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S. HRG. 107–967

NOMINATIONS OF ARDEN L. BEMENT, JR. TO

BE DIRECTOR OF THE NATIONAL INSTITUTE

OF STANDARDS AND TECHNOLOGY AND

ROBERT DAVID PAULISON TO BE

ADMINISTRATOR OF THE FIRE

ADMINISTRATION AT THE FEDERAL

EMERGENCY MANAGEMENT AGENCY

HEARING

BEFORE THE

COMMITTEE ON COMMERCE, 

SCIENCE, AND TRANSPORTATION 

UNITED STATES SENATE

ONE HUNDRED SEVENTH CONGRESS

FIRST SESSION

NOVEMBER 1, 2001

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

(

(II)

SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION

ONE HUNDRED SEVENTH CONGRESS

FIRST SESSION

ERNEST F. HOLLINGS, South Carolina, Chairman 

DANIEL K. INOUYE, Hawaii 

JOHN D. ROCKEFELLER IV, West Virginia 

JOHN F. KERRY, Massachusetts 

JOHN B. BREAUX, Louisiana 

BYRON L. DORGAN, North Dakota 

RON WYDEN, Oregon 

MAX CLELAND, Georgia 

BARBARA BOXER, California 

JOHN EDWARDS, North Carolina 

JEAN CARNAHAN, Missouri 

BILL NELSON, Florida 

JOHN MCCAIN, Arizona 

TED STEVENS, Alaska 

CONRAD BURNS, Montana 

TRENT LOTT, Mississippi 

KAY BAILEY HUTCHISON, Texas 

OLYMPIA J. SNOWE, Maine 

SAM BROWNBACK, Kansas 

GORDON, SMITH, Oregon 

PETER G. FITZGERALD, Illinois 

JOHN ENSIGN, Nevada 

GEORGE ALLEN, Virginia 

KEVIN D. KAYES, Democratic Staff Director 

MOSES BOYD, Democratic Chief Counsel 

MARK BUSE, Republican Staff Director 

JEANNE BUMPUS, Republican General Counsel 

(III)

C O N T E N T S 

Page 

Hearing held on November 1, 2001 ........................................................................ 1

Statement of Senator Nelson .................................................................................. 3

Statement of Senator Wyden .................................................................................. 1

WITNESSES

Bement, Arden L., Jr., Nominee to be Director, National Institute of Standards aand Technology, U.S. Department of Commerce .................................... 8

Prepared Statement ......................................................................................... 10

Biographical Information ................................................................................. 11

Morella, Hon. Constance A., U.S. Representative from Maryland ...................... 6

Paulison, R. David, Nominated to be Administrator, Fire Administration, 

Federal Emergency Management Agency .......................................................... 24

Prepared Statement ......................................................................................... 26

Biographical Information ................................................................................. 29

APPENDIX

Response by Arden L. Bement, Jr. to written questions submitted by Hon. 

John McCain ......................................................................................................... 45

Response by Arden L. Bement, Jr. to written questions submitted by Hon. 

George Allen ......................................................................................................... 47

Response by R. David Paulison to written questions submitted by Hon. John 

McCain .................................................................................................................. 47

Response by Arden L. Bement, Jr. to written questions submitted by Hon. 

George Allen ......................................................................................................... 49

Bement, Jr., Arden L., NIST Director, letter dated March 1, 2002, to Senator 

Wyden ................................................................................................................... 51

(1)

NOMINATIONS OF ARDEN L. BEMENT, JR. TO 

BE DIRECTOR OF THE NATIONAL

INSTITUTE OF STANDARDS AND

TECHNOLOGY AND ROBERT DAVID 

PAULISON TO BE ADMINISTRATOR OF THE 

FIRE ADMINISTRATION AT THE FEDERAL 

EMERGENCY MANAGEMENT AGENCY 

THURSDAY, NOVEMBER 1, 2001

U.S. SENATE, 

COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION

Washington, DC. 

The Committee met, pursuant to notice, at 2:36 p.m. in room 

SR–253, Russell Senate Office Building, Hon. Ron Wyden presiding. 

OPENING STATEMENT OF HON. RON WYDEN, U.S. SENATOR 

FROM OREGON 

Senator WYDEN. The Committee will come to order. 

Today the Committee will hold a hearing on the nominations of 

Chief R. David Paulison to be U.S. Fire Administrator and Dr. 

Arden Bement to be Director of the National Institute of Standards 

and Technology. Each of these individuals, I believe, will be confirmed, because they are very qualified and are going to play a critical role in our war against terrorism. 

Obviously, science is getting increasingly important as it relates 

to America’s national security. Since the attacks on September 

11th and the anthrax scares of the past several weeks, it is clear 

that our science and technology can, in fact, be used against us. 

During the first days of the crisis, some news organizations were 

reporting that anthrax from American labs was actually sent to 

Iraq in the 1980’s as part of a scientific effort. Although the report 

did not mention government involvement in such an effort, the inherent risks are unmistakable. 

It is our view that intellectual security needs to be part of any 

national security approach and, given the possibilities of the misuse of science, there is tremendous potential in harnessing science 

and technology in an affirmative and protective way. That can include everything from developing the technology to safely land airplanes from a control tower instead of a cockpit to using science to 

quickly create antidotes and vaccines to potential bioterrorism 

agents. 

2

Clearly, taxpayer funds, smartly invested in scientific advances, 

ultimately reward and benefit the safety and peace of mind of all 

citizens. 

This Committee is acutely aware that information technology 

and scientific information such as that developed at NIST is critical 

to combatting terrorism. We look forward to working with the Bush 

Administration in a bipartisan way. 

I think it is also worth noting that, no matter how good your 

technology and science are, it always comes down to people. That 

is why it is so important that we work closely with our nominees 

and evaluate their qualifications today. The people on the front 

lines responding to domestic incidents from biological to conventional attacks will be our nation’s firefighters, and we look forward 

to having you represent them, Chief Paulison. 

The Subcommittee on Science, Technology, and Space has recently held a hearing on the needs of the Fire Service in responding to terrorism. This country has more than a million firefighters, 

and the federal government must be a better partner in working 

to ensure that these dedicated and courageous Americans have the 

tools to do their jobs. 

Towards that end, several weeks ago I called Mitch Daniels, the 

Director of the Office of Management and Budget, to ask that he 

make supplemental funding available immediately from the grants 

that are available under the Firefighter Investment and Response 

statute so that local fire departments can get the needed training 

and equipment that is so essential. 

Chief Paulison has been tapped to lead FEMA’s U.S. Fire Administration and be the firefighters’ voice within the federal government. He brings a very strong background to this position. We are 

going to talk some more about that background in a moment. 

Chief, we know you brought several members of your family with 

you today, and we would very much like you to introduce them and 

have them stand at this time. 

Mr. PAULISON. Thank you, Mr. Chairman. I brought my wife 

with me, Kathy, who has been my supporter for the last 30 years. 

Kathy, would you stand up. 

Senator WYDEN. Welcome. 

All right, Chief. We will have some more to say about your background here in a bit. 

Also our good fortune to have Dr. Bement here, who has been 

nominated to direct NIST, and we will consider his nomination as 

we consider Chief Paulison’s. The Fire Administration and NIST 

have a long history of working together on building and fire research. 

At the urging of New York’s Fire Department leaders who testified at our hearing on the needs of the Fire Service, I have written 

to Secretary of Commerce Don Evans to ask that NIST begin to 

look at developing standards for firefighting equipment. One of the 

concerns that the Subcommittee has heard is that as equipment becomes more technologically sophisticated small departments have 

only the claims of the manufacturer to use in evaluating essential 

products. 

Currently NIST’s Office of Law Enforcement Standards has 

measures for low enforcement equipment such as bulletproof vests. 

3

The Subcommittee is interested in working with the agency to see 

that effort expanded to include firefighters’ equipment as well. 

In addition, NIST is one of the nation’s premier laboratories. We 

want to congratulate the scientists both at NIST and NIST-supported scientists who shared in the Nobel Prize for Physics in 2001, 

and we are going to be discussing with Dr. Bement some of the priorities that he will have at the agency. 

With that, I really would like to recognize my colleagues because 

I know their schedule is very tight. But Dr. Bement, before we do 

that I understand you have some family here as well, and we 

would like you to have a chance to introduce them. 

Dr. BEMENT. Thank you, Senator. I have with me this afternoon 

my son David, who is at the Applied Physics Lab at Johns Hopkins 

University, his wife Deedee, and my grandchildren Charlene, 

Samantha, and Stephanie. I am pleased that they are here with me 

today. 

Senator WYDEN. We are glad you are out in force, and we will 

have some more to say about your distinguished background, Dr. 

Bement. I enjoyed our visit yesterday, as chaotic as it was, given 

the fact that we were standing up in the Capitol basement looking 

for space. 

We do want to recognize Senator Nelson. He has been a great addition to this Subcommittee and brings to this Committee expertise 

in areas such as space and insurance and a whole host of areas. 

Senator Nelson, welcome. Please go ahead with your introduction. 

STATEMENT OF HON. BILL NELSON,

U.S. SENATOR FROM FLORIDA 

Senator NELSON. Mr. Chairman, if Mrs. Morella is particularly 

pressed for time I would defer to her. So it is at her pleasure and 

at your pleasure. 

Congresswoman MORELLA. It would be my pleasure, Senator Nelson, that you proceed. Thank you. 

Senator NELSON. Thank you, Mr. Chairman. 

Senator WYDEN. Peace reigns. 

[Laughter.] 

Senator NELSON. I had the good fortune, Mr. Chairman, of being 

Chairman of a subcommittee of which Ms. Morella was a part, and 

she was an outstanding member. A lot of her interest in science 

and technology goes back to those days when we were first put on 

that Committee in the House. 

Well, I am here for a friend of mine, David Paulison. He is a 

friend whose services are going to be enjoyed in the federal government, particularly in something that, as we approach the threat of 

terrorism, we cannot afford to have less than the best. Fortunately, 

in Chief Paulison, we have the best. 

I had the opportunity to observe him from my capacity as the 

State Fire Marshal for Florida. That is a job that a lot of the officials in the past never have paid much attention to, because the 

job is a lot more than that. It is the constitutional job of the State 

Treasurer. It is the job that really absorbs all the time and energy 

of insurance commissioner. 

I loved being State Fire Marshal. I learned a lot. I loved the title 

‘‘Marshal Nelson.’’

4

[Laughter.] 

As you can imagine, in that capacity I got to work with David 

in his current position as the Chief of the Miami-Dade Fire and 

Rescue Department. In 30 years of his dedicated public service, he 

rose from the rank of a rescue firefighter to fire chief. He directs 

all of the emergency management for Dade County. He oversees 

1900 personnel, a $200 million operating budget, and a $70 million 

capital budget. 

His distinguished service on behalf of Miami-Dade County and 

the state of Florida has caused his expertise to be sought out 

around the country and now by our federal government. He is Past 

President of the International Association of Fire Chiefs, and he is 

currently a member of the Board of Directors of the American Red 

Cross. In each of those positions, he has served with distinction 

and admirably. 

So now, as the head of the U.S. Fire Administration, he is going 

to serve us in an additional capacity. 

I wanted to come and say those personal comments about him. 

I think it is important for Members of Congress to do that when 

they know and can testify as to the character and expertise of an 

individual. I also want to be joined by my colleague Bob Graham, 

who is in an Intelligence Committee meeting right now and who 

has submitted a letter endorsing Chief Paulison. 

Senator WYDEN. Without objection, we will put that into the 

record at this time. 

[The material referred to follows:]

5


87380.001
6

Senator NELSON. Thank you, Mr. Chairman. 

I am going to leave, with your permission, so that I can tend to 

some other things having to do with all kinds of nasty guys trying 

to do bad things and us trying to prevent them. 

Senator WYDEN. We appreciate your coming and, in spite of your 

desire to be called ‘‘Marshal,’’ I am glad they call you ‘‘Senator.’’

Senator NELSON. I can assure you it is a great privilege, and one 

of the great privileges is having the opportunity to work with folks 

like you. 

Senator WYDEN. I thank my friend, and we will excuse you at 

this time. 

Congresswoman MORELLA. Whoever said there is not camaraderie among Members of Congress? 

Senator WYDEN. Why do we not hear next from Congresswoman 

Morella. Suffice it to say, having had a chance to work with you, 

Connie, during my career in the House, it is just great to have you. 

You are constantly on the side of trying to practice good government out there and bring people together. We really appreciate 

your coming, and we will make your prepared remarks part of the 

record in full, and you may proceed in any way that you feel comfortable. 

STATEMENT OF HON. CONSTANCE A. MORELLA,

U.S. REPRESENTATIVE FROM MARYLAND 

Congresswoman MORELLA. Thank you very much. Thank you, 

Chairman Wyden. It is a privilege to be here and it is a privilege 

to have you chairing this Committee because you and I have 

worked together very well, and I have followed your career over in 

the Senate and you have continued to be the voice of moderation 

and good government. So thank you for that opportunity. 

It was interesting to also have Senator Nelson here, too, who also 

was my colleague in the House. 

Also, I feel privileged, Chief Paulison, to be able to have heard 

Senator Nelson’s introduction of you, and I must say I am very 

pleased that you have been chosen for the U.S. Fire Administration 

Chief. 

Well, I am here today to introduce Dr. Arden Bement, who is the 

designee for Director of the national Institute of Standards and 

Technology. As you know, NIST is dear to my heart, a major laboratory in Gaithersburg, Maryland. There is one also in Boulder, 

Colorado. I will be very pleased if its direction were left in Dr. 

Bement’s capable hands. 

As an engineer by training, Dr. Bement has a long and a distinguished career in both science and public service, holding numerous positions in government, industry, and academia. Currently he 

serves Purdue University as a chaired professor and head of the 

School of Nuclear Engineering at that institution. 

I found it very interesting to note that Dr. Bement is a proponent 

of more women in nuclear engineering and he has been actively 

trying to increase female enrollment at Purdue. Currently, female 

enrollment is about 20 percent. That is a pretty distinguished percentage and he would like to see it doubled in the next 2 to 3 years 

and has certainly contributed to that goal. 

7

In the past he has worked in the Department of Defense, he has 

sat on the national Science Board, overseeing the national Science 

Foundation, consulted for the DOE’s national laboratories, served 

on an advisory Committee to NASA. More to the point, he has been 

advising NIST in a variety of capacities continuously for the last 

20 years. He currently chairs the Advisory Committee for the Advanced Technology Program at NIST, has been a vocal proponent 

for the continuation of this highly successful and important program. 

Dr. Bement would be taking over at a very auspicious time for 

NIST. The Institute has recently celebrated its one hundredth anniversary, the oldest national laboratory in the nation. But NIST 

is far from being a stodgy old laboratory. Its state of the art facilities boast numerous advanced laboratories and its scientific discoveries have remained on the forefront. As you mentioned, Mr. Chairman, two Nobel Prizes in Physics have been awarded to NIST scientists in the last 5 years, one most recently. 

Modern, cutting edge laboratories have recently been commissioned. Others are in mid-construction. It remains the premier institution for standards in this country and its work in the area is 

unparalleled. 

Nevertheless, retaining the standards of excellence that have 

come to be associated with NIST will require strong, bold, effective 

leadership, and I am confident that Dr. Bement is just the man to 

provide it. His experience with government is extensive. He knows 

NIST inside and out. He has worked in both industry, academia, 

understands their needs and the importance of collaborations and 

partnerships. 

He has fresh ideas to lead the Institute into its second century 

and position it to solve tomorrow’s problems today. I hope that he 

will be quickly confirmed. 

I also note it is important, I think, when we nominate people for 

very important positions to look at their well- roundedness, and I 

would say that Dr. Bement is a Renaissance man. He loves the 

opera. As a matter of fact, he is an honorary member of the Cleveland Opera Board. 

I did want you to note also in his introduction of his son and his 

daughter-in-law and 3 of his grandchildren that this man has 9—

has 8 children, but he has 24 grandchildren. So he really cares 

about the future. 

Senator WYDEN. He is almost up to you. 

Congresswoman MORELLA. I know. That is why I started to say 

nine. 

But I have one more than he has, but he has got more grandchildren. 

But I am just very honored to speak in support of this wonderful 

nominee and this great, great nomination for the country. As 

Shakespeare would have said, or did say: ‘‘The force of his own 

merit makes his way.’’

Thank you, Mr. Chairman. 

Senator WYDEN. Thank you, Congresswoman Morella. He is really lucky to have you in his corner. That was an excellent presentation. As you know, I have watched you work on NIST issues over 

8

the years and you are really one of the people we look to for guidance on these issues. So we are pleased that you could come. 

Connie, my sense is we ought to excuse you unless you want to 

add anything further. 

Congresswoman MORELLA. Thank you. Thank you very much. 

Senator WYDEN. Thanks for coming. 

Congresswoman MORELLA. Thank you. 

[The prepared statement of Representative Morella follows:]

PREPARED STATEMENT OF HON. CONNIE MORELLA, U.S. CONGRESSWOMAN

FROM MARYLAND

Chairman Wyden, Senator Nelson, and Members of the Committee, it is with 

great pleasure that I am here to introduce Dr. Arden Bement Jr., the designee for 

Director of the National Institute of Standards and Technology. As you may know, 

NIST is very near to my heart, and I would be pleased if its direction were left in 

Dr. Bement’s capable hands. 

An engineer by training, Dr. Bement has had a long and distinguished career in 

both science and public service, holding numerous positions in government, industry, and academia. Currently, he serves Purdue University as a chaired professor 

and Head of the School of Nuclear Engineering at that institution. In the past he 

has worked in the Department of Defense, sat on the National Science Board overseeing NSF, consulted for the DOE’s national laboratories, and served on advisory 

committees to NASA. More to the point, he has been advising NIST in a variety 

of capacities continuously for the past 20 years. He currently chairs the Advisory 

Committee for the Advanced Technology Program at NIST and has been a vocal proponent for the continuation of this highly successful and important program. 

Dr. Bement would be taking over at an auspicious time for NIST. The institute 

has recently celebrated its 100th anniversary, but NIST is far from a stodgy, old 

laboratory. Its state-of-the-art facilities boast numerous advanced laboratories and 

its scientific discoveries have remained on the forefront. Two Nobel Prizes in Physics have been awarded to NIST scientists in the last 5 years. Modern, cutting edge 

laboratories have recently been commissioned and others are in mid-construction. It 

remains the premier institution for standards in this country and its work in this 

area is unparalleled. 

Nevertheless, retaining the standards of excellence that have come to be associated with NIST will require strong, bold, effective leadership. I am confident Dr. 

Bement is just the man to provide it. His experience with government is extensive 

and he knows NIST inside and out. He has worked in both industry and academia, 

and understands their needs and the importance of collaborations and partnerships. 

He has been a leader encouraging the next generation of scientists and engineering, 

particularly among women and other underrepresented groups. He has fresh ideas 

and a proven track record. I believe he is supremely qualified to lead the institute 

into its second century and position it to solve tomorrow’s problems today. I hope 

you will confirm him quickly. Thank you.

Senator WYDEN. All right, we are ready now for our witnesses. 

Dr. Bement, why do you not begin. In fact, first we’ll have your 

presentation, then we will hear from Mr. Paulison, and finally I 

will have questions for each of you. Welcome to both of you. We will 

make your prepared remarks a part of the record in full, and if you 

would like to just highlight some of your major concerns that would 

be helpful. 

