for doing so at DHS for commercial applications? 

Answer. Senator Sununu, as you note, the possibilities for attack at our commercial ports are endless. That includes not only water-based, but also air and land attacks. Thank you for your kind words concerning the efforts of the Office of Naval 

Research to develop and demonstrate (in real-world situations) effective swimmer 

detection sonar networks. If confirmed (and consistent with the enabling legislation 

for the DHS S&T Directorate), I intent to leverage all government agencies/laboratories as well as private industry (large and small) and international partners/allies 

to rapidly make available mature (and nearly mature) capabilities to our Nation’s 

first responders and DHS agencies tasked with protecting America. As I noted in 

my response to your Counter-MANPADS question above, because of my tenure at 

ONR in wartime and my knowledge of the portfolio and capabilities that exist there, 

at DHS, I would not hesitate to adapt and use those proven technologies (such as 

swimmer detection sonar networks) that our taxpayers have already invested in. 

Question 4. Will these plans include a full evaluation of systems operating now, 

such as the system developed and produced domestically and being used by Singapore’s Navy? 

Answer. I think it would be wise to evaluate the operational effectiveness of the 

various swimmer detection devices both under development and in use in America 

and the rest of the world. I am personally familiar with the domestic U.S. system 

that has been installed and tested in Singapore. I had the opportunity to visit 

Singapore last fall and observe the integrated swimmer detection sonar/radar/visual 

integrated network in operation. If confirmed, I would strive to make the best/affordable seaborne threat detection systems available for use in our harbors and port 

facilities. 

53 

Small Business 

Question 5. Another issue we touched on last week when we met was the ability 

of small businesses to bring forth ideas for securing our homeland to the Department. Businesses across New Hampshire have expressed frustration to me over 

their inability to ‘‘get an audience’’ with DHS. When you are at ONR, a company’s 

ability to ‘‘get an audience’’ was typically not a problem. What are your plans to ensure innovative ideas and technologies are able to be brought to DHS for appropriate evaluation of their ability to provide solutions to homeland security challenges? 

Answer. As you noted, I had a reputation at ONR for being accessible to businesses (both large and small) as well as innovative/entrepreneurial individuals to 

give their ideas ‘‘an audience’’. Often these unsolicited initiatives from outside government resulted in significant opportunities to improve the technological advantage 

our Navy and Marine Corps fields in defense of America. When concepts or inventions presented were not yet ready for further development/funding, ONR program 

managers were candid with the providers and attempted to provide constructive recommendations or alternative approaches which would allow the offerer to reengage 

ONR with a product more closely aligned with Naval war fighting gaps and requirements. If confirmed, I will quickly evaluate the means and methods at DHS that 

are intended to encourage innovation and communication with business and determine their effectiveness. I will not hesitate to put in place those personal and webbased programs that I established at ONR to make the DHS S&T Directorate more 

‘‘customer’’ accessible and friendly. Additionally, If confirmed, I will use all the tools 

which Congress has wisely established over the years, such as Small Business Innovative Research (SBIR) funding and processes to the fullest extent. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. BARBARA BOXER TO

ADMIRAL JAY M. COHEN

On February 15, 2006, Charles McQueary, the former Under Secretary for Science 

and Technology at the Department of Homeland Security, testified before the House 

Science Committee. During his testimony, Secretary McQueary told the Committee 

that following Phase II of the Counter-MANPADS program, ‘‘DHS will provide a report detailing the equipment performance, projected costs, and potential deployment 

options [of countermeasure systems.] The anticipated release date for the report is 

mid- to late-March 2006.’’ 

Dear Senator Boxer, 

You asked me several questions regarding the Counter-MANPADS program at 

DHS. First allow me to thank you for your strong personal interest and support to 

better protect our aviation fleet from terrorist attack. 

I am neither an employee of or consultant to DHS. I have not been made privy 

to the overdue DHS post-Phase II Counter-MANPADS program report. I have however asked DHS to get the report to you immediately. In the interim, DHS has provided the answers below to your questions. While they are not intended to be a substitute for the report, I hope they are helpful in explaining the status of this important program. 