STATEMENT OF ARDEN L. BEMENT, JR., NOMINATED TO BE

DIRECTOR OF THE NATIONAL INSTITUTE OF STANDARDS 

AND TECHNOLOGY 

Dr. BEMENT. Thank you very much, Mr. Chairman. 

I would first like to start by thanking Congresswoman Morella 

for her wonderful introduction. I am very much mindful of her wonderful record on the House Science Committee, her work in women’s rights, and also in civil service reform. She has been a steadVerDate Apr 24 2002 13:23 Aug 05, 2003 Jkt 087380 PO 00000 Frm 00012 Fmt 6633 Sfmt 6601 S:\WPSHR\GPO\DOCS\87380.TXT SCOM1 PsN: CAROLT
9

fast supporter of NIST and she has many grateful constituents at 

NIST. I am honored to join her list of grateful constituents if confirmed. 

She also made it possible for me to skip down in my opening remarks, since she covered my background more than generously. I 

am very much honored to add this capstone to my life’s work, being 

Director of NIST. I will devote all my energies and experiences to 

leading NIST to the next level of achievement. In that respect, I 

am very honored to be nominated by the President and also wish 

to thank Secretary Evans and Deputy Secretary Bodman for recommending me to this position. 

I believe that NIST continues to be a young organization which 

has the ability not only to think out of the box fundamentally, but 

also out of the Beltway in its outreach. It has sustained this ability 

through its extended networks and active collaborations with industry, academia, and other government agencies, and its longstanding practice of recruiting top graduates from universities to 

its intern programs. 

NIST also has a tradition of adapting to changing environments 

through its focus on constituent needs. This ability to remain at the 

cutting edge through continuing interaction is not only demonstrated by the many prestigious prizes won by NIST scientists 

and engineers, but also the prizes won by others that NIST has enabled. I consider it a great privilege to be associated with an Institute that now has two Nobel laureates. 

Finally, the credibility of NIST as an independent standards and 

technology institute in the service of the nation I regard as paramount. NIST has served the nation well as an unbiased arbiter and 

standard-setter in matters related to public safety and commerce 

and as an honest broker in promoting national technology leadership and in strengthening small manufacturers through advanced 

technologies. In my advisory roles with NIST I have found that 

independent assessment studies regularly show that the returns to 

the public from investments in NIST’s programs are very high. 

If confirmed, I will focus on the following objectives: First, adding 

strategic vision and direction to important NIST programs that 

have high importance to the nation, such as those NIST technologies that support homeland security. 

Second, strengthening the momentum achieved by former directors Prabhakar and Kammer in supporting national standard-setting organizations to improve their influence on international 

standard-setting processes. 

Third, being a good steward in maintaining the world-class capabilities of NIST’s aging infrastructure. In this regard, I wish to 

thank the Committee for providing the funding for the Advanced 

Chemical Sciences Laboratory, the Advanced Measurements Laboratory, and for providing initial funding to begin needed upgrades 

to the Boulder laboratories. These additions are coming on none too 

soon to address advances in quantum computing, nanoscale devices 

and sensors, and DNA diagnostic and analysis chips, among many 

other exciting technological advances. 

I hope that Members of the Committee will visit the Advanced 

Measurements Laboratory when it is completed and will continue 

to support our need for upgrades to the Boulder laboratories. 

10

My fourth goal is to provide stability to the advanced technology 

program, improve the impact of the manufacturing extensions program, and facilitating the extension of the Baldrige national Award 

program to health care an educational institutions. 

In closing, I regret that I have not had the opportunity to meet 

more Members of the Committee prior to this hearing and I pledge 

if confirmed I will seek your views and also seek to meet the other 

Members and discuss with them important issues facing NIST and 

its mission. 

Finally, I wish to thank my wife, family and colleagues at Purdue University for their support during these past 3 months leading to this hearing. There is much to be proud of these days in 

being an American and I am especially proud to be able to serve 

our great country in this role. 

I would be more than pleased to receive your questions. 

[The prepared statement and biographical information of Dr. 

Bement follow:]

PREPARED STATEMENT OF ARDEN L. BEMENT, JR., NOMINEE TO BE DIRECTOR, NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY, U.S. DEPARTMENT OF

COMMERCE

Mr. Chairman, Senator McCain and members of the Committee: 

I wish to thank you for the opportunity to appear before you today regarding my 

nomination to be Director of the National Institute of Standards and Technology. 

I am honored to be nominated to this position by President Bush and wish to thank 

Secretary Evans for recommending me for this position. 

My professional career has included responsible positions directing research and 

technology in government, industry and academia. These positions have included 

Deputy Under Secretary of Defense for Research and Engineering, Director of the 

Office of Materials Science of DARPA, Member of the National Science Board, Vice 

President of Science and Technology for TRW and professorships at both MIT and 

Purdue University. As I look back over my career it seems that all of my past work 

has prepared me for this opportunity of leading NIST into the twenty-first century. 

If confirmed, I will be greatly honored to add this capstone to my life’s work and 

will devote all of my energies and experiences to leading NIST to the next level of 

achievement. 

I have had the privilege of serving NIST continuously in a variety of advisory appointments over the past 20 years. These have included membership on the NRC 

Board of Assessment, as Chairman of the NBS Statutory Advisory Committee and 

the successor Visiting Committee for Advanced Technology, as a member of the 

Board of Overseers for the Baldrige National Quality Award Program, and as Chairman of the Advanced Technology Program Advisory Committee. In these capacities 

I have witnessed NIST grow in excellence and scope during the tenure of four of 

its eleven former directors. 

I believe that NIST continues to be a young organization, which has the ability 

not only to think ‘‘out of the box’’ fundamentally but also ‘‘out of the beltway’’ in 

its outreach. It has sustained this ability through its extended networks and active 

collaborations with industry, academia and other government agencies and its longstanding practice of recruiting top graduates from universities through its 

postdoctoral programs. NIST also has the tradition of adapting to changing environments through its focus on constituent needs. This ability to remain at the cutting 

edge through continuing interaction is not only demonstrated by the many prestigious prizes won by NIST scientists and engineers but also the prizes won by others based on NIST advances in science and technology. I consider it a great privilege 

to be associated with an institution that now has two Nobel Laureates. 

Finally, the credibility of NIST as an independent standards and technology institute in the service of the nation I regard as paramount. NIST has served the nation 

well as an unbiased arbiter and partner in developing standards in matters related 

to public safety and commerce and as an ‘‘honest broker’’ in promoting national 

technology leadership and in strengthening small manufacturers through advanced 

technologies. In my advisory roles I have found that independent assessment studies 

regularly show that the returns to the public from investments in NIST programs 

are very high. 

11

If confirmed I will focus on the following objectives: 

1. Adding strategic vision and direction to important NIST programs that have 

high importance to the nation, such as those NIST technologies that support homeland security. 

2. Strengthening the momentum achieved by former directors Prabhakar and 

Kammer in supporting national standards developing organizations to improve their 

influence on international standards to promote American interests. 

3. Being a good steward in maintaining the world-class capability of NIST’s aging 

infrastructure. In this regard I wish to thank the committee for providing the funding for the Advanced Chemical Sciences Laboratory and the Advanced Measurement 

Laboratory, and for providing initial funding to begin needed upgrades to the Boulder Laboratories. These additions are coming on line none too soon to address advances in quantum computing, nanoscale devices and sensors, and DNA diagnostic 

technologies, among many other exciting technological advances. I hope that members of the committee will visit the Advanced Measurement Laboratory when it is 

completed, and will support our continuing need for upgrades to the Boulder Laboratories. 

4. Providing stability to the Advanced Technology Program, improving the impact 

of the Manufacturing Extension Program, and facilitating the extension of the 

Baldrige National Award Program to health care and educational institutions. 

In closing, I regret that I have not had the opportunity to meet with more members of the committee and their staff directors prior to this hearing. I pledge that 

if confirmed I will seek your views on the important issues facing NIST and its mission. 

Finally, I wish to thank my wife, family, and colleagues at Purdue University for 

their support during the past 3 months leading to this hearing. There is much to 

be proud of these days in being an American, and I am especially proud to be able 

to serve our great country in this role. 

A. BIOGRAPHICAL INFORMATION

1. Name: Arden L. Bement, Jr. 

2. Position to which nominated: Director, National Institute of Standards and 

Technology, Department of Commerce. 

3. Date of nomination: N/A. 

4. Address: (Information not released to the public). 

5. Date and place of birth: May 22, 1932, Pittsburgh, Pennsylvania. 

6. Marital status: Married to Louise C. (nee: Capestrain) Bement. 

7. Names and ages of children: Kristine Marie Clayton (DOB: 6/15/53) 48 years 

old; Kenneth James Bement (DOB: 10/2/54) 46 years old; Vincent Lloyd Bement 

(DOB: 9/4/56) 45 years old; Cynthia Ann Smart (DOB: 3/19/58) 43 years old; Mark 

Francis Bement (DOB: 9/17/59) 42 years old; David Alan Bement (DOB: 5/7/61) 40 

years old; Paul Andre Bement (DOB: 8/19/63) 38 years old; Mary Loretta Swope 

(DOB: 2/1/65) 36 years old; Kim Kellogg Smiley (DOB: 9/24/49) 52 years old; Robert 

Kevin Smiley (DOB: 5/18/54) 47 years old; Susanne Courtland Smiley (DOB: 2/27/

59) 42 years old. 

8. Education: Washington Junior High School, New Castle, PA 1944–1947, Diploma, May 1947; New Castle High School, New Castle, PA 1947–1949, Diploma, 

May 1949; Colorado School of Mines, Golden, CO 1950–1954, E. Met., May 1954; 

University of Idaho, Moscow, ID 1956–1959, M.S., May 1959; University of Michigan, Ann Arbor, MI 1959–1963, Ph.D., May 1963. 

9. Employment record: 1954–1955: Research Metallurgist, Fuels Development Operation, Hanford Laboratory, Hanford Atomic Products Operation, General Electric 

Company, Richland, WA. Responsible for nuclear reactor fuel characterization and 

process design for the Hanford production reactors; 1955–1957: Reactor Project Engineer, Hanford Irradiation Processing Department, Hanford Atomic Products Operation, General Electric Company, Richland, WA. Responsible for the successful design, installation, and acceptance testing of reactor process instrumentation and 

process water chemical addition facilities; 1957–1965: Senior Research Fellow, Metallurgy Research Operation, Hanford Laboratories, Hanford Atomic Products Operation, General Electric Company, Richland, WA. Responsible for basic investigations 

on the effects of nuclear radiation on the fundamental properties of reactor fuels 

and reactor structural materials; 1965–1968: Manager, Metallurgy Research Department, Battelle Northwest Laboratories, Richland, WA. Responsible for direction of 

the research and development activities of approximately 50 scientists, engineers 

and technicians in programs in metallurgy research and the effects of irradiation 

on the mechanical and physical properties of nuclear reactor fuels and structural 

12

materials. Coordinated the national USAEC program in Irradiation Effects in Reactor Structural Materials involving ten participating laboratories. Member of the U.S. 

Libby-Cockcroft Exchange on the Effects of Irradiation on Structural Materials and 

the USAEC Heavy Section Steel Technology Program; 1968–1970: Manager, Fuels 

and Materials Department, Battelle Northwest Laboratories, Richland, WA. Responsible for direction of the research and development activities of approximately 100 

scientists, engineers and technicians in programs in metallurgical research, nuclear 

structural materials, defense weapons technologies, biomaterials, manufacturing 

technology, isotope power sources, and the design, fabrication, and irradiation testing of advanced nuclear fuel elements. Member of USAEC international technology 

exchange programs with the U.K., Canada, Japan, Sweden, Denmark, and Norway 

1970–1976: Professor of Nuclear Materials, Massachusetts Institute of Technology, 

Cambridge, MA. Developed academic and research programs in support of advanced 

energy conversion technologies, fuel management and physical metallurgy. Supervised research programs in insitu radiation creep, proton scattering in solids, materials development for magnetohydrodynamic (MID) power systems, nuclear fusion’ and fission reactor materials, and reactor safety. Served as a member of the U.S.-

U.S.S.R. Bilaterial Exchange Program in MHD and as principal investigator for the 

MIT Fusion Technology Program. Was co-director of the MIT Summer Course in Reactor Safety; 1976–1979: Director, Materials Science Office, Defense Advanced 

Projects Agency, Department of Defense, Arlington, VA. Responsible for sponsored 

research programs in structural, optical and electronic materials for advanced defense systems. Supervised five project managers in major programs in advanced materials, fiber-optic sensors, compound semiconductors, very-large-scale integrated 

circuits, laser optics, and advanced armor and anti-armor materials; 1979–1980: 

Deputy Under Secretary of Defense for Research and Engineering, Department of 

Defense, The Pentagon, Washington, DC. Responsible for overall management of the 

science and, technology programs of the Department of Defense to include the OSD 

program offices for directed-energy weapons and very-high-speed integrated circuits 

(VHSIC). Was also responsible for related activities, such as the Manufacturing 

Technology Program and the monitoring of Defense Federal Contract Research Centers, the Independent Research and Development Program, and the Small Business 

Innovation Research (SBIR) Program. These programs had an aggregate budget of 

more than three billion dollars. Served as DOD Principal on the OSTP Federal Coordinating Council on Science, Engineering and Technology and the Committee on 

International Science, Engineering and Technology. Also, was the principal DOD 

representative on the Technical Cooperation Program (TTCP), the Synthetic Fuels 

Task Force, and the NATO Defense Research Group; 1980–1988: Vice President for 

Technical Resources, TRW Inc., Cleveland, OH. Responsible for identifying and evaluating emerging technologies and for recommending product, material, and ‘ process 

development projects. Responsibilities included the development of special relationships with selected universities and the recruiting of key individuals in new technologies of interest to TRW; 1988–1992: Vice President for Science and Technology, 

TRW Inc., Cleveland, OH. Responsible for leading company wide programs in the 

acquisition and use of advanced technologies of high leverage for TRW businesses. 

Responsibilities included strategic technology planning, technology resource sharing, 

international technology alliances, university programs, technical consulting with 

business units, the company’s purchasing function, information technology function, 

and environmental control and quality functions. Supported CEO leadership in the 

implementation of the Malcolm Baldridge National Quality Award criteria; 1992–

1988: Basil Turner Distinguished Professor of Engineering, School of Materials Engineering and School of Electrical and Computer Engineering, Purdue University, 

West Lafayette, IN. Responsible for academic and research programs in high temperature superconductors and ferroelectric materials. Also, directed the Midwest 

Superconductivity Consortium of the USDOE, involving the collaborative research 

activities of six major Midwest research universities, to include R&D partnerships 

with 16 participating companies and federal laboratories; 1988: David A. Ross Distinguished Professor of Nuclear Engineering and Head, School of Nuclear Engineering, Purdue University, West Lafayette, IN. Responsible for a department of ten faculty members, 16 technical and administrative staff members; and over one hundred 

undergraduate and graduate students. The School conducts over six million dollars 

of research in two-phase flow, reactor safety, nuclear reactor simulation, nuclear’

medicine, complex adaptive systems, and direct energy conversion.’ Sponsors include 

DOE, NRC, US Navy, NASA, NSF, and industry. 

10. Government experience: 1968–1970: Councilman, city of Richland, WA; 1966–

1969: Technical Coordinator, Irradiation Effects to Reactor Structural Materials 

Program, Division of Reactor Development and Technology, USAEC; 1967–1970: 

Member, Program Review Committee, Heavy Section Steel Technology Program, 

13

USAEC; 1968–1970: Member, Working Group on Fast Reactor Cladding, USAEC; 

1970–1973: Member, Radiation Effects Subcommittee, Technology Committee, Division for Controlled Thermonuclear Reactors, USAEC; 1970–1976: Consultant, Advisory Committee for Reactor Safeguards, U.S. Nuclear Regulatory Commission; 

1972–1973: Technical Coordinator, MHD Materials Program, Office of Coal Research, USDOI; 1980–1986: Member, Advisory Panel to the Congressional Task 

Force on Technology Policy, Congressmen McKay and Packard, Cochairmen; 1980: 

Member, Study Committee for the Energy Research Advisory Board, USDOE and 

the Office of Technology Assessment on the Mission of Weapons Laboratories; 1980– 1986: Member and Chairman, NIST Statutory Visiting Committee, USDOC; 1980– 1986: Consultant; Defense Science Board, USDOC; 1989–1995: Member, National 

Science Board, National Science Foundation (served on the Program, Polar Research, Inspector General and Science and Engineering Indicators (chaired) Committees); 1992–1998: Member, Technology and Commercialization Advisory Committee, NASA; 1995–1998: Member, Space Station Utilization Advisory Subcommittee, NASA; 1998–1991: Member, Board of Overseers, Malcolm Baldridge National Quality Award Program, USDOC; 1996: Chairman, NSF Workshop on the 

Urban Infrastructure; 1994–1995: Member, Board of Assessment, state of Texas Research Fund; 1996–1997: Member, Board of Assessment, state of Ohio Instrumentation Program; 1996: Member, Advisory Committee for the Organization of the Air 

Force Laboratory, USAF; 1997–2001: Member, Visiting Committee for the Directorate for Social, Behavioral and Economic Sciences, NSF; 1998–2001: Member and 

Chair, state of Nebraska Research Program Review Committee, University of Nebraska (1998–2001); 1999–2001 Member and Chairman, Advanced Technology Advisory Committee, NIST, USDOC. 

11. Business relationships (Corporate Directorships): Director, Keithley Instruments, Inc., Solon Ohio (1984–2001) Membership on Audit, Strategy, and Compensation Committees; Director, Lord Corporation, Cary NC (1987–2001). Membership on Strategy, Human Relations, and Compensation Committees. 

Consulting Positions (Industry): Battelle Memorial Institute (1970–1976); The Materials Property Council (1970–1983); Wah Chang Albany Corporation (1970–1973); 

Atomic Power Development Associates (1970); Babcock and Wilcox (1972); United 

Technologies Corporation (1980–1988); TRW (1990–1997); Lockheed Martin: Idaho 

Engineering and Environmental Laboratory (1999–2001); Member, Science Advisory 

Committee, AI Ware, Cleveland, Ohio (1984–1987); Chair, Exploratory Research Advisory Committee, Electric Power Research Institute (1990–1995); Member, Nuclear 

Operating Committees Commonwealth Edison Co. (1994–1998); Member, Advisory 

Committee for Strategic R&D, Electric Power Research Institute (1995); Member; 

Science Advisory’ Committee, Oryx Technologies, Fremont CA (1990–1998); Member, Science Advisory Committee, Midwest Superconductivity, Inc., Lawrence KA 

(1996–1998); Member, Science and Technology Advisory Committee, Howmet International Corporation (1999–2001). 

Consulting/Advisory Positions (National Laboratories): Member, Visiting Committee, Materials Science Division, Argonne National Laboratory (1970–1973); Member and Chair, Visiting Committee, Metallurgy and Ceramics Division, Oak Ridge 

National Laboratory (1972–1975); Member, Visiting Committee, Materials Technology Division, Lawrence Livermore National Laboratory (1974–1975); Member 

and Chair, Visiting Committee for the Materials Science and Technology Division, 

Los Alamos Scientific Laboratory (1996–1999); Member, Visiting Committee for the 

Chemical Technology Committee, Argonne National Laboratory (1998–2001); Member, Board of Overseers, Fermi National Accelerator Laboratory, University Research Association, Inc. (1999–2001); Membership on Administration and Audit 

Committees of the Board. 