While I am not presently knowledgeable of the DHS program, having recently 

completed more than 5 years as the Chief of Naval Research, responsible for the 

Office of Naval Research in the Department of the Navy in wartime, I am very familiar with the Tactical Air Directed Infra Red Counter Measures (TADIRCM) program. Navy research has been working on this important countermeasure for more 

than a decade at the Naval Research Laboratory, White Sands Proving Ground and 

China Lake, CA. This development program has resulted in a highly effective IR 

countermeasure device that has been successfully installed/tested on flying drone 

aircraft against actual MANPAD weapon firings. I understand that Naval Air Systems Command (working with commercial defense contractors) is in the process of 

transitioning this capability to Navy and Marine Corps F/A 18 aircraft and that 

some U.S. Army helicopters are already equipped with TADIRCM. If confirmed to 

be the next Under Secretary for Science and Technology at the Department of 

Homeland Security, I will bring my technical knowledge and program management 

experience to the DHS Counter-MANPADS program. 

If you think that there is more that I need to know before confirmation by the 

Senate, I would be pleased to meet with you and/or your staff at your convenience. 

If confirmed, I commit to meet with you and/or your staff within the month following my assumption of duties at DHS to clearly state the status of the CounterMANPAD program and details of the way ahead to better protect our airline passengers, cargo and aircraft from attack. 

54 

The Following Answers Were Provided by DHS: 

Question 1. When will this report be delivered to Congress? 

Answer. Our hope is this report will be delivered to the Congress on Monday, July 

31st. 

Question 2. Will it include details on potential deployment options, as promised 

by Secretary McQueary? If not, when will those details be provided to Congress? 

Answer. The Phase II report discusses several potential deployment alternatives, 

including three example deployment quantities: 100 mixed wide-body aircraft, representative of the size of the U.S. Civil Reserve Airlift Fleet (CRAF); 600 wide-body 

passenger aircraft; and, a 3,900 mix of wide- and narrow-body passenger aircraft. 

It presents cost metrics for the example quantities and discusses potential acquisition strategies and funding sources. The report also discusses key deployment risks 

and concerns. 

The Counter-MANPADS program is in the process of conducting a more complete 

assessment of potential alternatives, acquisition strategies, funding approaches, deployment risks and concerns. Another assessment of alternatives will be performed 

near the end of Phase III using updated cost of ownership estimates based on Phase 

III in-service operational data and other results, such as military technology protection and export issues. Those results will be reported to Congress at the end of 

Phase III. 

Question 3. It is my understanding that Phase III of the Counter-MANPADS program will include the operational test and evaluation of two competing countermeasure systems. On what date will countermeasures be operational on actual commercial aircraft? 

Answer. During Phase III, one company will be installing systems on nine cargo 

aircraft for in-service operational evaluations. The first aircraft with the system installed is scheduled to begin flying in revenue service the first quarter of 2007. 

Question 4. What steps are necessary to ensure that the deployment of countermeasure systems are in compliance with the International Traffic in Arms Regulations? 

Answer. Under current interpretations of the International Traffic in Arms Regulations (ITAR), U.S. airlines would need to apply for an export license every time 

an aircraft with the Counter-MANPADS system installed was to fly outside the 

U.S., which would be unacceptable to airlines. Counter-MANPADS systems could 

not be deployed on foreign-operated aircraft without additional licensing measures. 

Legislative relief would very likely be necessary to effectively deploy, operate and 

maintain the systems world-wide, which would consist of limited exceptions to the 

Arms Export Control Act and its implementing regulation, the International Traffic 

in Arms Regulation, or ITAR. 

The Counter-MANPADS program has been coordinating extensively with the Directorate of Defense Trade Controls (DDTC) at the Department of State, and other 

relevant agencies, such as the Defense Technology Security Agency (DTSA), the Air 

Force Research Laboratories (AFRL) and NSA, to define technology security requirements and develop deployment solutions that will both preserve the integrity of the 

system and protect sensitive military technology. Counter-MANPADS program representatives have recently met with DDTC-Policy and DDTC-Legislative personnel 

to discuss development of appropriate legislative language. 

Question 5. Will you work with the Department of Defense to ensure that commercial aircraft utilized by military personnel (such as the Civil Reserve Air Fleet) 

are protected from the threat posed by MANPADS? 

Answer. The CRAF program is a partnership between the Department of Defense 

and the U.S. aviation industry. The U.S. Transportation Command (TRANSCOM) 

administers this program through the Air Mobility Command (AMC). AMC has a 

working relationship with the U.S. Air Force and is working on total CRAF protection, including countermeasures for MANPADS. The Counter-MANPADS Program 

has involved TRANSCOM and AMC throughout Phases I and II; they have attended 

many of the program office reviews, are aware of our accomplishments, and, so far, 

are keenly interested in one of our DIRCM system approaches. 