Consulting/Advisory Positions (Universities): Chair, Science Advisory Committee, 

Howard University (1981–1984); Chair, Advisory Committee for the School of Engineering, Cleveland State University (1982–1986); Member, National Advisory Committee to the School of Engineering, The University of Michigan (1980–1986); Member, Advisory Committee to the School of Engineering, The Ohio Sate University 

(1980–1984); Member, Visiting Committees to the School of Engineering, MIT: Department of Aeronautics and Aerospace Engineering (1989–1992), Department of 

Materials Science and Engineering (1992–1995), Department of Mechanical Engineering (1995–1998); Member, Visiting Committee, Department of Nuclear Engineering, University of Wisconsin (1992–1995); Member, Advisory Committee for Engineering Center of Design, Carnegie Mellon University (1982–1984); Member, Advisory Committee, Case Institute of Technology; CWRU (1980–1985); Member, Steering Committee, Center for Integrated Design and Manufacturing, Purdue University 

(1981–1986); Member, Board of Visitors, Software Engineering Institute, Carnegie 

Mellon University (1983–1991); Member, Advisory Committee, University TechVerDate Apr 24 2002 13:23 Aug 05, 2003 Jkt 087380 PO 00000 Frm 00017 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\87380.TXT SCOM1 PsN: CAROLT
14

nologies, Inc., Case Western Reserve University (1990–1992); Member, Advisory 

Committee for the Establishment of a College of Engineering, Rowan College of New 

Jersey (1993–1994); Member, Advisory Committee, School of Engineering, University of California at Berkeley (1992–1998); Member, Advisory Committee for the Executive Course on Technology Policy, George Mason University (1994); Chair, Assessment Committee for the Institute for Advanced Technology, University of Texas, 

Austin (1996); Member, Assessment Committee for the Center for Electromechanics, 

University of Texas, Austin (1996); Member, Visiting Committee, Center for Risk 

Management, University of Virginia (1997–1998); Member; Program Review Committee, Nuclear Engineering Program, University of Missouri, (1999); Member, Program Review Committee, Department of Materials Science and Engineering, The 

University of Michigan (2000); Member, Visiting Committee, Department of Materials Science and Engineering, Northwestern University (1999–2001). 

12. Membership: National Research Council: Member and Chairman, National 

Materials Advisory Board (1982–1986); Chairman, Commission for Engineering and 

Technical Systems (1986–1992); Member, Board on Science and Technology for 

International Development (1983–1984); Member, Board on Army Science and Technology (1984–1986); Member, Engineering Research Board (1984–1986); Member, 

Advisory Committee on Advances in Materials Research and Development (1985– 1987); Co-Chairman, Steering Committee for Materials Science and Engineering 

Field Study (1985–1989); Member, Committee on Space Policy (1987–1988); Member, NRC Finance Advisory Committee (1987–1988); Member, Committee on Key 

Issues in the Future Design and Implementation of U.S. National Security Export 

Controls (1989–1991); Member, NAS-Japan Study Committee for the Promotion of 

Science (1991); Member, Committee on International Intellectual Property Rights in 

Science and Technology (1991–1993); Member, NRC Board of Assessment of NBS 

Programs (1976–1980); Member, Committee on Materials for the 21st Century 

(1991–1992); Member, U.S. National Committee on Theoretical and Applied Mechanics (1989–1992); Chairman, Workshop on Research Progress Measurement and 

Management Decision Making (1992); Member, Corporate Council for Mathematics 

and Science Education Executive Committee (1992–1993); Chair, Project Guidance 

Group on Careers in Science and Engineering, Committee on Science; Engineering 

and Public Policy (1995–1996); Member, Board on Air Force Science and Technology 

(1996); Chair, Panel on International Benchmarking of U.S. Materials Science and 

Engineering Research (1997–1998); Chair, Transportation Research Board Committee for the Review of the National Automated Highway System Consortium 

(1997–1998); Member, Report Review Committee (1998–2001); Member, Committee 

on Integration of Commercial and Military Manufacturing in 2010 and Beyond 

(2001). 

Community Service: Councilman, city of Richland WA (1968–1970); Founder and 

Commissioner, Benton-Franklin Regional Arts Commission, Benton and Franklin 

Counties, WA (1969–1970); Chairman, Boards of Public Health, Mental Health and 

Mental Retardation, Benton and Franklin Counties, WA (1969–1970); Member, 

Board for Community Action, U.S. Office of Economic Opportunity, Benton and 

Franklin Counties, WA (1969–1970); President, Allied Arts Council for the Mid-Columbia Region, Richland, WA (1968–1970); Member, Board of Trustees, Cleveland 

Opera Company (1980–1992); Member, Board of Trustees and Chair, Architectural 

Committee, Great Lakes Science Museum (1990–1992); Member, Steering Committee for Adventure Place, Akron, Ohio (1990–1992); Member, Board of Trustees, 

Society for the Prevention of Violence, Cleveland, OH (1988–1992); Member, Steering Committee, Cleveland Advanced Manufacturing Program (1986–1992); Member, 

Lafayette Symphony Orchestra Board of Trustees, (1999–2001). 

International Activities: Member, U.S.-U.K. Libby Cockcroft Exchange on Irradiation Effects to Reactor Structural Materials (1966–1969); Member, U.S.-Japan Exchange on Radiation Effects in Metals and Structural Materials (1968–1971); Member, U.S.-Scandinavian Exchange of Radiation Effects on Reactor Structural Materials (1968); Lecturer, Summer School on Radiation Effects in Matter, Romanian Institute for Atomic Physics (1971); Lecturer and Technical Advisor; Instituto 

Nacional de Energia Nuclear, Mexico (1971–1975); Technical Advisor, National Research Council, Taiwan (1973–1975); Member, U.S.-U.S.S.R. Bilateral Exchange on 

Magnetohydrodynamics (1973–1975); Member, USAID Mission to Thailand under 

the U.S.-Thailand Scientific Agreement (1983); Member, Special Committee to Assess Graduate Engineering Programs at the National University of Mexico (UNAM) 

(1996). 

13. Political affiliations and activities: (a) Councilman, city of Richland, WA 

(1968–1970): filled an unexpired term by vote of the council and was reelected unopposed. (b) None. (c). Life membership in the National Republican Committee, 

$750.00 in July, 2001. 

15

14. Honors and awards: Professional Society Fellowships: American Society of 

Chemists (1969), American Nuclear Society (1973), ASM International (1978). 

Leadership and Career Awards: Engineers Citation Award, University of California at Los Angeles (1985); Rackham Hall of Fame, The University of Michigan 

(1986); Doctorate Honorious Causa (Engineering), Cleveland Sate University (1989) 

Melville F. Coolbaugh Memorial Award, Colorado School of Mines (1991); Alumni 

Hall of Fame, University of Idaho (1991); Outstanding Alumnus Award, The University of Michigan Club of Cleveland (1992); Alumni Society Merit Award, College of 

Engineering, The University of Michigan (1993); National Materials Advancement 

Award, Federation of Materials Societies (1997); Distinguished Life Membership, 

ASM International (1998); Honorary Membership, American Ceramics Society 

(1999). 

Awards of Appreciation: U.S. Air Force Laboratories (1980); U.S. Department of 

Defense (1980); U.S. Department of Defense, for Outstanding Contributions to the 

Defense Equal Opportunity Program (1981); Federation of Materials Societies 

(1984); Cleveland State University (1985); National Institute for Standards and 

Technology (1991); Department of Commerce (1992); National Research Council 

(1992); Electric Power Research Institute (1993); Department of Commerce (1993, 

1994, 1995, 1996). 

Performance Awards and Medals: Outstanding Performance Award, Defense Advanced Research Projects Agency (1977); Distinguished Federal Executive Award 

(1980); Distinguished Civilian Service Medal, U.S. Department of Defense (1980); 

Outstanding Service Award, Department of Commerce (1995); 

Lectureships and Commencement and Keynote Addresses: Keynote Speaker, Cleary 

Scientific and Schwartz Engineering Awards Banquet, U.S. Air Force Materials 

Laboratory (1980); Commencement Speaker, Gonzaga University (1984); Distinguished Lectureship in Materials and Society, ASM and ARVIE (1986); Regents Professorship; University of California at Los Angeles (1987); McBride Global Currents 

Lecturer, Case Western Reserve University (1987); Comencement Speaker, Cleveland State University (1987); Commencement Speaker, University of Idaho (1991). 

Biographical Listings: American Men and Women of Science, Marquis Who’s Who 

in the World: In America, In the Midwest, In Science; Federal Staff Directory (1976– 1982); Strathmore’s Who’s Who (1998–1999). 

15. Published writings: Books: A.R. Rosenfield, G.T. Hahn, A.L. Bement, Jr. and 

R.I. Jaffee, Dislocation Dynamics, McGraw Hill Book Company, NY (1968); D.G. 

Franklin, G.E. Lucas and A.L. Bement, Jr., Creep of Zirconium Alloy’s in Nuclear 

Reactors, ASTM Spec. Tech. Publ. 815, (1983). 

Monographs: A.L. Bement, Jr., ‘‘Void Formation in Irradiated Austenitic Stainless 

Steels,’’ Advances in Nucl. Sci. & Eng., 7, Academic Press; New York (1973). 

Book Contributions: A.L. Bement, Jr. and J.E. Irvin, ‘‘Automatic Processing of Mechanical Properties Data,’’ Computer Applications in Metallurgical Engineering,

American Society for Metals, Metals Park, Ohio (1964); R.A. Oriani and A.L. 

Bement, Jr., ‘‘Interstitial Phases and Solutions,’’ Phase Stability in Metals and Alloys, McGraw-Hill, New York (1967); F.A. Smidt, 7r. and A.L. Bement, Jr. ‘‘Thermally Activated Dislocation Motion and its Application to the Study of Radiation 

Damage,’’ Dislocation Dynamics, McGraw-Hill, New York (1968); A.L.Bement, Jr., 

F.A. Smidt, Jr. and R.G. Hoagland, ‘‘Fracture Mechanisms and Radiation Effects,’’

Engieering Fundamentals and Environmental Effects, Vol. III, Fracture, An Advanced Treatise, edited by H. Liebowitz, Academic Press, New York (1969); A.L. 

Bement; Jr., ‘‘Biomaterials’’, Encyclgpedia of Chemistry, Third Edition; C.A. Hampel 

and G.G. Hawley, eds., Van Nostrand Reinhold Co., New York (1973); A.L. Bement, 

Jr. and E.C. Van Reuth, ‘‘Quo Vadis—RSR,’’ Rapid Solidification Processing, Principles and Technolozies—II, Claitor’s Publishing Division, Baton Rouge, LA (1980) 

Formal Reports of the Atomic Energy Commission: (1) A. L. Bement, Jr., ‘‘The Influence of Uneven Quenching Rates on the Warping of Uranium Slugs,’’ USAEC 

Formal Report HW–33651, Hanford Atomic Product Operations, General Electric, 

Co., Richland, WA (1954); (2) A. L. Bement, Jr., ‘‘An Investigation of the Properties 

of Rolled Uranium Related to the Quench after Beta Heat Treatment,’’ USAEC Formal Report HW–33726, Hanford Atomic Product Operations, General Electric Co., 

Richland, WA (1954); (3) A. L. Bement, Jr., ‘‘A Comparison of Sonic and X-ray Orientation Data for Uranium Quenched at Different Rates from the Beta Phase,’’

USAEC Formal Report HW–33937, Hanford Atomic Product Operations, General 

Electric Co., Richland; WA (1954); (4) A. L. Bement, Jr., ‘‘The Presence and Removal 

of Hydrogen in Punched and Machined Uranium Washers,’’ USAEC Formal Report 

HW–48293, Hanford Atomic Product Operations, General Electric Co., Richland, WA 

(1957); (5) A. L. Bement; Jr., and W. P. Wallace, ‘‘A Martensitic Reaction of Uranium,’’ USAEC Formal Report HW–51084, Hanford Atomic Product Operations, 

General Electric Co., Richland, WA (1957); (6) A. L. Bement, Jr., and V. E. Kahle, 

16

‘‘Reaction Layers Formed by Leadbath and Salt-bath Heat Treatments of Uranium,’’ USAEC Formal Report HW–52049, Hanford Atomic Product Operations, General 

Electric Co., Richland, WA (1957); (7) A. L. Bement, Jr., ‘‘The Effects of Carbon Content on the Rate of Dissolution of Dinget Uranium in Nitric Acid,’’ USAEC Formal 

Report HW–52430, Hanford Atomic Product Operations, General Electric Co., Richland, WA (1957); (8) A. L. Bement, Jr., and D. W. Rathbun, ‘‘Status Report on the 

Properties of Centrifugally Cast Uranium,’’ USAEC Formal Report HW–53569, Hanford Atomic Product Operations, General Electric Co., Richland, WA (1958); (9) A. 

L. Bement, Jr., and V. E. Kahle, ‘‘The Diffusion Layer Formed by Molten Lead Reaction with Uranium,’’ USAEC Formal Report HW54628, Hanford Atomic Product Operations, General Electric Co., Richland; WA (1958); (10) A. L. Bement, Jr., ‘‘Burnup 

and Specific Power Calculations for the Thermal Neutron Irradiation of Thoriumuranium Alloys,’’ USAEC Formal Report HW–56631, Hanford Atomic Product Operations; General Electric Co., Richland, WA (1958); (11) A. L. Bement, Jr., and R. 

L. Hales, ‘‘Neutron Damage to Metals—A Program Document,’’ USAEC Formal Report HW–59300A, Hanford Atomic Product Operations, General Electric Co., Richland, WA (1959); (12) A. L. Bement, Jr., ‘‘The Effects of Low Neutron Exposures at 

Low Temperature on the Hardness and Tensile Properties of Natural Uranium,’’ USAEC Formal Report HW–60326; Hanford Atomic Product Operations, General 

Electric Co., Richland, WA (1959); (13) K. R. Wheeler, H. J. Pessl; and A. L. 

Bement, Jr., ‘‘Effects of, Reactor Environment on Candidate PRTR Gas-loop Materials,’’ USAEC Formal Report HW, 62543, Hanford Atomic Product Operations, General Electric Co., Richland, WA (1959); (14) D. L. Gray and A. L. Bement, Jr., ‘‘Effect of Irradiation upon Mechanical Properties of Zircaloy–2,’’ USAEC Formal Report 

HW–62422, Hanford Atomic Product Operations, General Electric Co., Richland, WA 

(1959). (15) A. L. Bement, Jr., ‘‘Tensile Properties of Irradiated Thorium,’’ USAEC 

Formal Report HW–66643, Hanford Atomic Product Operations, General Electric 

Co., Richland, WA (1960). (16) A. L. Bement, Jr., ‘‘Examination of an Irradiated, 

Zircaloy–2, Hot Water Loop Tube,’’ USAEC Formal Report HW–65499, Hanford 

Atomic Product Operations, General Electric Co., Richland, WA (1960); (17) A. L. 

Bement, Jr., and L. D. Coffin, ‘‘Automatic Processing of Tensile Test Data,’’ USAEC 

Formal Report HW–71570, Hanford Atomic Product Operations, General Electric 

Co., Richland, WA (1963); (18) A. L Bement, Jr., ‘‘Effects of Cold Work and Neutron 

Irradiation on the Tensile Properties of Zircaloy–2,’’ USAEC Formal Report HW– 74953, Hanford Atomic Product Operations, General Electric Co., Richland, WA 

(1963); (19) A. L. Bement, Jr., and J. E. Irvin, ‘‘Materials Irradiations in the ETRG–7 Hot Water Loop,’’ USAEC Formal Report HW–80615, Hanford Atomic Product 

Operations, General Electric Co., Richland, WA (1964); (20) A. L. Bement, Jr., and 

J. E. Irvin, ‘‘The Effects of Hot-water Thermal Treatments in the Cold Work Recovery of the Tensile Properties of Zircaloy–2,’’ USAEC Formal Report HW–80309, 

Hanford Atomic Product Operations; General Electric Co., Richland, WA (1964); (21) 

A. L. Bement, Jr., and R. G. Hoagland, ‘‘Fracture Studies of Zircaloy–2,’’ USAEC 

Formal Report HW–82681, Hanford Atomic Product Operations, General Electric 

Co., Richland, WA (1964); (22) J. E. Irvin, A. L. Bement, Jr., and R. G. Hoagland, 

‘‘The Combined Effects—of Temperature and Irradiation on the Mechanical Properties of Austenitic Stainless Steels,’’ USAEC Formal Report BNWL–1, Pacific 

Northwest Laboratory, Battelle Memorial Institute, Richland, WA (1965); (23) A. L. 

Bement, Jr., R. E. Dahl and J. E. Irvin, ‘‘Fast Neutron Flux Characteristics of the 

ETR-G–7 Hot Water Loop,’’ USAEC Formal Report BNWL–89, Pacific Northwest 

Laboratory, Battelle Memorial Institute, Richland, WA (1965); (24) A. L. Bement, 

Jr., and L. E. Steele, ‘‘USAEC-Industry Meeting on Irradiation Effects to Reactor 

Structural Materials,’’ USAEC Formal Report BNWL–609, Pacific Northwest Laboratory, Battelle Memorial Institute, Richland, WA (1967). 

Journal Publications: (1) A. L. Bement, Jr., ‘‘Tensile Properties of Irradiated Thorium,’’ Journal of Nuclear Materials, 6 (1962); (2) A. A. Dykes and A. L. Bement, 

Jr., ‘‘Void Formation in Nickel by Flash Heating,’’ J. Nucl. Mater., 42, 223–226 

(1972); (3) J. B. Vander Sande and A. L. Bement, Jr., ‘‘Investigation of Second-phase 

Particles in Zircaloy–4 Alloys,’’ J. Nucl. Mater., 52, 115–118 (1974); (4) G. E. Lucas 

and A. L. Bement, Jr., ‘‘The Effect of a Zirconium StrengthDifferential on Cladding 

Collapse Predictions;’’ J. Nucl. Mater., 58, 246252(1974); (5) E. Lucas and A. L. 

Bement, Jr., ‘‘Temperature Dependence of the Zircaloy–4 Strength-differential,’’ J. 

Nucl. Mater., 58, 163–170 (1975); (6) P. Hendrick, A. L. Bement,. Jr., and O. K. 

Harling, ‘‘Proton-simulated Irradiation-induced Creep,’’ Nucl. Instrum. Meth., 124, 

389–395 (1975); (7) P. Hendrick, D. J. Michel, A. G. Pieper, R. E. Surratt,-and A. 

L. Bement, Jr., ‘‘Simulation of Irradiation-induced Creep in Nickel,’’ J. Nucl Mater., 

59, 229–23; (8) P. Hendrick, D. J. Michel, A. G. Pieper, R. E. Surratt, and A. L. 

Bement, Jr., ‘‘Simulation of Irradiation-induced Creep in Nickel,’’ J Nucl. Mater., 59, 

229–23; (9) P. Hendrick, D. J. Michel, A. G. Pieper, R. E. Surratt, and A. L. Bement, 

17

Jr., ‘‘Ion Simulation Irradiation-induced Creep,’’ Nucl. Instrum. Meth., 133, 509–52; 

(10) C. Peterson, S. Mansour and A. L. Bement, Jr., ‘‘Effects of ‘Optical Illumination 

on Fatigued Lead, Zirconate Titanate Capacitors,’’ Integ. Ferroelec., 7, 139–147 

(1995); (11) C. Peterson, S. A. Mansour, A. L. Bement, Jr., and G. Liedl,’’ Optical 

Studies of PZT/Metal and Metal-Oxide Interfaces,’’ Integ. Ferroelec., ,7, 139–147 

(1995); (12) A. V. Rao, S. Mansour, and A. L. Bement, Jr., ‘‘Fabrication of Ferroelectric PZT Thin Film Capacitors with Indium Tin Oxide (ITO) Electrodes,’’ Mater. 

Ltrs., 29, 255–258 (1996); (13) E. N. Paton, M. Brazier, S. Mansour, and A. L. 

Bement, Jr., ‘‘A Critical Study of Defect Migration and Ferroelectric Fatigue in Lead 

Zirconate Titanate Thin Film Capacitors Under Extreme Temperatures’’, Integ. 

Ferroelec., 18, 529–537 (1997). 

Transactions and Conference Proceedings: (1) R. D. Pehlke and A. L. Bement, Jr., ‘‘Mass Transfer of Hydrogen between Liquid Aluminum and Bubbles of Argon Gas,’’ Trans. AIMS, 224 (1962); (2) A. L. Bement, Jr., Discussion on Paper by R. J. 

Wasilewski entitled ‘‘On Discontinuous Yield and Plastic Flow in a-titanium,’’ Trans.

ASM, 56 (1963); (3) A. L. Bement, Jr. and J. E. Irvin, ‘‘Automatic Processing of Mechanical Properties Data,’’ Metals Engineering Quarterly, 4 (1964); (4) A. L. Bement, 

Jr., J. C. Tobin, and R. G. Hoagland, ‘‘Effects of Neutron Irradiation on the Flow 

and fracture Behavior of Zircaloy–2,’’ Flow and Fracture of Metals and Alloys in Nuclear Environments; Special Technical Publication No. 380, ASTM 364–384 (1965); 

(5) A. L. Bement, Jr., J. E. Irvin, and R. G. Hoagland, ‘‘Combined Effects of Temperatures and Irradiation on the Mechanical Properties of Austenitic 15 Stainless 

Steels,’’ Flow and fracture of Metals and Alloys in Nuclear Environments, Special 

Technical Publication No. 380, ASTM, 236–250 (1965); (6) A. L. Bement, Jr., ‘‘Zirconium Cladding Alloys,’’ Proceedings of M.I.T. Symposium on Materials of Nuclear 

Power Reactors, Cambridge, MA (1966); (7) A. L. Bement, Jr., ‘‘Radiation Damage 

in Hexagonal Close-packed Metals and Alloys,’’ Proceedings of AIME Symposium on 

Radiation Effects, Asheville, NC, Gordon and Breach, NY, 671–725 (1967); A. L. 

Bement, Jr., ‘‘Effects of Minor Constituents on the Irradiation Damage to Austenitic 

Stainless Steels,’’ Proceedings of ASTM Symposium on the Effects of Residual Elements on Properties of Austenitic Stainless Steels, Special Technical Publication No. 

418, ASTM (1967); (9) R. G. Hoagland, A. L. Bement, Jr., and R. G. Rowe, ‘‘Applications of Fracture Mechanics in Evaluating the Initiation and Propagation of Brittle 

Fracture in Reactor Structural Components,’’ Proceedings of ASTM Symposium on 

the Effects of Radiation on Structural Metals, Special Technical Publication No. 426, ASTM, (1967); (10) J. E. Irvin and A. L. Bement; Jr., ‘‘The Nature and Engineering 

Significance of Radiation Damage to Various Stainless Steel Alloys,’’ Proceedings of 

ASTM Symposium on the Effects of Radiation on Structural Metals; Special Technical Publication No. 426, ASTM (1967); (11) E. R. Gilbert, A. L. Bement, Jr., and 

S. A. Duran, ‘‘Creep of Zirconium from 50 to 8501⁄2C,’’ Applications-related Phenomena for Zirconium and its’ Alloys, Special Technical Publication 458, 210–225, 

ASTM (1970); (12) A. L. Bement, Jr., ‘‘Fundamental Materials Problems in Nuclear 

Reactors,’’ Proceedings of 2nd International Conference on Strength of Metals and 

Alloys, ASM, 2, 693–728 (1970); (13) A. L. Bement, Jr., ‘‘Introduction of Wrap-up 

Session,’’ Proceedings of the Conference on Fast Reactor Fuel Element Technology, 

New Orleans, LA, ANS (1971); (14) A. L. Bement, Jr., ‘‘Radiation Effects on Zirconium and Zirconium Alloys,’’ Proceedings of the United States-Japan Seminar on 

Radiation Effects in Metals and Structural Materials, Kyoto, Japan (1971); (15) A. 

L. Bement, Jr., ‘‘Irradiation Effects of Structural Materials. II. Radiation Hardening,’’ Rev. Roum Phys., 17, 361–380 Bucharest (1972); (16) A. L. Bement, Jr., ‘‘Irradiation Effects of Structural Materials. II. Brittle Fracture,’’ Rev. Roum. Phys., 17, 

505–517, Bucharest (1972); (17) A. L. Bement, Jr., ‘‘Irradiation Effects of Structural 

Materials. III. High Temperature Embrittlement;’’ Rev. Roum. Phys., 17; 519–525, 

Bucharest (1972).; (18) A. L. Bement, Jr., ‘‘Irradiation Effects of Structural Materials. IV. Creep and Growth,’’ Rev. Roum. Phys., 17, 607–618, Bucharest (1972).; (19) 

A. L. Bement, Jr., ‘‘Irradiation Effects of Structural Materials. V. Void Swelling,’’ 

Rev. Roum. Phys., 17, 619–630 (1972); (20) H. K. Bowen, D. R. Uhlmann, J. F. 

Louis, J. W. Halloran, W. T. Petuskey, R. Goodof, and A. L. Bement; Jr., ‘‘High Temperature Electrodes,’’ Proceedings of the First USA-USSR Symposium on MHD, 

Moscow; (1974); (21) A. L. Bement; Jr., ‘‘Needs in Alloy Design for Nuclear Applications,’’ in Proceedings of Battelle Colloquium on the Fundamental Aspects of Structural Alloy Design, Seattle, WA and Harrison Hot Springs, BC (1975); (22) A. L: 

Bement, Jr., ‘‘Interrelationship Between Nuclear Fuel Design, Performance and 

Fabrication,’’ Proceedings of the International Symposium on Nuclear’ Power Technology and Economics, Taipei, Taiwan (1975); (23) Y. H. Choi A. L. Bement, Jr., and 

K. C. Russell, ‘‘The Effect of Fusion Burn Cycles on First Wall Swelling,’’ Proceedings of the International Conference on Radiation Effects and Tritium Technology for Fusion Reactors, Ed., J. S. Watson and F. W. Wiffin; 11.1–11.17 (1976); 

18

(24) P. L. Hendrick, D. J.’ Michel, A. G. Pieper, R. E. Surratt, and A. L. Bement, 

Jr., ‘‘Ion-simulated Irradiation Creep of Nickel,’’ Proceedings of the International 

Conference on Radiation Effects and Tritium Technology for Fusion Reactors, Ed., 

J. S. Watson and F. W. Wiffin (1976); (25) Y. Y. Liu and A. L. Bement, Jr., ‘‘Regression Approach for Zircaloy–2 Inreactor Creep Constitutive Equations,’’ M.I.T., Transcript of the 4th International Conference on Structural Mechanics in Reactor Technology, Structural Analysis of Reactor Fuel and Cladding, San Francisco, CA, Commission of European Communities, Luxemburg (1977); (26) A. L. Bement, Jr., 

‘‘Greening of Materials Science and Engineering,’’ Mater. Soc. V. 11, N4,415–432 

(1987); (27) A. L. Bement, Jr., ‘‘Greening of Materials Science and Engineering,’’ Metall. Trans. A., 18A, 363–375 (1987); (28) A. L. Bement, Jr., ‘‘Review and Forecast 

for NDE in Advanced Materials Technology,’’ Proceedings for the Conference for the 

Review of Progress in Quantitative NDE, University of California-San Diego, 

LaJolla, CA (1990); (29) A. L. Bement, Jr., ‘‘Progress in Materials Science,’’ Proceedings of the International Conference, Electricity Beyond 2000 Forum, Washington, DC: Electric Power Research Institute, Palo Alto, CA (1991); (30) A. L. 

Bement, Jr., ‘‘Utilization of Science and technology to Reduce Materials Vulnerability,’’ Materials and Society, 7 (1991); (31) C. R. Peterson, S. A. Mansour, and 

A. L. Bement, Jr., ‘‘An Optical Study of PZT Thin Film Capacitors,’’ Proceedings of 

the 7th International Symposium on Integrated Ferroelectrics, ACS (1995); (32) S. A. 

Mansour; J. L. Norton, G. L. Liedl, A. L. Bement, Jr., and C. Venkatraman, ‘‘Laser 

Beam Lithography of Metal Oxide Electrodes for PZT Memory Applications, ‘‘Proceedings of the MRS Spring Meeting, San Francisco, CA (1995); (33) J. L. Norton, 

S. A. Mansour, G. L. Liedl, A. L. Bement, Jr. And C. Venkatraman, ‘‘Laser Beam 

Lithography of Metal Oxide Electrodes for PZT Memory Applications,’’ Materials: 

Fabrication and Patterning at the Nanoscale, MRS, 380, 99–104 (1995); (34) S. A. 

Mansour, A. Rao, and A. L. Bement, Jr., ‘‘Photo-induced Effect Recovery in PZT 

Thin Film Capacitors with Oxide Contacts,’’ Materials for Smart Systems II, MRS, 

459, 201–206 (1997); (35) A. L. Bement, Jr., ‘‘Benchmarking National Leadership in 

Materials Science and Engineering.’’ Proceedings of the 5th International Conference 

on Modern Materials and Technologies, Florence, Italy, June 14–19, 1998; (36) A. 

L. Bement, Jr., ‘‘Status of Electrical and Magnetic Instruments as of the Turn of 

the Century’’, Proceedings of the Symposium on 20th Century Developments in Instrumentation and Measurements, American Physical Society Centennial Meeting, 

Atlanta, Georgia, March 21, 1999. 

Other Publications: (1) A. L. Bement, Jr., ‘‘Materials Problems in Advanced Energy Conversion,’’ University Forum on National Materials Policy, National Commission on Materials Policy, M.I.T., (1972); (2) A. L. Bement, Jr., and R. Kaplow, 

‘‘Materials Limitations in Advanced Energy Conversion Systems,’’ Report of the 

ARPA Materials Research Council Summer Conference, Centerville, MA (1972); (3) 

R. Kaplow, A. L. Bement, Jr, and M. Cohen, ‘‘Solar Energy,’’ Volume II of Preliminary Reports, Memoranda and Technical Notes of the Materials Research Council 

Summer Conference, LaJolla, CA., U. Of Michigan Report No.005020 (1973); (4) A. 

L. Bement, Jr., ‘‘Outlook for Technology in the 80’s,’’ Testimony before the Ohio 

House of Representatives Select Committee on Technology (1983); (5) A. L Bement, 

Jr., ‘‘National Perspectives on the Role of Universities and Industry Promoting 

Science and Technology,’’ Testimony before the Ohio Science and Technology Commission, Cleveland, OH (1989); (6) A. L. Bement, Jr., S. K. El-Rahaiby and C.‘ X. 

Campbell, ‘‘Bringing Advanced Materials to Market,’’ DoD Ceramics Information 

Analysis Center (CHIC), CINDAS, Purdue University (1995); (7) A. L. Bement, Jr., 

‘‘The Opportunities and Shortfalls of National Science and Technology Policy,’’ Materials Technology, 10, #3–4 (1995); (8) A. L. Bement, Jr., ‘‘Inventivity: The Art and 

Science of Research Management by John J. Gilman’’, Book Review, Materials Technology, 8, September/October 1993, Elsevier. 

Congressional Testimony: (1) J. E. Louis and A. L. Bement, Jr., ‘‘MHD Power Generation, an Assessment and a Plan for Action,’’ Testimony before the Task Force on 

Energy of the Subcommittee on Science, Research and Development of the Committee on Sciences and Astronautics, U.S. House of Representatives, 92nd Congress, 

Volume II, U.S. Government Printing Office, Washington, DC (1972); (2) A. L. 

Bement, Jr., and R. Kaplow, ‘‘Statement on the Importance of Materials in Power 

Technology,’’ Testimony before the Subcommittee on Space Science and Applications 

and Subcommittee on Energy of the Committee on Science and Astronautics, U.S. 

House of Representatives, 93rd Congress, U.S. Government Printing Office (May 24, 

1973); (3) A. L. Bement, Jr., ‘‘Utilization of Science and Technology to Reduce Materials Vulnerability,’’ Testimony before the Subcommittee on Science, Technology and 

Space, U.S. Senate Committee on Commerce, Science and Transportation (June, 

1982); (4) A. L Bement; Jr., ‘‘Views on the President’s National Materials and Minerals Plan and Report to Congress,’’ Testimony before the Schmitt Subcommittee on 

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Science, Technology and Space of the Senate Committee on Commerce, Science and 

Transportation (June 22, 1982); (5) A. L. Bement, Jr., ‘‘The Economic Competitiveness, International Trade and Technology Development Act for 1987,’’ Testimony before the Senate Committee on Government Affairs on Senate Bill 1233 (June 9, 

1987); (6) A. L. Bement, Jr., ‘‘Issues Related to the Development of Magneticallylevitated Transportation Systems Along the Federal Highway Rights of Way,’’ Testimony before the Subcommittee on Water Resources, Transportation and Infrastructure, Washington, DC (October 24, 1988); (7) A. L. Bement, Jr., ‘‘Authorization for 

the Appropriation for the Activities of the National Institute of Standards and Technology’’, Testimony before the Subcommittee on Space, Science and Technology, U.S. 

House of Representatives; Washington, DC (March 8, 1989); (8) A. L. Bement, Jr., 

‘‘Department of Commerce Technology Programs,’’ Testimony before the Subcommittee on Science, Research and Technology of the Committee of Science, Space 

and Technology, U.S. House of Representatives, Washington, DC (Feb. 6, 1990); (9) 

A. L. Bement, Jr., ‘‘The Trade and Technology Promotion Act of July, 1989,’’ Testimony before the Committee on Government Affairs, U.S. Senate on Senate Bill 

S. 1978, Washington, DC (June 12, 1990); (10) A. L. Bement, Jr., ‘‘Findings and Recommendations of the Visiting Committee on Advanced Technology of the National 

Institute of Standards and Technology,’’ Testimony before the Subcommittee on 

Science, Research and Technology, Committee on Science, Space and Technology, 

U.S. House of Representatives (Feb. 26, 1991); (11) A. L. Bement, Jr., ‘‘On the Midwest Superconductivity Consortium,’’ Testimony before the Energy and Water Development Subcommittee on Appropriations, Committee on Appropriations, U.S. 

House of Representatives (April 1, 1993); (12) A. L. Bement, Jr., ‘‘On the Midwest 

Superconductivity Consortium,’’ Testimony before the Energy and Water Development Subcommittee on Appropriations, Committee on Appropriations, U.S. House of 

Representatives (April 1, 1993); (13) A. L. Bement, Jr., ‘‘On the Midwest Superconductivity Consortium,’’ Testimony before the Energy and Water Development 

Subcommittee on Appropriations, U.S. House of Representatives (April 11; 1994); 

(14) A. L. Bement, Jr., ‘‘On the Midwest Superconductivity Consortium,’’ Testimony 

before the Energy and Water Development Subcommittee on Appropriations; U.S. 

House of Representatives (March 28, 1995); (15) A. L. Bement, Jr., ‘‘On H.R. 1756, 

the Department of Commerce Dismantling Act,’’ Testimony submitted for record to 

the Committee on Science, U.S. House of Representatives (September 12, 1995); (16) 

A. L. Bement, Jr., ‘‘On the Midwest Superconductivity Consortium;’’ Testimony before the Energy and Water Development Subcommittee on Appropriations, U.S. 

House of Representatives (February 29, 1996); (17) A. L. Bement, Jr., ‘‘On the Midwest Superconductivity Consortium,’’ Testimony before the Energy and Water Development Subcommittee on Appropriations, U.S. House of Representatives (March 

31, 1997). 

16. Speeches: Provide the committee with two copies of any formal speeches you 

have delivered during the last 5 years which you have copies of on topics relevant 

to the position for which you have been nominated. ‘‘Guidelines for Innovation: The 

Role of Research and Development Policy,’’ presented at the Workshop on Germany 

and the United States-Partners in Science and Technology, Konrad Adenauer Foundation, Berlin, July 17, 2000. ‘‘One Hundred years of Excellence and Still Improving 

. . . A View from the Outside,’’ presented at the NIST Centennial Symposium, Gaithersburg, Maryland, March 5, 2001. 

17. Selection: (a) I believe it was because of my performance record in technology 

and research leadership positions with government, industry and academia and my 

extensive networking with high-ranking leaders in all three sectors. (b) I believe 

that my experience in research and leadership positions in industry, government, 

and academia along with my long-term service to the scientific and engineering communities at large qualify me for this position. 

B. FUTURE EMPLOYMENT RELATIONSHIPS

1. Will you sever all connections with your present employers, business firms, 

business associations or business organizations if you are confirmed by the Senate? 

Yes. 

2. Do you have any plans, commitments or agreements to pursue outside employment, with or without compensation, during your service with the government? If 

so, explain. No. 

3. Do you have any plans, commitments or agreements after completing government service to resume employment, affiliation or practice with your previous employer, business form, association or organization? No. 

4. Has anybody made a commitment to employ your services in any capacity after 

you leave government service? No. 

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5. If confirmed, do you expect to serve out your full term or until the next Presidential election, whichever is applicable? Yes. 

C. POTENTIAL CONFLICTS OF INTEREST

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

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

board fee compensation, Keithley Instruments; Inc. Consulting agreement, Howmet 

Research Company. 

2. Indicate any investments, obligations, liabilities, or other relationships which 

could involve potential conflicts of interest in the position to which you have been 

nominated. Stock ownership in street name with: Keithley Instruments, Inc.; Lord 

Corporation; Sprint PCS; Sprint FON; Alltel, and Oryx Technologies. Stock options 

with Keithley Instruments, Inc. Stock loans with Lord Corporation. Loan from Raymond James & Assoc. Financial Services (Regulation T margin loan secured by 

Keithley Instruments, Inc. stock) 

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

have had during the last 10 years, whether for yourself, on behalf of a client, or 

acting as an agent, that could in any way constitute or result in a possible conflict 

of interest in the position to which you have been nominated. None. 

4. Describe any activity during the past 10 years in which you have 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. 

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

that may be disclosed by your response to the above items. (Please provide a copy 

of any trust or other agreements.) I will consult with ethics officials and take any 

actions required by my ethics agreement or advised by legal counsel. 

6. Do you agree to have written opinions provided to the Committee by the designated agency ethics officer of the agency to which you are nominated and by the 

Office of Government Ethics concerning potential conflicts of interest or ant impediments to your serving in this position? Yes. 

D. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics for unprofessional 

conduct by, or been the subject of a complaint to any court, administrative agency, 

professional association, disciplinary committee, or any other professional group? If 

so, provide details. No. 

2. Have you ever been investigated, arrested, charged or held by any federal, 

state, or other law enforcement authority for violation of any federal, state, county, 

or municipal law, regulation or ordinance, other than a minor traffic offense? If so, 

provide details. No. 

3. Have you any business of which you are or were an officer ever been involved 

as a party in interest in an administrative agency proceeding or civil litigation? If 

so, provide details? No. 