If the decision is made to deploy Counter-MANPADS systems on the Civil Reserve 

Air Fleet (CRAF), DHS will work with the Department of Defense and the responsible airlines to equip those aircraft. Since the specific aircraft designated as CRAF 

can change monthly, the decision as to how to deploy is complicated. One of our cost 

estimates during Phase II was based on 100 wide-body aircraft, which is representative of the size of the first stage of the CRAF. This provides an estimate of cost, 

but further work needs to be done with DOD to provide a more comprehensive plan 

for CRAF deployment. 

55 

Question 6. The Bush Administration only requested $4.8 million for the CounterMANPADS program for Fiscal Year 2007. The Senate version of the Fiscal Year 

2007 Homeland Security Appropriations bill provides an additional $35 million for 

a comprehensive passenger aircraft suitability assessment. If signed into law, will 

this assessment include the operational test and evaluation of the two competing 

countermeasure systems on commercial passenger aircraft? 

Answer. If the final Fiscal Year 2007 Homeland Security Appropriations bill includes an appropriation of $35 million to be spent for a comprehensive passenger 

aircraft suitability assessment, DHS will determine the most effective approach to 

achieve the objectives. This may include installing one or both of the competing 

countermeasure systems on commercial passenger aircraft. 

RESPONSE TO WRITTEN QUESTION SUBMITTED BY HON. JOHN E. SUNUNU TO

NATHANIEL F. WIENECKE

Question. NMFS has before it Framework Adjustment 43 to the Northeast Multispecies Fishery Management Plan, which would impose limitations on the bycatch 

of haddock for New England herring vessels. A problem in New England has been 

that recent haddock classes have been exceptionally large preventing herring vessels 

from avoiding incidental catch. 

Under NMFS designated emergency rules enacted last year, which expired on 

June 6, 2006, there were limits on incidental catch of haddock allowed for New England herring vessels. Framework 43 is an effort to impose permanent rules. 

NMFS put Framework 43 out for comment on June 21, 2006 and the comment 

period has since closed (July 6, 2006). Unfortunately, I understand that completion 

of final rules for Framework 43 may not occur until late August or later. Until new 

rules can be finalized, New England herring fishermen are in a difficult situation: 

they can be prosecuted for the possession of as little as one haddock. This forces 

NE herring vessels to cease fishing or travel to distant areas to avoid catching haddock. 

While you do not focus exclusively on NMFS, what is the exact status of this item 

and when final rules can be expected? 

Answer. As you noted in your question, the comment period on the proposed rule 

for Framework 43 closed on July 6, 2006. NOAA Fisheries Service received several 

comments on the proposed rule, some of which raised issues that required further 

consideration. I am advised that NOAA Fisheries Service has prepared a final rule 

package for submission to the Secretary of Commerce which is currently undergoing 

final review within NOAA. We expect the final rule to become effective in early August. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. TRENT LOTT TO

SEAN T. CONNAUGHTON

Question 1. I am very concerned about the state of our country’s commercial shipbuilding and ship repair industry. The Congress, at my urging, recently changed the 

Title XI law to give MARAD more flexibility to make that program work better and 

authorized a small shipyard assistance program and an MSP vessel repair program. 

Please describe how you intend to ensure these programs work well. Please also provide any other ideas you have for increasing domestic shipbuilding and ship repair. 

Answer. The primary purpose of the Title XI program is to promote the growth 

and modernization of the U.S. merchant marine and U.S. shipyards. The program 

enables owners of eligible vessels and eligible shipyards to obtain long-term financing with attractive terms. The Administration is not currently seeking additional 

funds for the Title XI program, however, it is the prerogative of the Congress to do 

so if it desires. If funds are appropriated by Congress and if I am confirmed, I would 

seek to allocate those funds in a manner that would leverage private financing and 

export opportunities in order to maximize the benefits of increased Federal funding 

to the shipbuilding and repair industries. 

Question 2. After Hurricane Katrina, the Administration issued a temporary blanket Jones Act waiver for the shipment of bulk petroleum products and was slow in 

returning to case-by-case need determinations. If the Gulf oil patch takes another 

big hit from a hurricane, how will you protect U.S. Jones Act operators while facilitating oil flow? 