4. Have you ever been convicted (including pleas 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 considered in connection with your nomination. 

I believe I have led my life respecting the law. 

E. RELATIONSHIP WITH COMMITTEE

1. Will you ensure that your department/agency complies with deadlines set by 

congressional committees for information? 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, to include technical experts and career employees with firsthand knowledge of matters 

of interest to the committee? Yes. 

4. Please explain how you will review regulations issued by your department/

agency, and work closely with Congress, to ensure that such regulations comply 

with the spirit of the law passed by Congress. It is my understanding that NIST 

seeks legal counsel relative to federal from the Department of Commerce and Congressional staff members to understand the intent and spirit of laws passed by the 

Congress; I will establish a policy of meeting frequently with appropriate Congressional staff members to obtain interpretations of the law as they apply to Department regulations. 

21

5. Describe your departmentlagency’s current mission, major programs, and major 

operational objectives. The mission of the National Institute of Standards and Technology is to develop and promote measurements and standards and advanced technologies that enhance productivity and quality, facilitate trade, and contribute to 

the economic well being of the nation. 

The major programs and operational objectives at NIST are the following: Provide 

U.S. private and public sectors with measurements, standards, and information 

services that increase competitiveness and facilitate trade; Conduct long-term research in measurement science and develop and promulgate standards and standard 

reference data for electronics and electricity, chemical science and technology, and 

materials science and engineering; Demonstrate evaluation techniques, testing 

methods and standards to enable U.S. industry to use interoperable products for information technology; Develop interfaces, recommended practices, and associated 

technology to the manufacturing industries; Provide laboratory assistance in the increased usefulness, safety and economy of buildings and the prediction, prevention, 

measurement, and control of fires; Provide assistance to industry and to other public 

benefit organizations in the development of technology and procedures to improve 

U.S. quality and competitiveness through the National Quality Program; Work with 

the Secretary, Deputy Secretary and Under Secretary for Technology to make the 

Advanced Technology Program stronger and more sustainable; Develop as a joint 

venture with state and local governments technical assistance with smaller U.S. 

manufacturers to strengthen their global competitiveness through the Manufacturing Extension Program.

6. 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. 

F. GENERAL QUALIFICATIONS AND VIEWS

1. How have your previous professional experience and education ’qualified you 

for the position for which you have been nominated? I believe the following factors 

are salient: Senior R&D and technology leadership positions in industry, academia, 

and government; Business experience in directing high-technology companies; Experience in technology policy development and execution in the Department of Defense, Department of Commerce, NASA, and the Congress; A record of research 

achievements leading to membership in the National Academy of Engineering and 

membership on the National Science Board; Extensive advisory committee experience with NIST to include the statutory Visiting Committee for Advanced Technology (chair), the Board of Overseers for the Malcolm Baldrige National Quality 

Award Program, and the Advanced Technology Program Advisory Committee 

(chair); Research contributions in the field of materials science and engineering; A 

breadth of exposure to emerging technology developments and basic research at national laboratories, universities and industry leading to an understanding of what 

constitutes outstanding research and research performance. 

2. Why do you wish to serve in the position for which you have been nominated? 

I am strongly committed to the mission of NIST. I believe that its continued 

strength in performing its mission is essential for the economic and technological 

welfare of the Nation and the continuing ability of U.S. industry to effectively compete in global markets. It is an institution with a strong research culture, high ethical standards, and a tradition of‘ outstanding accomplishments. I believe it deserves 

the very best of my effort, experience, and abilities. Finally, I wish to complete my 

career in public service. 

3. What goals have you established for your first 2 years in this position, if confirmed? The principal goals would be the following: Establish strategic planning 

tools across NIST that would better align. NIST’s strategic vision and goals with 

national needs and priorities; Provide good stewardship for NIST facilities to 

achieve optimal utilization; Establish a more proactive NIST involvement with 

international standards developments; Work with the Secretary, Deputy Secretary, 

the Under Secretary for Technology and the Congress to develop a more stable, sustainable Advanced Technology Program; Continue to build on NIST’s traditions and 

culture to help NIST provide the greatest return to the Nation through excellence 

in science and technology; Find more effective means to communicate with industry 

and government decision makers about he important contributions that KIST makes 

to industrial and technological developments and the economic well-being of the nation. 

4. What skills do you believe you may be lacking which may be necessary to successfully carry out this position? What steps can be taken to obtain these skills? I 

believe I have strong skills and experience in the key areas needed to provide leadership for KIST, including management of personnel, finances, technical programs, 

22

and planning processes: To lead KIST as effectively as possible, I will focus on 

supplementing my background with the following actions: Refreshing my knowledge 

of federal policies and regulations governing management of personnel, facilities, 

and finances; Becoming familiar with. the specific budgeting processes at NIST, the 

DOC, and the OMB; Establishing effective relationships with the Office of the Inspector General and Legal Counsel; Improving my understanding of the U.S. voluntary standard setting processes and organizations and of how the U.S. system 

and international systems interact. 

5. Who are the stakeholders in the work of this agency? Direct stakeholders include: Industry and academic users of NIST measurements and standards, including 

purchasers of more than 38,000 NIST standard reference materials annually; Industry, academic, and federal R&D organizations which benefit from KIST measurement research through more than 2,000 peerreviewed technical publications annually, and through many other means of disseminating NIST research; Industry and 

academic research projects receiving more ATP cofunding: More than 350 companies 

participating in more than 170 joint ventures, and including about 140 universities, 

with a total ATP investment of more than $1.6 billion since the program began 

about 10 years ago; U.S smaller manufacturers served through more than 400 Manufacturing Extension Partnership centers and offices in all 50 states and Puerto 

Rico, providing direct business and technical assistance; All types of companies and 

organizations that use the Baldrige criteria for performance excellence. Different 

sets of criteria are optimized for business, health care organizations, and educational organizations. More than 2 million copies of the Baldrige criteria. have been 

distributed, and quality programs based on the Baldrige principles are used 

throughout the U.S. and in many foreign nations; federal agencies with regulatory 

responsibilities that rely on NIST measurements and standards to fulfill their missions.; federal agencies that rely on NIST information processing and information 

security standards, practices, and guidelines; state weights and measures organizations that rely on NIST certification and training to fulfill their regulatory responsibilities for all types of legal measurement needs. Laws governing weights and 

measures affect more than half the U.S. GDP, or about $5 trillion per year; National 

standards developing organizations that rely on NIST technical expertise and advice 

to develop voluntary consensus standards driven by the private sector to promote 

trade and ensure product quality, and performance; International standards developing organizations that work with NIST and U.S. standards developing organizations; U.S. private sector and local government measurement and standards laboratories that are accredited through organizations cooperating with NIST. 

A key indirect stakeholder is the general public, which benefits from NIST measurements and standards that enable efficient manufacturing of products and delivery of services, that ensure fair commerce through accurate weights and measures, 

that underpin provision of quality health care, that increase public safety through 

structural and fire standards for buildings, and through many other NIST activities 

too numerous to list here. 

6. What is the proper relationship between your position, if confirmed, and the 

stakeholders identified in question number 5: Among these would be the following: 

Communicate to all stakeholders the impacts and values of NIST programs, services 

and capabilities to their needs; Solicit from stakeholders assessments of the impacts 

and values of NIST’s products and services; Involve stakeholders in charting the future vision and objectives of NIST and in identifying strengths, weaknesses, opportunities, and threats; Maintain an open stance as a principal point of contact to respond to needs, issues or complaints. 

7. The Chief Financial Officers Act requires all government departments and 

agencies to develop sound financial management practices similar to those practiced 

in the private sector. (a) What do you believe are your responsibilities, if confirmed, 

to ensure that your agency has proper management and accounting controls? Provide the CFO with the talent and IT resources needed to perform his/her function 

at the highest possible level of performance; Assure that Laboratory managers and 

unit heads are adequately trained in standard government accounting and financial 

management and reporting procedures; Involve the CFO in all executive committees 

at NIST and in all strategic planning activities; Consider establishing an audit and 

finance subcommittee of the Visiting Committee for Advanced Technology; Assure 

a seamless relationship between department- and KIST finance operations and policy development functions; Assure that the Office of the IG has timely access to all 

requested financial information. (b) What experience do you have in managing a 

large organization? I have had responsible management positions with top organizations in indusrry, government and academia, to include General Electric Company, 

Battelle Memorial Institute, TRW, Inc., Defense Advanced Projects Agency, Office 

of the Secretary of Defense, MIT, and Purdue University. I have also had long-term 

23

corporate directorships with Keithley Instruments, Inc. and Lord Corporation. In 

these positions I have had. extensive experience in personnel management; financial 

budgeting and control; strategic planning; R&D, management; and technology transfer. Budget authorities have ranged from $3 million to approximately $3 billion 

(DOD). A brief description of these management assignments is given in section A.9. 

in this questionnaire. 

8. The Government Performance and Results Act requires all government departments and agencies to identify measurable performance goals and to report to Congress on their success in achieving these goals. (a) Please discuss what you believe 

to be the benefits of identifying performance goals and reporting on your progress 

in achieving those goals. These requirements establish a basis for managing by objectives and for being accountable for performing against these objectives. They also 

provide an opportunity to learn the practice of realistic goal setting and forward 

thinking. (b) What steps should Congress consider taking when an agency fails to 

achieve its performance goals? Should these steps include the elimination, privatization, downsizing or consolidation of departments and/or programs? The Congress 

should exercise its oversight authority to determine the root causes for failing to 

meet performance goals. Possible factors involved may be due to improper organizational structure, management system, or monitoring and control mechanisms, or incompetence. However, failures may also result if the agency is not provided sufficient human and financial resources to meet its performance goals, or if other external factors prevent the goals from being met. The corrective actions described in the 

question may be appropriate for some cases, but in other cases Congress may provide greater benefit to the Nation by addressing external factors that prevent. success of the agency. (c) What performance goals do you believe should be applicable 

to your personal performance, if confirmed? I should be held to the performance 

goals set by the Secretary, Deputy Secretary and Under Secretary for Technology 

and as specified by law and by the Congress. I should also be held accountable for 

accomplishing goals identified in GPRA reports and NIST planning documents. I 

should be held to the highest ethical standards applicable to anyone serving in the 

public’s trust. 

9. Please describe your philosophy of supervisor/employee relationships. Generally; what supervisory model do you follow? Have any employee complaints been 

brought against you? I have followed the following principles in supervisor/employee 

relationships: Lead by example . . . don’t expect what you would not be willing to 

do; Set high standards but empower the individual to achieve his/her highest potential; Delegate authority but hold the individual accountable for results; Listening 

can pay premiums in understanding an individual’s strengths and weaknesses. 

Build on the strengths and provide mentoring and training to overcome the weaknesses; Celebrate achievements . . . psychic rewards can be as important as tangible rewards; Be alert for opportunities that will motivate individuals to exceed 

their own expectations; When setting tough goals be patient . . . individuals often 

arrive at innovative solutions on their own. 1No employee complaints have been 

brought against me throughout my career. 

10. Describe your working relationship, if any, with the Congress. Does your professional experience include working with committees of Congress? If yes, please describe. My working relationships with the Congress have been primarily to give testimony upon request. I have also recently discussed with staff members the 2000 

annual report of the Advanced Technology Program Advisory Committee. During 

the period 1980–1986 I served as a member of the Advisory Panel to the Congressional Task Force on Technology Policy, co-chaired by Congressmen McKay and 

Packard. 

11. Please explain what you believe to be the proper relationship between yourself, if confirmed, and the Inspector General of your department/agency? As a representative of the Congress, the IG is entitled to my full support. My responsibilities 

would include providing any information requested by the IG in a timely way; providing access to any personnel for fact finding; support any investigations required; 

and to take actions stipulated by the IG based on such investigations. It would also 

be my responsibility to assure that all personnel at NIST are informed of the functions and authorities of the IG. 

12. Please explain how you would work with this Committee and other stakeholders to ensure that regulations issued by your department/agency comply with 

the spirit of the laws passed by Congress. I would work closely with the General 

Law Division of the Office of the Assistant General Counsel for Administration, Department of Commerce, to assure that such compliance is fulfilled. 

13. In the areas under department/agency’s jurisdiction, what legislative action(s) 

should Congress consider as priorities? Please state your personal views. At this 

stage of my knowledge of critical needs, I can cite three legislative actions of high 

24

priority: Spending authority to complete the equipping of the Advanced Measurements Laboratory; Changes in the Authorizing Act for the Advanced Technology 

Program as requested by the Secretary of Commerce; Budget authority to enable essential research facilities improvements at the Gaithersburg and Boulder sites. 

14. Within your area of control, will you pledge to develop and implement a system that allocates discretionary spending based on national priorities determined in 

an open fashion on a set of established criteria? If yes, please state what steps you 

intend to take and a timeframe for their implementation. Yes, I pledge to do so. I 

am aware-that criteria are already in place at NIST for the use of director’s discretionary funds. I will assess the adequacy of these criteria at my first opportunity 

and modify them as required with the participation of NIST managers and key personnel. The NIST-wide strategic plan, identified as one of my priority initiatives, 

will address incentives to encourage cross unit interdisciplinary research initiatives 

and other such incentives that improve the responsiveness, productivity and quality 

of NIST activities. A first version of this plan should be developed, ready for vetting 

with NIST management and employees in fall 2002.

Senator WYDEN. We will have some momentarily, and we very 

much appreciate your presentation, doctor. 

Mr. Paulison, welcome. 

STATEMENT OF R. DAVID PAULISON, NOMINATED TO BE

ADMINISTRATOR, FIRE ADMINISTRATION, FEDERAL

EMERGENCY MANAGEMENT AGENCY 

Mr. PAULISON. Thank you, Mr. Chair. First of all, let me say that 

I am honored today to be in front of this Committee and discuss 

the opportunity to serve President Bush, the fire and emergency 

service, and this nation. I am very, very proud and honored to be 

here. As a 30-year fire service veteran, I can think of no greater 

honor than being here today and being considered for the U.S. Fire 

Administrator’s position. 

I want to thank Senator Bill Nelson and Senator Graham for 

their long-time support and also the rest of the Florida Congressional delegation, who has always been behind me in the things we 

wanted to do in Florida, and South Florida particularly. 

I want to thank Director Albaugh for having the confidence in 

me to put my name forward for the President to make the nomination. They have both shown outstanding leadership during this period of time, not only after September 11th but before also. They 

have shown to be true friends of the American firefighters. 

I would also be remiss if I did not acknowledge the outstanding 

work of Ken Burrus, our Chief Operating Officer, who has served 

in the capacity of the U.S. Fire Administrator in an acting position 

for the last several months. Ken is in the audience back here. Ken, 

would you mind standing up. He has just done an outstanding job 

for us and I appreciate it very much, and he is babysitting me 

through this process also. 

I also recognize that several Committee Members served in 

World War II. I went through your biographies. My father did also, 

and I wish he was here to see this today, but I know he is watching. He and my mother gave me the work ethic and the love of public service that I have and it is one of the reasons that I am here 

today. 

Our nation’s fire service is in the front line of defense every day 

against fires, accidents, floods, natural and manmade disasters, 

and now we must add terrorist events. I am proud, absolutely 

proud, of the efforts of the New York City firefighters and for all 

25

the rescuers from around the nation that responded as part of 

FEMA’s urban search and rescue program. 

The events of September 11th have shown the nation the importance of fire service, a service that was once taken for granted, but 

is now being viewed as an essential component of public safety and 

homeland defense. The very challenges that we face in response to 

the events of September 11th are the same challenges the fire service and emergency management community face in response to all 

hazards. 

I want to thank this Committee for their concern, your support, 

and your understanding to recognize the needs of the fire service 

and their contribution to public safety. 

I have had the privilege, as Senator Nelson said, of serving since 

1992 as the Fire Chief of Miami-Dade County. Additionally, I have 

been responsible for Miami-Dade County’s Office of Emergency 

Management. In that role I have been responsible for the mitigation and preparedness of major incidents. After serving in both of 

these capacities, I am absolutely convinced that Director Albaugh 

is correct in his effort to build cooperation and understanding between the fire and emergency management community. That is a 

bridge we need to gap. 

Whether it has been a response to a major fire or incident commander for Hurricane Andrew or the response to the crash of 

ValuJet 592, I have seen firsthand the need for a strong relationship in the planning, response, recovery, and rebuilding from disasters. As fire services across the nation respond to emergency incidents, they need to have strong support from local, state, and federal emergency managers to provide coordination and logistics 

quickly. Lives depend on that cooperation. 

For the past 6 weeks we have encountered a truly emergent 

issue—terrorism. But the United States Fire Administration’s work 

on terrorism began several years ago with the development of 

training programs, response guides, and outreach. I can assure you 

and the American people that if I am confirmed I will work with 

Director Albaugh, Governor Ridge, and the emergency services 

community to accelerate that effort and to build on our past successes. We will work to provide the training and the tools that get 

the job done and get it done right. 

At the United States Fire Administration, we must continue to 

work to develop and deliver training and education programs to the 

fire services on terrorist awareness and response. The fire departments across this nation need to be an integral part of the planning, training, and policy development for terrorism preparedness. 

While there is a general acknowledgment that the law enforcement 

community has a significant deterrence and investigatory role, it is 

also true that in the fire services they are the first on scene and 

therefore the first at risk. Any future considerations of training and 

funding for equipment must take this into account. 

Quality, robust, consistent communications capabilities should be 

developed and implemented for the fire services. As a nation, we 

need to strive to provide the communications infrastructure necessary for multiple agency communications. 

Every week we lose hundreds of Americans to fire. Young and 

old are most at risk. Our firefighters who respond are at risk every 

26

day. They should not have to give their lives. We honor their sacrifice, but even one is too many. 

The Assistance to Firefighters grant program is the key element 

providing assistance to our nation’s fire service. It is important 

that this program—if it were taken to its full authorization amount 

and continued, USFA will need the authorization for personnel and 

for salaries and expenses to administer and staff the program effectively. It is also important that the agency be given the authority 

to develop the program with greater flexibility to address the emergent needs. 

Incentives to local governments for increased assistance need to 

be developed and enacted. Working together, the fire services, 

emergency management, and public officials at all levels of government, federal agencies, and the Congress can make tremendous 

strides in solving some of these problems. 

To my friends and partners in the fire and emergency services 

community, I ask for your help and your unity. The fire service 

community has had many voices, many successes, and some failures. If nothing else, September 11th should have shown all of the 

fire service organizations that we need to work together to solve 

these problems, to respond with one voice, and to acknowledge that 

some of our differences, while important, pale in comparison to the 

importance of our mission, and that is to protect the American public. 

It is not a question of volunteer versus career or management 

versus labor. It is not a question of fire versus law enforcement. 

The question is can we work together to make a difference in the 

lives of every single American, find areas we can agree on quickly, 

and on those issues we differ put aside our rancor and posturing 

and work together to address and solve them. 

I know the answer is yes and I pledge my commitment to work 

with all of you to build bridges and resolve the pressing issues that 

face us. 

I want again to thank this Committee for your support and for 

the opportunity to testify today, and I would also be happy to address any questions you might have. Thank you, Mr. Chair. 

[The prepared statement and biographical information of Mr. 

Paulison follow:]

PREPARED STATEMENT OF R. DAVID PAULISON, NOMINEE TO BE ADMINISTRATOR, U.S. FIRE ADMINISTRATION

Mr. Chairman and members of the Committee, I am honored to appear before this 

Committee today and to discuss with you the opportunity to serve President Bush, 

the fire and emergency services and the nation. 

I want to first acknowledge and thank President Bush for nominating me as 

United States Fire Administrator. As a 30-year fire service veteran, I can think of 

no higher honor. To Senator Bill Nelson, who has been a close friend for many 

years, I thank you for your support and for your introduction today. I also thank 

Senator Graham, from my hometown, and the members of the Florida Congressional 

delegation who have been so helpful to me for many years. 

It is also very important to me to thank FEMA Director Joe Allbaugh for his support of my nomination and who, along with President Bush, has shown such outstanding leadership during this period of national crisis. He and the President have 

proven themselves, before and after September 11, to be true friends and advocates 

of America’s firefighters and emergency responders. 

Also, I would be remiss if I did not acknowledge the outstanding work of Ken 

Burris the Chief Operating Officer of the United States Fire Administration, who 

has served so ably as the Acting U.S. Fire Administrator for the past several 

27

months. Ken has transformed the U.S. Fire Administration into a forward thinking, 

dynamic agency that truly serves our nation’s fire services community. I would like 

to thank Ken, who has been a close friend for many years, and to wish him good 

luck, as he becomes the Regional Director for FEMA Region IV in Atlanta. The region’s gain is certainly our loss, but it also shows again the level of commitment 

that Director Allbaugh and the Administration have devoted toward building stronger relationships between the fire service and the emergency management community. 

I also have with me today my lovely wife Kathy, who along with my two children, 

have been my strength and my inspiration. I recognize that several Committee 

members served in World War II, as did my father. I wish he were still with us 

today, but I know he is watching. My father gave me my work ethic and instilled 

in me a dedication to public service that is shared by the members of this Committee and the fire service community nationwide. 

Our nation’s fire service is the front line of defense every day against fires, accidents, floods, natural and manmade disasters of all kinds—and now terrorist attacks. I am extremely proud of the efforts of New York City and Arlington firefighters and of all of the rescuers from across the Nation that responded as part 

of FEMA’s Urban Search and Rescue Program. The events of September 11th have 

shown our Nation the critical importance of its fire services. A service once taken 

for granted is now properly viewed as an essential component of the public safety 

equation. The New York City, Arlington, VA and Shanksville, PA fire departments 

have proven that our first responders can be called to respond across urban, suburban and rural communities of our country. Fire departments of every type—career, 

volunteer and combination—across our Nation must be vigilant to heed the call to 

service at a moments notice. 

The very challenges that were faced in the response to the events of September 

11th are the same challenges the fire service and emergency management community face in response to all hazards. I thank the Committee members for your concern, your support and your understanding of the need to recognize the fire services’

contribution to public safety and their future needs. 

At the United States Fire Administration, we must continue to develop and deliver training and educational programs to the fire services on terrorism awareness 

and response. Many fire departments across the Nation are asking themselves, ‘‘are 

we prepared for this?’’ or ‘‘how on earth are we ever going to handle something like 

this?’’ Both of these are good questions, but many other departments are saying just 

the opposite; they think, ‘‘. . . it will never happen here’’. Make no mistake, the 

message every fire department in America should have gotten is that we are all vulnerable to the effects of another terrorist attack, and if I am fortunate enough to 

be confirmed, it will be my privilege and goal to provide the training and support 

the fire services need to protect themselves and their communities in responding to 

what was once unthinkable. 

I have had the privilege of serving since 1992 as the Fire Chief of Miami-Dade 

County. Additionally, I have headed Miami-Dade County’s Office of Emergency 

Management (OEM). In that role I have been responsible for mitigation and preparedness for major incidents including nuclear incidents, weather emergencies 

(hurricane, floods, tornadoes), large immigration influx, hazardous materials emergencies, or multiple-casualty accidents. Having served in both of these capacities, I 

am absolutely convinced that Director Allbaugh is correct in his effort to strengthen 

cooperation and understanding between the fire and emergency management communities. 

Whether in response to a major fire, as incident commander for Hurricane Andrew or in response to the crash of ValuJet 592, I have seen first-hand the need 

for communication and cooperation during the planning, response, recovery and rebuilding phases after disasters. As fire services across the Nation respond to emergency incidents, they need strong support from local, state and federal emergency 

managers to provide coordination and logistical resources quickly. Lives depend on 

that cooperation. 

The United States Fire Administration has developed a series of goals for the next 

5 years. They are: to reduce the loss of life from fire by 25 percent for children 

under 14; to reduce by 25 percent the loss of life by fire of Americans 65 years of 

age or older; and to reduce the number of firefighter fatalities by 25 percent. The 

U.S. Fire Administration is also committed to respond to emergent issues. For the 

past 6 weeks we have encountered a truly emergent issue, domestic terrorism. 

USFA’s work on terrorism began several years ago with the development of training 

programs, response guides and outreach. I can promise you and the American people that if confirmed I will work with Director Allbaugh, Governor Ridge and the 

28

emergency services community to accelerate that effort and buildupon our past successes. We will work to provide the training and the tools to get the job done. 

The fire departments across the Nation need to be an integral part of the planning, training and policy development for terrorism preparedness. While there is a 

general acknowledgement that the law enforcement community has a significant deterrence and investigatory role, it is also true that the fire services are the first on 

the scene, and therefore the first at risk. Any future considerations on training and 

funding for equipment must take this into account. 

Quality, robust and consistent communications capabilities must be developed and 

implemented for the fire services. As a Nation we need to strive to provide the communications infrastructure necessary for multiple agency communications. Currently there is no secure means to provide first responders with important, un-compromised information. Obviously, this void could severely hamper effective fire service operations in a terrorist environment. 

Another communications need involves incident management and coordination. 

We have to communicate with all response and supporting agencies at every level 

of the Federal Response Plan, which is the framework for the federal support that 

will be needed in terrorist events. All local fire and public safety agencies and their 

staffs should be aware of the Federal Response Plan and how it meshes with their 

state, county and local planning. There should also be training and exercises to ensure understanding and ability to work effectively within this structure. 

We cannot manage incidents with entities that have unique or different incident 

command or incident management systems (ICS/IMS) or with those entities not 

operationally conversant with the standard incident management system. We need 

to work toward an institutionalized operating, common ICS/IMS throughout the 

country. 

Response and preparedness for terrorism is a critical issue for USFA, but the 

other goals I have already outlined must also continue. Every week we lose hundreds of Americans to fire. Young and old are most at risk. Our firefighters, who 

respond at great risk every day, should not have to give their lives. We honor their 

sacrifice, but even one is too many. 

We need to buildupon the programs we have begun in these critical areas. We 

need to focus on developing community-based hazard response planning that includes fire response and fire prevention as a critical component. Toward that end 

USFA has a goal, in the next 5 years, is to identify 2500 communities and work 

with them to develop a multi-hazard risk reduction plan. 

The Assistance to Firefighters Grant Program is a key element in providing assistance to our nation’s fire service. Since the terrorist attacks, the Senate has 

passed the Defense Authorization bill with an authorization of $600 million, $800 

million and $1 billion respectively over the next 3 years. The bill is currently in conference. If this program were taken to be fully authorized, USFA would also need 

authorization for additional salaries and expenses to efficiently administer the program. It would also be important to give the agency the authority to develop the 

program with greater flexibility to address emergent needs. 

As Director Allbaugh has stated, ‘‘firefighters are the first in line for budget cuts 

and the last in line for recognition. This must stop.’’ This program should not, however, replace the primary responsibility for funding and support, which lies with the 

local and state governments. Federal assistance should be supplemental and should 

be directed to the areas and programs in greatest need. 

State and local support of the fire services must be increased and the federal role 

should be to foster that participation. Incentives to local governments need to be developed and enacted. Working together, the fire services, emergency managers, and 

public officials at all levels of government, federal agencies and the Congress, we 

can make tremendous strides on solving these problems. 

To my friends and partners in the fire and emergency services community, I ask 

for your help and your unity. The fire services community has had many voices, 

many successes and some failures. If nothing else, September 11 should have shown 

all of the fire service organizations that we need to work together to solve our problems, to respond with one voice and to acknowledge that some of our differences, 

while important, pale in comparison to the importance of our mission: to protect the 

public. 

It is not a question of volunteer vs. career, or management vs. labor. It is not a 

question of fire vs. law enforcement. The question is, can we work together to make 

a difference in the lives of every single American, find the areas we can agree on 

quickly and on those issues on which we differ, put aside the rancor and the posturing and work together to address and solve them? I know the answer is ‘‘yes’’

and I pledge my commitment, should I be confirmed, to work with all of you to build 

those bridges and resolve the pressing issues that face us. 

29

The information referred to was not available. 

The USFA has made great strides in the past 2 years. The reorganization recommended by the Blue Ribbon Panel and implemented by the staff of USFA under 

the leadership of Ken Burris has reenergized USFA and transformed it into a dynamic research, training and information agency. I look forward to the opportunity 

to buildupon that success. 

I want to again thank the Committee for its support and for the opportunity to 

testify today. I will be happy to address any questions you might have. 

A. BIOGRAPHICAL INFORMATION

1. Name: Robert David Paulison. 

2. Position to Which Nominated: United States Fire Administrator. 

3. Date of nomination. Announcement of intent to nominate was 9/20/01. 

4. Address: (Information not released to the public). 

5. Date and Place of Birth: 2/27/47 Miami, Fl. 

6. Marital Status: Married, 30 years. (Happily) 

7. Names and ages of children: Amy Paulison Gupta (28) Beth Marie Paulison 

(24). 

8. Education: North Miami High School (1965); Miami Dade Community College 

(AA degree 1968); Florida Atlantic University (BA 1970). 

9. Employment record: 1971–1978 Firefighter, City of North Miami Beach 17150 

N.E. 19 Ave. North Miami Beach. 1978–Present Miami Dade Fire Rescue Department worked all Ranks; Firefighter, Lieutenant, Captain, Chief Fire Officer, Division Chief, Assistant Chief, Deputy Director and as Fire Chief since 1992. 

10. Government Experience: I am currently the Fire Chief for the Miami Dade 

Fire Rescue Department. I served as a consultant to the Defense Science Board for 

Summer studies in 1997, 2000 and 2001. I was part of a vice-presidential delegation 

sent to Russia in February of 1996 to observe their Urban Search and Rescue 

Teams. 

11. Business Relationships: Board of Directors of the American Red Cross Dade 

and Monroe Chapters; Cabinet Member of the Dade County United Way; Board of 

Directors Chief Fire Officers Association of Miami Dade County; Honorary Board 

Member of the University of Miami/Jackson Memorial Hospital Burn Center. (These 

are all non-profit or charitable Organizations and I serve at no compensation. I am 

also a member of these organizations so some of them apply below. 

12. Memberships: International Association of Fire Chiefs; National Fire Protection Association Chief Fire Officers Association of Miami Dade County, Florida Fire 

Chiefs Association. 

13. Political affiliations and activities: (a) I have never held any office for any political party. I have never held or been a candidate for any political office. (b) I am 

a registered Democrat. I have never held an office or provided any services to any 

political party or election committee. (c) $250.00 donation to Michael Freeman Campaign(D) when he ran for Governor of Minnesota. $250.00 donation to Burt Locke(R) 

for his campaign for Attorney General of Florida (donation is by my wife). These 

are the only campaign donations either my wife or I have made. 

14. Honors and Awards: Florida Fire Chief of the Year, fellowship to Harvard’s State and Local Government Program; R. David Paulison Day for Miami Dade 

County. 

15. Publications: I wrote one article for Fire Chief Magazine on our response to 

Hurricane Andrew in June of 1993. (attached)* 

16. Speeches: I have given numerous speeches during my career but most were 

not from a written script. All were fire service related and non-controversial. 

17. Selection: I believe I was chosen for this position because of my national reputation in the fire service. I have managed several large disasters in my community 

(hurricanes, airplane crashes, tornadoes, floods, etc.) I also oversee The Office of 

Emergency Management in Miami Dade County. I was the President of the International Association of Fire Chiefs (1996–1997). I manage a department of over 2,000 people with a budget of over $200,000,000. I believe my experience, skills and 

excellent reputation qualifies me for this appointment. 

B. FUTURE EMPLOYMENT RELATIONSHIPS: 

1. I will sever all connections with my present employer, business firms, and business associations and organizations if confirmed by the Senate. 

2. I have no plans, commitments or agreements to pursue outside employment, 

with or without compensation, during my service with the government. 

30

3. I have no plans, commitments or agreements to resume employment, affiliation 

or practice with my current employer. 

4. No one has made a commitment to employ my services in any capacity after 

I leave government service. 

5. If confirmed, I expect to serve out my full term or until the next presidential 

election whichever is applicable. 

C. POTENTIAL CONFLICTS OF INTEREST; 

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

other continuing dealings with business associates, clients or customers: (a) I will 

have a retirement payment from the state of Florida for my 30 years in the fire 

service. (b) I have a deferred compensation account through Miami Dade County 

payroll deductions. I will no longer contribute to this program if I am confirmed. 

(c) Through the state of Florida I will receive a lump sum payment from a Deferred 

Retirement Option Plan when I resign my current position if confirmed. 

2. List any investments, obligations, liabilities, or other relationships, which could 

involve potential conflicts of interest in the position to which you have been nominated: I am a member of the International Association of Fire Chiefs and a past 

president; I believe that the IAFC has some contracts with FEMA. I will resign from 

the IAFC, if confirmed. 

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

have had during the last 10 years, whether for yourself, or on behalf of a client, 

or acting as an agent, that could in any way constitute or result in possible conflict 

of interest in the position to which you have been nominated? I cannot think of any 

conflicts I might have. 

4. Describe any activity during the past 10 years in which you have engaged for 

the purpose of directly or indirectly influencing the passage, defeat or modification 

of any legislation affecting the Administration and execution of law or public policy? 

The International Fire Chiefs Association supported legislation to pass the Fire 

Fighter Assistance Grant Program. 

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

that may be disclosed by your responses to the above items: I have submitted a 

‘‘Conflict of Interest Statement’’ and have included it in this packet. 

6. I agree to have written opinions provided to the Committee by the FEMA Ethics Official and by the Office of Government Ethics concerning potential conflicts of 

interest or any other legal impediments to me serving in this position. 

D. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics for unprofessional 

conduct 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 for violation of any federal, state, county, 

or municipal law, regulation or ordinance, other than 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 interest 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 minor traffic offense?No. 

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

None. 

E. RELATIONSHIP WITH COMMITTEE

1. I will ensure that my department complies with deadlines set by congressional 

committees for information. 

2. I will ensure that my department does whatever it can to protect congressional 

witnesses and whistle blowers from reprisal for their testimony and disclosures. 

3. I will cooperate in providing the committee with requested witnesses, to include 

technical experts and career employees with firsthand knowledge of matters of interest to the committee. 

4. To make sure that regulation issued by my department comply with the spirit 

of the laws passed by Congress I must review and understand what those laws are 

and mean and work closely with congressional members to comprehend what the 

intent of those particular laws are. 

5. The mission of the U.S. Fire Administration if to reduce life and economic 

losses due to fire and related emergencies through public education, training, techVerDate Apr 24 2002 13:23 Aug 05, 2003 Jkt 087380 PO 00000 Frm 00034 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\87380.TXT SCOM1 PsN: CAROLT
31

nology and data research initiatives in coordination with other federal agencies and 

in partnership with fire protection and emergency service communities. Its major 

programs are divided into four major areas: Public Education.—Develops and delivers fire prevention and safety education programs in partnership with other federal Agencies; Training.—Promotes the professional development of the fire and 

emergency response community and it’s allied professionals. The National Fire 

Academy develops and delivers educational and training courses to supplement and 

state and local fire service training programs. Technology.—Works with the public 

and private groups to promote and improve fire prevention and life safety through 

research, testing and evaluation. Generates and distributes research and special 

studies on fire detection, suppression and notification systems, and on fire and 

emergency responder health and safety. Data.—Assists state and local entities in 

collecting, analyzing and disseminating data on the occurrence, the control and the 

consequences of all types of fires. The National Fire Data Center describes the Nation’s fire problem; proposes possible solutions and national priorities; monitors resulting programs; and provides information to the public and fire organizations. 

6. I am willing to appear and testify before any duly constituted committee of the 

Congress on such occasions as I may be reasonably requested to do so. 

F. GENERAL QUALIFICATIONS AND VIEWS

1. How have your previous professional experience and education qualifies you for 

the position for which you have been nominated? I have over 30 years in the fire 

service. During that time I have served in almost every capacity in my department. 

I started as a street paramedic and firefighter and worked my way up through the 

department. I have served the last nine years heading up the largest fire rescue department in the Southeast United States. While in that position I handled some significant disasters such as Hurricane Andrew and the Value Jet crash in the Everglades. I also served as the President of the International Association of Fire Chiefs 

which has over 12,000 members in 27 countries. I oversee one of the most experienced Urban Search and Rescue teams in the world. This team is on of only two 

that respond outside the United States. Fairfax, Virginia being the other. Shortly 

after Hurricane Andrew, Emergency Management for Miami Dade County was 

turned over to me for restructuring and rebuilding. We have made it a model for 

the rest for the country. We were also one of the first fire departments to start using 

thrombolitic or clot busting drugs on our paramedic rescue vehicles. We have been 

able to save hundreds of lives that in the past would have not survived. I also have 

served as a consultant to the Defense Science Board and worked on issues such as 

biological terrorism and chemical warfare. I have a bachelor’s degree from Florida 

Atlantic University and completed Harvard’s State and Local Government Program. 

This program has given me great insight into public policy formulation. 

2. Why do you wish to serve in the position for which you have been nominated? 

It is important to have a fire service related person in this position; someone who 

not only has front line experience but has handled the administrative duties of a 

local fire Department and understands the issues local fire departments face each 

and every day. This person also needs to have handled or at the least, been exposed 

to major incidents. This is to ensure that whoever is in that position can comprehend the impact on the local community. The Fire Administrator should have national recognition and respect from our nation’s fire service. I have those experiences and qualifications and am ready to serve in this capacity. With the recent attacks on our country and the events that have followed, I have never been so proud 

to be a firefighter and never so ready to serve my country. 

3. What goals have you established for your first two years in this position, if confirmed? The first goal is to set up a timetable to review our mission statement and 

our strategic plan on a regular basis. We need to make sure that our mission statement correctly address the current fire problems. Goal two is to re-establish the confidence the fire and emergency services should have with the Fire Administration. 

Goal three is to increase the visibility of the Fire Administrator at our large disasters whether natural or manmade. The fire service is the first on the scene of disaster and the ones most visible by the public. The Fire Administrator should be visible to first responders. Goal three is to work toward having a 100 percent participation from our states in the National Fire Incident Reporting System. The information that could be gleaned from a complete and accurate set of data is invaluable 

in preventing fires and reducing injuries and death among our firefighters and residents. Goal four would be to make research and development a priority. We need 

better protective clothing, a workable firefighter accountability system. Right now 

we cannot track our firefighters once they enter a building. It is only through a 

manual system that we even know who is in the building and who isn’t. Once inVerDate Apr 24 2002 13:23 Aug 05, 2003 Jkt 087380 PO 00000 Frm 00035 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\87380.TXT SCOM1 PsN: CAROLT
32

side, we loose track where they are and how they are doing physically. We also 

should be looking at better ways to protect the public from the ravages of fire 

through advances in technology similar to the impact that smoke alarms had. There 

are existing technologies that could be transferred to use by first responders. A viable research and development program can identify those and assist in getting them 

on the front line. I also want to look closely at expanding off campus training for 

firefighters. Our state fire training programs could be expanded and provide quality 

training to more firefighters at a lower cost. Probably one of the more important 

issues that needs attention is developing a better system of getting feedback and 

input from our stakeholders. If confirmed, I will be meeting with USFA staff and 

our stakeholders to implement such a system 

4. What skills do you believe you may be lacking which may be necessary to successfully carry out this position? What steps can be taken to obtain those skills? I 

don’t believe I am lacking any needed skills to handle this position. I have the Education, experiences and desire to do the best job possible. I am quick to glean insight 

and wisdom from those who have been in the system and am a quick study. 