Answer. Since 1920, the Jones Act has been in place to encourage a strong U.S. 

merchant marine for both national defense and economic security by requiring the 

Nation’s domestic waterborne commerce be reserved for vessels built in the United 

56 

States, owned and crewed by American citizens, and registered under the American 

flag. The Jones Act continues to be the foundation for America’s domestic shipping 

policy. The Customs Service has direct responsibility for enforcing the provisions of 

the Jones Act and is statutorily limited to granting waivers from the Act only in 

the interest of national defense or for a vessel in distress. If I am confirmed, I will 

work to ensure that any waivers granted by the Customs Service meet the letter 

and spirit of the law and are used only in exceptional circumstances. 

Question 3. The U.S.-flag fleet depends on U.S. preference cargo to remain competitive with foreign ships. I am concerned that some U.S. Government procurement 

officials in DOD and USAID exploit shipment scheduling notices to avoid them. Will 

you commit to the Committee that you will work with other agencies and departments to clarify policies with respect to scheduling shipments through MOUs or 

other written agreements? 

Answer. Yes. 

Question 4. MARAD’s management of the National Defense Reserve Fleet scrapping program was not effective, but is recently improving. It takes too long to get 

rid of these leaky old ships that are tied up in VA, TX, and CA. How do you intend 

to address this potential hazard? 

Answer. I understand Congress’s desire to remove obsolete vessels from the National Defense Reserve Fleet as quickly as possible. To accomplish this in a timely 

manner, the Maritime Administration must initially focus on the dismantling of the 

highest priority vessels. If confirmed, I will consider all viable alternatives to disposal, including the expansion of disposal capacity, exploring new technologies to 

speed and lower the costs of dismantling, examining innovative contracting mechanisms, and looking for alternatives to disposal such as utilizing vessels for artificial 

reefs and/or donations. 

Question 5. For years, this Administration has said that it is developing a SEA– 

21 plan to increase the use of short sea shipping in the U.S. to relieve highway and 

rail congestion, but we haven’t seen it yet. I am concerned that the Administration 

isn’t willing to invest real dollars in the program. What role do you plan to take 

to see this initiative comes to fruition? 

Answer. As a local government leader from a jurisdiction which I–95 transverses, 

I know firsthand the imperative need to seek alternatives to the interstate highway 

system for our personal and commercial mobility. The Maritime Administration has 

done research on short sea shipping for several years. If confirmed, I will be an advocate within the Administration for the development and implementation of a robust short sea shipping system to help reduce growing freight congestion on our Nation’s rail and highway systems. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. CONRAD BURNS TO

CHARLES D. NOTTINGHAM

Question 1. As you know, the goal of the Staggers Act is to strike a balance between providing financial stability for railroads and ensuring that the benefits of 

competition are available to shippers. In the past, there may have been some justification for focusing more on the revenue adequacy of railroads, given the difficult 

financial situation they faced. However, I am concerned that today, the balance has 

tipped too far in favor of the exclusive interests of the railroads, ignoring the fact 

that competition should be the goal of our Nation’s rail network. 

Mr. Nottingham, do you believe the railroads still need to be protected from competition, or could both railroads and shippers benefit from a more market-driven industry? As railroads become more revenue adequate, is it reasonable to say that the 

assumptions underlying past STB efforts to protect the railroads should be revisited? 

Answer. The Staggers Act is generally viewed as having helped to successfully reverse the trend toward railroad bankruptcies and financial distress in the freight 

rail industry that existed prior to and during the early years of the Staggers Act. 

Today the Class I railroads are generally experiencing profits and increased demands for service. Based on most freight forecasts and economic and trade realities, 

it is reasonable to assume that the entire freight transportation sector, including 

railroads, should continue to experience heavy demand growth and, consequently, 

growth in revenues. The Government Accountability Office’s (GAO) recent preliminary report released at the June 21, 2006 hearing of the Senate Subcommittee on 

Surface Transportation and Merchant Marine elaborates on the overall positive economic health of the freight railroads. 

57 

If confirmed, I intend to closely examine whether the statutory, regulatory and 

case law regime that evolved during the earlier period of financial distress in the 

railroad industry still makes sense and is in the public interest in today’s environment. While I need to refrain from prematurely taking a position on a matter or 

topic that could come before the STB for action, I can commit to giving the issues 

raised in your question full and fair consideration in the appropriate context. 

Question 2. On June 21, this committee held a hearing on the freight rail industry. During that hearing, the GAO provided preliminary results of their investigation into a variety of issues facing the industry today. What is your reaction to the 

finding that the ‘‘share of potentially captive shippers who are paying the highest 

rates—those substantially above the threshold for rate relief—has increased’’? 

Answer. I am concerned that the GAO’s ‘‘Preliminary Observations on Rates, Competition, and Capacity Issues’’ (June 21, 2006) report included the preliminary finding that is described in your question. I am informed by STB staff that GAO plans 

to complete its report and share a draft with the STB for comment later this year. 

If confirmed, I expect to carefully analyze all of the report’s official findings and to 

consider appropriate action to address any actionable problems that fall within the 

STB’s jurisdiction. 

Question 3. What is your reaction to the GAO testimony that STB rate relief procedures are largely inaccessible to most shippers? 

Answer. The preliminary finding described in your question is cause for concern. 

Congress has tasked the STB with important conflict resolution responsibilities. It 

is important that the processes, costs and timelines associated with resolving conflicts do not become unreasonably burdensome so as to inhibit the public’s right to 

avail themselves of the STB’s dispute resolution procedures. I am also concerned 

that the preliminary GAO report notes on page 22 that the simplified guidelines for 

certain types of dispute resolution that have been in place since 1997 are viewed 

by shippers and railroads as ‘‘confusing.’’ The recently issued rulemaking on small 

rate guidelines will hopefully mitigate some of these concerns. Again, when the final 

GAO report is issued, I will, if confirmed, carefully analyze all of the report’s official 

findings and consider appropriate action. 

Question 4. Mr. Nottingham, when you were nominated to this position, I asked 

to you meet with shippers, both in Montana and nationwide. You agreed to do that, 

and I appreciate that. I understand you have already conducted a number of those 

meetings. After meeting with shippers, I would be interested to hear what your 

thoughts are on both the state of the rail industry as well as the role and reputation 

of the Surface Transportation Board. 

Answer. It has been a pleasure to meet with your constituents from the wheat 

and grain sector, as well as a wide-range of other STB stakeholders. These meetings 

have all been purely informational and courtesy meetings where I have endeavored 

to introduce myself, describe my qualifications and listen to concerns of the various 

stakeholders. I have studiously avoided making any commitment that would interfere with the impartial and fair consideration of matters that might come before the 

STB. 

The shippers and Montana constituents with whom I have met have communicated a consistently negative view of the freight rail industry and the STB’s record 

of responsiveness to the concerns of shippers. I have not had extensive direct exposure to the freight railroad industry in a manner that would allow me to make conclusive statements about industry conditions or enable me to validate the concerns 

articulated by shippers. If confirmed, I would endeavor to become more familiar 

with the rail industry and to address any issues that warrant STB action. 

With regard to the STB, I am deeply concerned that important stakeholders from 

the shipping sector voice a consistent concern that the STB is overly protective of 

the freight rail industry and has allowed overly burdensome, costly and lengthy conflict resolution procedures to exist. If confirmed, I will work to ensure that the STB 

is an open and transparent organization and to remove any unnecessary obstacles 

to the prompt, efficient and fair resolution of disputes. Human resource management will play an important part in the future success of the STB to accomplish 

its mission. Approximately 60 percent of the STB’s workforce is currently eligible 

for full retirement and the next Chair of the STB will undoubtedly be in a position 

to make important decisions impacting the agency’s ability to retain valued employees and recruit talented and dedicated new employees. 

Question 5. I think we can all agree that investment in infrastructure is badly 

needed, and that there may be a role for the Federal Government to play in providing some incentives for that investment. Certainly, there is a public interest 

served by having a healthy railroad. But, I am concerned that captive markets won’t 

58 

see much of that investment. In Montana, that means we are losing potential job 

creation and economic growth opportunities. 

While the STB doesn’t have a direct role in infrastructure expansion, I would be 

interested in your thoughts on how capacity investments can be shaped to provide 

enhanced competition and improved service in captive areas. 