5. Who are the stakeholders in the work of this agency? The nation’s fire service 

is a stakeholder but is very diverse. We have volunteers, combination, small, medium and large metropolitan departments. There are fire marshals, fire service instructors, and haz-mat technicians. There are also numerous fore service organizations such as, International Association of Fire Chiefs, International Association of 

Fire Fighters, the National Fire Protection Association and many others. There are 

also organizations that are not, on the surface, fire related but have a close relationship with the Fire Administration’s mission. The Consumer Product Safety Commission who in the past has worked on the fire resistant sleepwear and child proof 

lighters, the National Safe Kids Campaign, the National Institute for Standard 

Techniques and the AARP. Our children and our older adults are at significant risk 

for be injured or killed in a fire and these organizations have education programs 

that address these risks. These along with the Congress, and the people of this 

country are some of the stakeholders. 

6. What is the proper relationship between your position, if confirmed, and the 

stakeholders? I see my job as facilitating how their roles fit into our mission and 

how our roles fit into their mission. My role is also to make sure we maintain a 

close, professional relationship with all of our stakeholders. 

7. The Chief Financial Officers Act requires all government departments and 

agencies to develop sound financial management practices similar to those practiced 

in the private sector. (a) What do you believe are your responsibilities, if confirmed 

to ensure that your agency has proper management and accounting controls? I am 

responsible for assuring the agency operates in a business like manner. Employees 

must know what is expected of them and what the fiscal constraints are. The budget 

requests and expenditures must be in concert with the strategic goals. In fact, the 

Strategic Plan must drive the budget not the other way around. Regular meetings 

with staff to receive input and regular review of what is expected and a systematic 

review of our strategic plan and budget will ensure we operate in a proper manner 

and within the guidelines of our budget. (b) What experience do you have in managing a large organization? I currently manage a 2,000-person department. These 

employees are spread out across 1900 square miles and they operate out of 55 facilities on three different shifts. My budget is over 200 million dollars. In the nine 

years I have been the fire chief, I have never over spent my revenues. I not only 

manage the Miami-Dade County Fire District, I also manage Emergency Management, Air Rescue (3 trauma transport helicopters), fire service at Miami International Airport, and fire service at Miami’s seaport. I have also managed several 

large disasters in our community, Hurricane Andrew, Value Jet crash, Fine Air 

crash, several floods, tornadoes and several large storms. I also have to balance several political jurisdictions. I have a County Commission consisting of 13 commissioners elected in single member districts, a county manager, an executive mayor 

and 5 fireboard commissioners that are elected in single member districts. Along 

with countywide fire service I also provide fire and rescue services to 25 cites. That 

adds 25 mayors, councils, etc. If I were not a good manager, I could not have survived the last 9 years as fire chief. 

8. The Government Performance and Results act requires all government departments and agencies to identify measurable performance goals and to report to Congress on their success in achieving these goals. (a) Please discuss what you believe 

to be the benefits of identifying performance goals and reporting on your progress 

in achieving those goals. Strategic planning with performance goals provides a 

framework for the organization’s mission in an internally consistent, sequential and 

systemic manner. A well-conceived strategic planning system provides a reference 

point for evaluating performance, productivity, and progress in a consistent and uniVerDate Apr 24 2002 13:23 Aug 05, 2003 Jkt 087380 PO 00000 Frm 00036 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\87380.TXT SCOM1 PsN: CAROLT
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form way. Performance measures evaluate how well and to what extent you meet 

your primary service areas. Identifying performance goals and reporting on the 

progress of meeting those goals challenges the employee to continually improve performance and proactively create their future. It also allows anyone who reads the 

report to know where the department is going. It identifies the best approaches for 

achieving the department’s goals and allows all to understand the political, economic and service environment in which the department operates. The success of 

identifying and reporting on the achievement of performance goals has been validated through a growing number of programs for government and non-profit services. (b) What steps should Congress consider taking when an agency fails to 

achieve its performance goals? Should these steps include the elimination, privatization, downsizing or consolidation of departments and/or programs? This is a question that all managers deal with. First you need to look at the goals. Maybe they 

were set too high and were not achievable. There could be management problems 

or maybe the agency does not have the capacity or finances to function properly. 

So, there may need to be a change in management or restructuring of the agency 

or a close look at private business capability of performing the functions of that 

agency. It could be as simple as setting realistic goals. One major problem with taking action when an agency fails to meet its goals is that it could stifle employee creativity and very may hinder a manager from setting high goals that pushes the staff 

to perform at its best. If we are having over 100 firefighters killed each year and 

set a goal of only fifty for next year but end up with 75, we haven’t reached our 

goal but had a significant reduction in firefighter deaths. Should that manager or 

agency be ‘‘punished’’ for not reaching their goal or should they be rewarded for reducing firefighter deaths by 25 percent? The answer is that if an agency or department does not reach the set goals the first step is to find out why and then decide 

what the next course of action should be. (c) What performance goals do you believe 

should be applicable to your personal performance, if confirmed? I would be responsible for the smooth, business-like operation of my area. I should be held fiscally 

accountable. It is my responsibility to make sure that the primary tool for the day 

to day management is the strategic plan and the budget. I am responsible to empower staff and make sure they have the needed resources available to achieve stated goals and performance measures. I must be held responsible to hold staff accountable for achieving those goals. I should also be responsible to keep an open line 

of communication with all of the stakeholders. 

9. Please describe our philosophy of supervisor/employee relationships. Generally, 

what supervisory model do you follow? Have any employee complaints been brought 

against you? I am a goal-oriented manager who is supportive of staff. I encourage 

employees to take risks and provide them with an environment that provides security. If you don’t provide the security, they won’t take risks. I make it very clear, 

to staff, what is to be accomplished but allow them flexibility to decide the best way 

to get it done. I usually avoid giving orders, instead, make requests or make suggestions. I find that this works better at getting employee buy-in than barking orders. 

I give my staff all the support I can and assume that they will do the best they 

can; they usually do. One important thing, there are times when you simply take 

charge and make decisions yourself. In times of crisis or when a decision is needed 

immediately there is no substitute for a strong leader. Someone who is afraid to 

make decisions or take charge should not be in a position of leadership. 

10. Describe your working relationship, if any, with the Congress. Does your professional experience include working with committees of Congress? If yes, please describe. I do have some experience working with Congress. I testified before Senate 

and House committees on dealing with the aftermath of Hurricane Andrew. I served 

as the President of the International Association of Fire Chiefs (1996–1997) and had 

an opportunity to work with several members of Congress during that period. I 

served as a consultant to the Defense Science Board in 1997, 1999 and 2000. I dealt 

with issues of homeland defense regarding biological terrorism and chemical warfare. 

11. Please explain what you believe to be the proper relationship between yourself, if confirmed, and the Inspector General of your department/agency. The Inspector General’s office is a management tool to assure that programs are operating efficiently, effectively and properly. It can be one of the most valuable tools a manager 

has. 

12. Please explain how you will work with this Committee and other stakeholders 

to ensure that regulations issued by your department/agency comply with the spirit 

of the laws passed by Congress. To make sure that regulations issued by my department complies with the spirit of the laws passed by Congress, I must review and 

understand what those laws are and mean. I will work closely with Congressional 

members to comprehend what the intent of those particular laws is. 

34

13. In the areas under the department/agency’s jurisdiction, what legislative action(s) should Congress consider priorities? Please state your personal views. There 

are a lot of needs in the nation’s fire service. I feel that the Assistance to Firefighters program and the grants associated with it need to continue. Terrorism response training needs to go much further than we have. Our nation’s fire service 

must be ready and able to handle acts of terrorism. This includes training and 

equipment and information. Sometimes it is difficult for local fire. departments to 

have the same access to critical information that is available to police departments. 

If confirmed, I plan to set up a meeting with the leaders of the Urban Search and 

Rescue Teams that responded to New York and the Pentagon and the New York 

Fire Department to see what we needed on those incidents that we did not have 

available. This will include existing equipment and technology issues that we do not 

have but need. Chemical warfare and biological terrorism is a real threat to this 

country. Most of our fire departments need significant training in these areas, as 

they are an integral part of our homeland defense. After what happened on September 11 we need to underpin the operational capability of nation’s fire service. 

One way to do this is to set aside a portion of radio spectrum to be used only by 

the fire service. There is a shortage of this spectrum and once it is gone it is extremely difficult to retrieve. 

14. Within your area of control, will you pledge to develop and implement a system that allocates discretionary spending based on national priorities determined in 

an open fashion on a set of established criteria? If not, please state why. If yes, 

please state what steps you intend to take and a time frame for their implementation. At this time there is only one program that has any discretionary spending 

under USFA and that is the Assistance to Firefighter Grant Program. This program 

is almost completed. However if this program is funded beyond the 2002 budget 

year, we (if confirmed) will include the stakeholders in setting up criteria, in an 

open fashion, for application and for evaluation. This will ensure that there is an 

equitable process of distribution based on the established criteria that includes national priorities. If confirmed, I will make sure this process is in place in a timely 

manner.

Senator WYDEN. Mr. Paulison, thank you. Both of you have given 

excellent presentations. 

Let me go right to the questions. First, on the issue of terrorism, 

Dr. Bement. We had our hearing for Dr. John Marburger, as you 

know, who will be heading up Science and Technology, and we discussed the need for a coordinated effort among the federal science 

agencies in conducting research to combat terrorism. We were concerned about the General Accounting Office report that showed 

that often the left hand does not talk to the right hand. They said, 

for example, that the Coast Guard and the Defense Department 

were doing the same research on chemical weapons detection for 

cruise ships. So you end up taking dollars away from critically 

needed functions because of duplication, and you do not have the 

benefits of the sharing of information. 

Why do we not start by having you describe how you see NIST 

being a part of this fight against terrorism. You have obvious areas 

with respect to technical competencies, such as quantum computing, encryption, sensing tiny amounts of substances. Describe 

for us, if you would, what you see as the agency’s role in combatting terrorism? 

Dr. BEMENT. Thank you, Senator. You have already outlined a 

couple very important areas. There is very active work at NIST 

and there was even before September 11th in developing advanced 

sensors for detecting biological and chemical agents, as well as nuclear materials. You mentioned encryption standards. There is also 

a very large agenda in building and fire research. Almost every laboratory at NIST has a role to play and also has significant efforts 

under way, including the Advanced Technology Program, where 

35

there are some initiatives that directly address needs for homeland 

security. 

I would like your permission, if I may, to submit some of these 

initiatives, which is a rather long list, for the record so that you 

will have first-hand listing of the various initiatives that are currently under way. 

Senator WYDEN. We will hold the record open for that. That 

would be very helpful. 

[The material referred to follows:]

36


87380.002
37

Dr. BEMENT. Thank you very much. 

Senator WYDEN. On the question of fire research, as I mentioned, 

we looked at fire services issues in some depth not long ago. We 

heard at our hearing testimony from a number of witnesses, including the New York Fire Department, in which they described the 

need for the development of performance standards for firefighter 

equipment. They said at this point there are not any standards by 

which they can credibly evaluate the new equipment, particularly 

the equipment containing advanced technologies. 

After we heard that testimony, I wrote Secretary Evans asking 

that NIST look into this issue and set up a program to deal with 

it specifically, such as the one that now exists at NIST for law enforcement services and equipment. 

These two agencies have a long history of cooperating. Could you 

state for the record whether you are willing to put together a program that addresses the concerns raised by the firefighters at the 

Subcommittee’s recent hearing? 

Dr. BEMENT. Absolutely, Senator. I consider this to be a very 

high priority for NIST, not only in providing the technology but 

also the standards. The interaction with the U.S. Fire Administration under our existing Memorandum of Understanding is already 

well along. Dr. Jack Snell is here, who is the Director of the Building and Fire Research Laboratory, and he has been very active in 

this area with the U.S. Fire Administration. I look forward, if confirmed, to working with Mr. Paulison in actually carrying out that 

agenda. 

Senator WYDEN. Tell me then, because that is very helpful and 

very constructive, to have your position with respect to putting together a program on the standards for the equipment, what other 

areas of research do you think are promising as it relates to NIST 

in terms of getting the next generation of advanced firefighting 

technology out to the firefighters? 

Dr. BEMENT. There are two or three areas that I think are paramount. One is in open systems communications, so we do not have 

the difficulties that we had in New York with the World Trade 

Center disaster. Better protective equipment, better detection 

equipment so that one can do a better job of detecting victims of 

fire, and better early warning devices in some of the buildings are 

also required. 

Some of the building codes are pretty old. Even the World Trade 

Center, which is a relatively new building, was built according to 

building codes that probably were put in place in the 1950’s. I 

think updating building codes in the interest of preventing the 

spread of fire, and also early warning and detection of fire is just 

absolutely paramount. 

Senator WYDEN. Let us talk for a moment about personnel 

issues. My understanding is you have got one-quarter of your people, something like upwards of 800 people, eligible for retirement 

this year. Suffice it to say, again and again we are getting these 

reports about the great need for talented, dedicated people in federal service. GAO has cited the human capital challenges as a top 

concern affecting many federal managers. 

How do you plan to address this issue so that NIST has an adequate supply of young researchers ready to step in? I would like 

38

to know if you plan to expand your postdoctoral program or other 

kinds of approaches so that we can attract more young researchers. 

Dr. BEMENT. Yes. NIST is rather unique among many federal 

laboratories in that it does have a very active intern program 

through the national Research Council postdoctoral fellowship research program, as well as a Summer Undergraduate Research 

Fellowship program to bring budding scientists in their undergraduate years into NIST, not only to become motivated and also 

to get the spirit of the place, but also to consider NIST for their 

future career. 

As a result, it has been the tradition of NIST for some years to 

build from the bottom, to select bright young talent that infuse new 

ideas and new energy into the Institute, and we have people waiting in line to fill some of the senior positions as people retire. So 

this evergreen character of NIST is something that we treasure 

and it is something we try and promote very actively. If confirmed, 

I want to continue to keep that a very active program. 

I should say parenthetically that the summer undergraduate program is absolutely wonderful in helping us work our diversity opportunities, because we bring a very diverse mix of students from 

various colleges from around the country and it gives us a leg up 

in trying to build more diversity in our scientific and technical 

ranks. That I would also give very high priority if confirmed. 

Senator WYDEN. In terms of your resources, I would like to know 

whether you think you have got enough resources and facilities to 

continue the kind of work that has produced the Nobel Prizes, the 

repeated instances where you have won, and whether you have the 

resources to deal with the relationship with the Technology Administration, which as you know has always been unique and a big disparity between NIST and the Technology Administration. 

Why do you not talk for a moment so we have it on the record 

how you are going to approach this question of the adequacy of resources. 

Dr. BEMENT. Well, for some years now NIST has not been idealimited, it has been resource-limited, funding-limited. So it really 

takes inspired management, inspired leadership, to try and restructure the program almost on the run in order to structure programs with the right talent and the right resources to succeed and 

to succeed cost-effectively in a timely fashion. 

So in many cases we are at risk of dropping some activities that 

are almost in the area of public trust in measurements and standards, in the interest of moving into some of the new technology 

areas and some of the new needs in standards and measurements. 

This has been a continuing problem. Fortunately, we have seen a 

slight plus-up in our budget this year, which we are very grateful 

for. 

But through our strategic planning, I hope I can continue to keep 

this Committee aware of what cannot happen if we do not continue 

to get the support that we need. 

Senator WYDEN. As I told you yesterday, I have a special interest 

in the Bayh-Dole statute. 

Dr. BEMENT. Yes, sir. 

Senator WYDEN. I want to discuss that with you for a few moments. As you know, Bayh-Dole and Stevenson-Weidler are essenVerDate Apr 24 2002 13:23 Aug 05, 2003 Jkt 087380 PO 00000 Frm 00042 Fmt 6633 Sfmt 6601 S:\WPSHR\GPO\DOCS\87380.TXT SCOM1 PsN: CAROLT
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tially the two statutes that govern cooperative research and the licensing of federal inventions. I am of the view that, at this point, 

the statute does not work anywhere near as well as it could for all 

of the stakeholders, businesses, universities and taxpayers. I am 

interested particularly in the involvement with the laboratories as 

it relates to universities and businesses. They are constantly talking to me about delays and the amount of paperwork that they 

have to slog through to be part of the statute. 

When you look at the numbers in terms of return on investment 

research, they look pretty paltry. I have, as I indicated to you yesterday, made it clear that I want to see the Administration look 

again at this statute and look at ways, working with all of the 

stakeholders, that it can be improved. 

I would like to have you tell me how you see the tech transfer 

system working at NIST, given the fact that your operation, as we 

talked about yesterday, is one piece of the puzzle. You have got laboratories, universities, businesses, and taxpayers. I would like to 

have you describe to me how you think it is working. 

Dr. BEMENT. Well, I think it is working well. We have both an 

intramural and an extramural outlook when it comes to technology 

transfer and the application of Bayh-Dole. I think the preponderance of our work is done in the public domain, so that we try and 

make the results available to the public. But we also patent our intramural research. We also develop licensing royalty streams from 

intramural research. That seems to be going well. I do not know 

that there is a problem there. 

In the ATP program, Bayh-Dole is not an issue. But in some of 

our CRADA’s, where we do have cooperative arrangements with 

universities and also with other federal laboratories and with industry, it does come up and it is a major issue. 

I must confess, I did go through the statute and I agree with you 

that there is nothing in law that I could find that provides a return 

stream to the government for investment in inventions. But I also 

have to confess I never looked at it from that standpoint. I looked 

at it more from the benefits to universities or the benefits to industry. 

It turns out that the Administration of Bayh-Dole is part of the 

technology transfer responsibilities of the Technology Administration, and if confirmed I will follow up your suggestion and explore 

that with Secretary Bond. I would very much like to have an opportunity to discuss it with Floyd Kvamme at the first opportunity. 

Senator WYDEN. I appreciate that, because my sense is we can 

do a lot better by all of the stakeholders. I think we can streamline 

the red tape and the bureaucracy that has been frustrating for 

businesses and universities, and I think we can shore up the return on investment for taxpayers. That is the way I would like to 

approach it. Secretary Bond is a good man, and I appreciate your 

taking it up with him and with Floyd Kvamme, if you will do that 

and get back to us. 

In fact, I would like you, if you would, could you get back to us 

within 90 days after you are confirmed and give us your sense of 

how NIST, to the extent you can, and the Administration is willing 

the proceed as we look to try and strengthen? I would like to see 

if we could do it administratively if possible. I am always anxious 

40

to avoid getting entangled in legislative rewrites of complicated 

statutes. 

But, I would like to see us take this out through the prism of 

each of the stakeholders—universities, businesses, laboratories, 

and taxpayers. I am convinced we can do a lot better. Is that fair 

enough, 90 days; give me a sense of what you are picking up? 

Dr. BEMENT. Can we make it 90 days from confirmation? 

Senator WYDEN. That is what I mean, yes. 

Dr. BEMENT. Well, Senator, I would be glad to. 