Answer. Through its statutory authority to review entry and exit into and out of 

the freight rail industry, whether by new construction, acquisition of existing rail, 

mergers and consolidation, line acquisitions, leases and abandonments, the STB has 

significant powers that impact rail infrastructure decisions. Regions of the United 

States that are dependent on freight rail and that are generally served by only one 

railroad are understandably concerned that market forces alone may not result in 

significant new rail capacity investments in these so-called ‘‘captive’’ markets. If 

confirmed by the STB, I will be open to a wide-range of enhanced rail infrastructure 

investments to meet our Nation’s growing freight needs. While I believe that no region should be excluded from enhanced rail investment and service and barriers to 

such investments should be eliminated wherever possible, I also believe that the private sector is generally more efficient at making the business decisions required to 

set investment priorities and schedules than the Federal Government. If confirmed, 

I would work closely with Congress and all stakeholders to identify investment 

strategies that would benefit all regions and markets. 

Question 6. As you know, there has been growing discussion focused on the antitrust exemptions of the railroads. There is a serious discussion as to whether those 

exemptions are still justified, and as I am sure you know, legislation has been introduced to repeal those exemptions and place the railroads back under U.S. antitrust 

laws. 

Will you, as Chairman of the STB, evaluate whether or not the antitrust exemptions for railroads should be repealed? Congress will have to act to repeal the exemptions, but I am wondering if you believe that the STB should be looking at antitrust issues or not. 

Answer. These issues are being studied by the Antitrust Modernization Commission. I will closely review the findings of that expert organization before attempting 

to formulate my own views in the matter. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. TRENT LOTT TO

CHARLES D. NOTTINGHAM

Question 1. Which do you think is the more effective approach for balancing the 

need for freight railroads to earn adequate revenues with the need to protect shippers from unreasonable rates—maximum rate regulation or the introduction of additional competition through open access or some other means? 

Answer. I am not an expert on the STB’s procedures for assessing maximum rate 

reasonableness, and while I am generally familiar with the debate over competitive 

access in the railroad industry, I do not profess to know all of the details. Therefore, 

I do not believe I am in a position to answer this question at this time. 

Question 2. The stand-alone cost test used by the STB in determining the reasonableness of a rail rate was developed in the context of rate complaints involving 

coal. As defined by the STB, the test prohibits a railroad from charging a shipper 

more than what a hypothetical new, optimally efficient carrier would need to charge 

the complaining shipper if such a carrier were to design, build and operate a system 

to serve only that shipper and whatever other traffic is selected by the complaining 

shipper to be included in the traffic base. In your view, is the stand-alone cost test 

the appropriate test for determining the reasonableness of rates involving chemicals, 

manufactured products, and other goods that do not move in trainload quantities? 

Answer. The stand-alone cost (SAC) test has been upheld by the Federal judiciary 

and has been in use for many years. In my informational and courtesy meetings 

with STB stakeholders in recent weeks, I have heard many objections raised by 

shippers to the SAC test. Critics describe the high cost of developing a case using 

the SAC test and also complain that it is biased in favor of existing railroads. I believe that a set of new small rate guidelines could be responsive to the needs of shippers of smaller quantities. I should note that the freight rail industry has experienced enormous changes in the past 20 years, including handling significant container traffic and entering a period of financial strength and profitability. In this 

changed environment, I do not believe that the STB needs to be wedded to tests 

or policies that were developed in response to different market conditions. If confirmed, I will keep an open mind on these issues, consult with Congress and stakeholders and pursue actions that are consistent with relevant laws and in the public 

interest. 

59 

Question 2a. What, if any, alternatives to stand-alone costing do you believe 

should be explored? 

Answer. While I am not an expert on different tests of rate reasonableness in the 

railroad market, I understand that this is a critically important issue that the STB 

has attempted to address and will likely continue to do so. I need to be judicious 

in not offering personal opinions before I have had the benefit of extensive exposure 

to these issues. I am familiar with the June 21 GAO preliminary report on the 

freight rail industry which includes a discussion of alternative rate relief procedures 

and strategies, including: simplified guidelines to streamline the process, especially 

for smaller rate cases; increased use of arbitration; increased use of alternative cost 

approaches such as the long-run incremental cost approach. The GAO notes, however, that each of these approaches has advantages and drawbacks. I look forward 

to carefully reviewing the final GAO report and will, if confirmed, work to take appropriate action to address any formal findings or recommendations that are made 

in the final report. Whatever test of rate reasonableness is used, it is important that 

the national policy need for railroads to make additional significant investments to 

improve rail infrastructure is recognized and respected. 

Question 3. In regard to rail transportation, what in your judgment is the more 

serious problem—inadequate rail capacity or inadequate rail competition and how 

do both issues affect the economic well-being of railroads and shippers? 

Answer. This question identifies two very significant challenges that confront our 

national economy: freight demand that is outpacing rail capacity in many areas of 

the country; and the lack of effective rail competition in many parts of the country. 

I have much to learn on both of theses issues, but have extensive experience working on similar challenges that confront the Nation’s highway system. I believe that 

we need to focus on increasing rail capacity to meet current and future demand, to 

relieve highway freight congestion; and to make rail service more reliable. If we succeed on these fronts, the economic conditions will be much more attractive for new 

entrants to take the risk and invest in the freight rail market. If confirmed, I will 

focus much of my energies on the need for environmental streamlining to ensure 

that important rail capacity improvement projects and applications for new rail 

service from new or expanding railroads do not get unnecessarily delayed by the environmental review process or by litigation. I have extensive experience in working 

on environmental streamlining and look forward to the opportunity to apply this experience at the STB. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. TRENT LOTT TO

ROBERT L. SUMWALT III 

Question 1. What type of relationship do you believe is appropriate between the 

NTSB and other transportation agencies? What actions will you take in an effort 

to facilitate such relationships? 

Answer. I believe it is critical that the NTSB maintain an independent posture 

regarding other transportation agencies. The significance of NTSB’s independent 

role was acknowledged by Congressional approval of the Independent Safety Board 

Act of 1974. This independence allows NTSB to autonomously investigate transportation safety issues and provide oversight of transportation regulatory agencies. 

However, the Safety Board must also maintain a professional working relationship with those agencies. Although the independence of NTSB investigations is 

paramount, I also recognize that the most effective means of improving transportation safety is to see the Board’s safety recommendations implemented. Therefore, 

the relationships with other transportation agencies must not degrade into defensive 

camps. Rather, open dialogue, transparent coordination, and professional exchange 

must be the foundation of these relationships. 

If confirmed, in order to facilitate effective working relationships with transportation entities, I will ensure that NTSB safety recommendations are reasonable, 

well founded, and timely. When deficiencies are found in the efforts of other transportation agencies, I believe the Safety Board has a responsibility to firmly point 

out the problems, without seeking to disgrace the affected agency. 

Question 2. The largest numbers of transportation-related fatalities are on our 

Nation’s highways where more than 40,000 people are killed each year. What do you 

believe the Board’s role should be with respect to highway safety? 

Answer. I am very troubled that highway fatalities seem to have reached a plateau in recent years. 

The NTSB’s enabling legislation states that the Safety Board will investigate selected highways accidents ‘‘in cooperation with a State.’’ Due to the shear number 

of highway accidents, it would be impractical and undesirable for NTSB to invesVerDate Nov 24 2008 13:26 May 27, 2011 Jkt 066490 PO 00000 Frm 00063 Fmt 6601 Sfmt 6621 S:\GPO\DOCS\66490.TXT SCOM1 PsN: JACKIE
60 

tigate each and every highway accident. In order to devote its investigative resources wisely the Safety Board must be selective in deciding which highway accidents and safety issues to investigate. 

Additionally, greater focus on the Board’s safety advocacy role can improve the 

Board’s impact on highway safety. I am aware that the Board currently has advocacy efforts underway on several highway issues such as improving child occupant 

protection, enacting primary seat belt enforcement laws, promoting youth highway 

safety, eliminating hard core drinking and driving, and improving school bus/grade 

crossing safety. Each of these initiatives are on the Board’s list of Most Wanted 

Transportation Safety Improvements because they have demonstrated and measurable safety benefits. Although it is often up to states to enact laws to support highway safety improvements, the Safety Board should be a tireless advocate of these 

and other measures to improve safety on our Nation’s highways. 

If confirmed, I will explore innovative ways to collaborate with state governments 

and the National Highway Traffic Safety Administration (NHTSA) to draw much 

needed attention to reducing highway traffic accidents involving serious injuries and 

fatalities. I will also explore ways to successfully accomplish outstanding highwayrelated safety recommendations. Closing recommendations for the sake of closing 

them does not meet the Safety Board’s objectives. I want to ensure that the integrity 

and intent of safety recommendations remain intact, and that they are adopted in 

a timely fashion to prevent further tragedies. 

Æ