Senator WYDEN. We are going to get you confirmed quickly so 

you can go to work on these and other pressing matters. 

Dr. BEMENT. Yes, Senator, I would be happy to stay close with 

you and to take on that charge. 

Senator WYDEN. Very good. 

Well, thank you and I think you are going to be spared a little 

bit now while we will go to Mr. Paulison. 

A few questions for you. I think, given the fact that you are there 

in Miami-Dade, you have seen first-hand what local fire departments are up against. Tell us what you think the biggest needs are 

and what your priorities would be at the U.S. Fire Administration 

to address, the big priorities? 

Mr. PAULISON. There are several needs, and a couple that I 

would like to address. Since you talked about technology, one is 

firefighter accountability. We do not have a method to track our 

firefighters. We know when they go in a building, when they come 

out of a building. Once they are inside the building we lose them. 

Also, with our forestry firefighters. We know the technology is 

there for that with GPS, but we are looking for our research 

friends over here to help us design an accurate ability to track our 

firefighters, where they are, what kind of condition they are in. We 

should be able to monitor their health, their blood O2 saturation, 

their location, and all of those things, and monitor it from a single 

place. 

Communications is another major issue that we are going to 

tackle. We have to talk about interoperability, what we saw in New 

York. We dealt with the same thing in Hurricane Andrew, where 

we had these major incidents and we simply cannot talk to each 

other, and not just fire department to fire department, but we need 

to be able to talk to the police and the mayor’s office and the manager’s office. 

That technology is there at the local level, where we can do interface boxes to patch in from one channel to another or one frequency 

from another, whether you are on 800 megahertz or UHF, but we 

are simply not doing that yet. 

The second part of that——

Senator WYDEN. Let me, if I might—I am very much interested 

in this area. We are going to have a specific Subcommittee hearing 

to look at some of the technology aspects of what happened on September 11th. You may have heard that I have actually suggested 

that we look at something along the lines of a technology equivalent of the national Guard, a kind of effort to mobilize people in the 

private sector so that we have got the equipment and the brains 

and the talent, essentially, ready to go. 

41

Tell me, if you would—and sort of step back from what you said 

earlier—what the problems were in terms of interoperability when 

people tried to be in contact with each other in that situation and 

what you think we might do to deal with it? 

Mr. PAULISON. The problems we had were—obviously, you have 

seen it before—where more than one agency comes together on a 

scene and you cannot communicate. We have resolved that locally 

by setting up a unified command post, where you have somebody 

from each agency in that command post with a radio for their particular agency and they pass information back and forth. 

That is a very poor way to do that. So we need some method, and 

I think the long-term solution is a country-wide communication 

system. That is going to be long-term. We are talking about setting 

up satellites and towers across the country, where we can have an 

emergency frequency that everybody can tune into when they have 

a disaster. To me that is the long-term fix. 

Senator WYDEN. You know, the satellites did not go down on 

September 11th. Everything else crashed, but Global Star, Iridium, 

all those did not. 

Mr. PAULISON. It works all the time, right. 

The other system that I was talking about earlier was by having 

interface boxes where a local community can interface from one 

agency to another even if they are totally different systems. They 

can be on 800 megahertz or a UHF system. I am not a technician, 

but I know there are boxes available that they can—where you can 

patch that together and go to one emergency frequency for that 

particular event. I think that is the short-term fix. 

Some of the major departments may be able to afford these, but 

there are literally hundreds of departments across this country 

that simply are not going to have the money to do this, and I think 

that is where the federal government and state governments need 

to step in and help. 

The other issue with communications is also the amount of frequency that is available for us to use for public safety. We need to 

set aside a certain amount of spectrum for public safety use only 

and say that, not sell it off or do anything else with it, but save 

it for public safety. 

Senator WYDEN. Now, I gather that you tried to do some of these 

things in the aftermath of Hurricane Andrew. I read the article 

that you wrote in ‘‘Fire Chief’’ magazine, and it talks about your 

prepositioning platform aerials around your county and generators 

and portable repeaters, in effect, a backup kind of communications 

system. I gather it was really the only thing you had for several 

days. 

Do you think it would be helpful to have people from the private 

sector in the communications and technology sector in position to 

try to assist you, a sort of talent pool that you could call on to reestablish normal communications? 

Mr. PAULISON. Absolutely. That is where the expertise is. That 

is where the technology is, in the private sector. If we could have—

this is the first I have heard of this idea you are talking about, but 

it is a tremendous idea, to have a group of private sector people 

that have that technology, have the equipment, and have the abilVerDate Apr 24 2002 13:23 Aug 05, 2003 Jkt 087380 PO 00000 Frm 00045 Fmt 6633 Sfmt 6601 S:\WPSHR\GPO\DOCS\87380.TXT SCOM1 PsN: CAROLT
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ity to come in and assist a local government when they are dealing 

with a disaster like this. 

Senator WYDEN. Good, thank you. We will be looking to work 

with you as we go forward with the hearings in an effort to develop 

an initiative. 

Mr. PAULISON. Yes, sir, we would like to be a part of those. 

Senator WYDEN. Very good. 

Tell us a bit about the FIRE Act grant situation. As you know, 

$100 million was awarded. I gather that the requests were many, 

many times the amount of money that was awarded. There are 

some questions about whether you have the dollars to administer 

the program. In a sense, you are going to be coming at it from two 

standpoints. You are a local fire chief, so you can tell us a bit about 

what it is like to go through the bureaucracy and the red tape and 

what you can do to improve the process there, and then I am sure 

you have had some thoughts already about what you will do after 

confirmation. 

Given the importance of the program, why do you not touch on 

both issues. What could be done that would really be helpful to a 

local fire chief, since you hale from those ranks, and then what 

seems doable to you in terms of the Washington, DC., situation? 

Mr. PAULISON. From a local level, the application process was 

cumbersome. There was not enough flexibility. Sometimes there 

were things that we felt we needed, but there was not a slot for 

us to fill in to try to apply for a particular issue. An online process 

would probably speed things up and make it a lot easier on both 

ends. 

Senator WYDEN. You cannot apply online for this? 

Mr. PAULISON. Not yet. That is one of the things we are proposing. 

But for a local fire chief or a local fire department to be able to 

do an online application and then for the U.S. Fire Administration 

to be able to process that online would save a lot of red tape and 

speed the process. 

The application process needs to be a little bit longer. It is too 

short. There is too much detail, too much work you have to do. It 

is stuff that is needed, and we need to extend that application process a little more. 

From the U.S. Fire Administrator’s position, if we are given another amount of moneys to hand out we are simply going to have 

to have staff to do that. With the first grant that came out, we 

pulled people from—I say ‘‘we’’—U.S. Fire Administration—we 

pulled people from everywhere. Everybody rallied around and we 

put an effort out to get these moneys out, and we did it in an extremely timely manner. I am very proud of the staff and what they 

did. 

You cannot keep doing it that way, because everything else will 

shut down. We just literally shut everything else down to get the 

grants out. That was the right thing to do at the time, but if this 

is going to be an ongoing process like I suspect it is going to be, 

we are going to have to set aside a percentage of those grants 

funds to provide staffing. If we are going to do the grants, we are 

going to do it right, we want to do it efficient. We want to make 

43

sure that what we do is purchasing the right thing that is going 

to have an impact nationwide on the safety of our public. 

Senator WYDEN. Now, as you know there is a lot of discussion 

in the Congress about hiring a substantial number of new firefighters, a discussion of perhaps 70,000 new firefighters. We would 

like to know if you think a program like this is needed, do you have 

the resources to administer it, and what you think of the suggestion that the Department of Labor would run it? 

Mr. PAULISON. I have heard the rumors about the request for 

75,000 firefighters, but I have not seen it in writing yet. My concern is simply the same as what we had with the COPS program. 

We are hiring people with 30-year careers and we are talking about 

potentially short-term money, and who is going to pay for those 

firefighters after the third, fourth, fifth, or tenth year. It may not 

be insurmountable, but that is my main concern. 

I have not discussed it with the Director, but off the top of my 

head I would say that the Department of Labor may not be a bad 

place to manage that program if it becomes law. 

Senator WYDEN. The only other question I have for you, Mr. 

Paulison, deals with preparedness coordination. As you know, the 

General Accounting Office has been making recommendations for 

several years now to reduce duplication and improve coordination 

of the assistance programs to the first responders. They cite in 

their most recent report that there is still some confusion about 

these various kinds of programs. 

What in your view could be done to respond to what the GAO 

has been talking about with respect to confusion among federal assistance programs? 

Mr. PAULISON. If we are talking about a particular group of people like firefighters, I think it needs to be centralized in one place, 

along with training also, so we have one focus, one agency, one 

group to go to for questions and answers. The fire chiefs that I talk 

to struggle with: I cannot get a straight answer out of anybody; I 

call this person, they say, well, that is not ours, you need to call 

so- and-so. 

They need somebody to go to, one-stop shopping, to coin a 

phrase, where they can go. So I say if we are going to continue 

doing these, let us put it in one place and decide where that is 

going to be, and whoever it is, give them the resources to manage 

it. 

Senator WYDEN. That might be too logical for the federal government. It sure makes sense to me. 

Both of you have given excellent presentations. As you can tell, 

it is particularly hectic right now with so many colleagues being 

pulled to other meetings. I have got to get over to the Intelligence 

Committee myself. I am very anxious to get you confirmed. Chairman Hollings is, as well, given the fact that we are already asking 

you for projects and to do things about standards for firefighter 

equipment and get into whole areas you never thought you would 

even be asked about, like Bayh-Dole, Dr. Bement. We have got to 

get you all credentialed and approved, and I am confident that the 

Senate is going to do that. 

On behalf of the Committee, we are very pleased that two distinguished individuals such as yourselves are interested and willing 

44

to serve our country right now. We always give you a chance to 

have the last word on these matters. Is there anything else that 

you would like to add? 

Dr. BEMENT. Well, if I may, Senator, I would like to acknowledge 

the presence here of Deputy Secretary Bodman, Sam Bodman. I 

have had in my lifetime a very unusual privilege of always moving 

from one career to another, but working under a person that I 

could like, that I could respect, and I could learn from. My record 

is now intact. I have had many good exchanges with Phil Bond. I 

can assure you that there is going to be a very close and seamless 

relationship between NIST and the Technology Administration. 

I look upon it as a real honor to serve with these people. 

Senator WYDEN. Well, I appreciate your singling people in the 

Department out. They have been very cooperative, starting with 

Secretary Evans and the other individuals that you have talked 

about today, and I think that is a very appropriate one to quit on 

because that is what it is going to take, that kind of bipartisan effort maximize the success of our policies in an area that obviously 

is in the forefront of the public’s attention. 

Mr. Paulison, anything you would like to add further? 

Mr. PAULISON. I just want to say that, based on what happened 

September 11th, I have never been so proud to be a firefighter and 

I am never so ready to serve my country, and I appreciate your 

support. Thank you. 

Senator WYDEN. That is a great way to wrap up. We are very 

proud of what all of those in your profession have done to help our 

country when very often it is not at all expected and do it extraordinarily well. 

Mr. PAULISON. Thank you. 

Senator WYDEN. We look forward to working with you. 

With that, the Committee is adjourned. 

[Whereupon, at 3:34 p.m., the Committee was adjourned.] 

(45)

APPENDIX

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN MCCAIN TO

ARDEN L. BEMENT, JR. 

Question 1. Given the focus from the Secretary of Commerce and the Congress on 

ATP, what effects has this attention or controversy had on the other programs at 

NIST? 

Answer. I believe that the current close review of the ATP by the Secretary of 

Commerce is in the interest of establishing a stronger ATP, which will be more sustainable and serve the nation even better. The Committee has been a strong supporter of NIST, and I believe NIST programs are highly effective and productive. 

I do not believe the attention or controversy around ATP has had an adverse effect 

on the other programs at NIST. In fact, during the years of debate on ATP, NIST’s 

programs have made notable progress. The laboratories’ mission is enhanced by new 

laboratory facilities in Gaithersburg: The Advanced Chemical Sciences Laboratory 

was completed recently and the Advanced Measurement Laboratory is now under 

construction. The Manufacturing Extension Partnership has increased its reach and 

service to thousands more small manufacturers, and the Baldrige National Quality 

Program has expanded its scope to health care and education. I am grateful for the 

Committee’s continued championship of NISTs programs and, if confirmed, will 

work with the Committee to further strengthen these programs. 

Question 2. Can you comment on the role of technical standards and the ability 

of US companies to compete on the International level? 

Answer. Internationally recognized technical standards for products and services 

are key to promoting free trade that strengthens the US economy and benefits the 

world. Some nations or regions have tried to unilaterally set standards to favor one 

nation or region over others, often disadvantaging US companies. NIST has worked 

closely with US standards developing organizations to develop a national standards 

strategy that promotes US economic interests and global free trade. If confirmed, 

I will make it a priority to work with American industry, standards organizations, 

and Congress to make the implementation of our national standards strategy even 

more timely and effective for the benefit of US companies. 

Question 3. In information you have provided to the Committee on your nomination, you stated that changes to the authorizing act for the Advanced Technology 

Program was a critical need from a legislative standpoint. Why is this a critical 

need for NIST? When can the Committee expect the results of the Secretary’s review of the program? 

Answer. I believe NIST, the Department of Commerce, and Congress have an excellent opportunity to make the ATP even stronger and more effective, especially at 

the earlier stages of the innovation process. ATP has been successful for more than 

10 years in promoting development of new technologies with broad benefits to the 

nation. But global competition for high-technology markets is even more intense 

today than in the 1980s when ATP legislation was first written. I believe that updating ATP legislation to reflect these changes will help to ensure that the United 

States maintains a strong environment for innovation. If confirmed, I will work with 

the Secretary and the Committee to further optimize the ATP. 

Question 4. Over the years we have heard about the merits of the Baldridge program and the criteria used to select the winner of the annual awards given by the 

President. Do you have any plans to implement the Baldridge criteria within the 

laboratory? 

Answer. The Baldrige process is an excellent way for companies and organizations 

to assess their strengths and weaknesses, to develop plans to improve organizational performance, and to monitor progress. If confirmed, I will use the Baldrige 

criteria and other proven management tools to ensure that NIST continually improves its performance and impact. 

Question 5. In recent testimony before the Commerce Committee, Dr. John 

Marburger, the President’s Science Advisor, highlighted the need for more diversity 

46

at all ranks of the science and engineering workforce. Do you feel that this need 

exists at NIST and if so, what are your specific plans to address this problem? 

Answer. In an increasingly diverse America, attracting and retaining top scientific 

talent is a challenge for NIST and all federal agencies. The challenge will grow in 

the future, and I believe NIST and all agencies must work harder and smarter to 

recruit a more diverse workforce. The NIST postdoctoral program has been highly 

successful in bringing the best young scientists to NIST to work with leading NIST 

scientists, including NIST’s Nobel laureates. I am also learning about other successful programs, such as NIST’s Summer Undergraduate Research Fellowship Program, that place a diverse mix of undergraduate students in NIST laboratories to 

stimulate their interest in science careers. These programs are helping NIST recruit 

from a more diverse pool. If confirmed, I will strengthen these training and recruitment programs and work with the Committee to find additional ways to ensure 

NIST continues to have the world-class, diverse scientific staff it needs to fulfill its 

mission. 

Question 6. During the 105th Congress, the Congress established the Teacher 

Science and Technology Enhancement Program which would assist teachers in their 

understanding of science and its relationship to commerce. Can you comment on 

how this program may assist you in addressing some the priorities that you have 

announced for the laboratory? 

Answer. There is widespread national support for strengthening our educational 

systems. The Teacher Science and Technology Enhancement Program (TSTEP) focuses on improving science and technology education to help prepare our children 

for a world increasingly driven by technology. I believe that there is much that 

NIST can do to help teachers motivate students in learning scientific and technological principles. I also believe that all agencies should contribute as they are able 

to fulfill this national priority. A concerted effort could only serve to enhance the 

technical knowledge and capabilities of the United States’ workforce upon which 

NIST and all our technical organizations must increasingly rely. If confirmed, I look 

forward to working with the Committee to determine how NIST can best contribute 

to national education priorities in science and technology. 

Question 7. What can we do to improve the acceptability of building and fire codes 

by state and local jurisdictions? 

Answer. NIST supports improved building and fire codes in three ways: NIST operates the nation’s leading building and fire research laboratory to identify ways in 

which codes can improve safety and building performance; NIST works with industry, professional, research, and government organizations across the nation to promote better building practices; and NIST works closely with national standards organizations and model building code organizations to develop and implement standards. Over time, more state and local regulators have been adopting national standards and model building codes, which needs to be amplified. If confirmed, I will 

work with the Committee and our wide range of stakeholders across the nation to 

accelerate the development and adoption of more up-to-date and effective building 

and fire codes. 

Question 8. Many Americans continue to be worried about the reliability of voting 

systems, especially after the newspaper stories and recent commission reports about 

last year’s elections. How can NIST play a role in ensuring the accuracy and reliability of voting systems? 

Answer. NIST is prepared to contribute to improving voting systems. Two areas 

where NIST could make key contributions include working with the private sector 

to develop performance standards and test methods for various voting technologies, 

and working with local, state, and federal officials and the private sector to develop 

standards for the reliable operation of voting systems. There may be other roles for 

NIST as well. If confirmed, I look forward to working with the Committee to determine the best roles for NIST in improving voting systems. 

Question 9. In your answers to the Committee’s pre-hearing questions, you stated 

that one of your principal goals will be to ‘‘find more effective means to communicate with industry and government decision makers’’ about NIST’s role in the Nation’s industrial and technological developments. In your opinion, what are the 

shortcomings to NIST’s current efforts, and how do you intend to resolve them? 

Answer. NIST is well-connected with its constituents in industry, academia, and 

government at the operational level. However, because NIST’s contributions are 

infrastructural in nature, NIST’s essential roles and its successes in fulfilling these 

roles are not necessarily recognized by top decision makers. With technology and the 

economic environments changing rapidly I believe NIST needs to strengthen and 

elevate its ties to all its stakeholders in order to continue to have the greatest impact. If confirmed, I will make it a top priority to work with the Technology Administration and the Department of Commerce to improve communications with top inVerDate Apr 24 2002 13:23 Aug 05, 2003 Jkt 087380 PO 00000 Frm 00050 Fmt 6601 Sfmt 6621 S:\WPSHR\GPO\DOCS\87380.TXT SCOM1 PsN: CAROLT
47

dustry and government decision makers to find additional ways to build on NIST’s successful collaborations and to ensure that NIST does an even better job in meeting the needs of all of its constituents. 

RESPONSE TO WRITTEN QUESTION SUBMITTED BY HON. GEORGE ALLEN TO

ARDEN L. BEMENT, JR. 

Question 1. Dr. Bement, there is some discussion in Congress about the need for 

a single standard for digital copyright-protection technology. Some have suggested 

that if industry groups cannot agree on a standard within a specified time period, 

then NIST should be required to develop the standard. Would you give us your 

thoughts about Congress mandating that NIST develop and enforce a single standard for digital copyright-protection technology? 

Answer. NIST has historically worked very well with industry, academia, and government to develop voluntary consensus standards. NIST’s key contributions to 

standards development have been in providing unbiased technical advice and facilitating agreement within standards developing organizations, consortia, and other 

groups. I believe NIST can best serve the nation by continuing in these roles as an 

objective, neutral partner that brings technical competence and good working relationships to the table, not as a regulator of technical activity. If confirmed, I will 

work with the Committee to determine the best roles for NIST in digital copyright 

and other standards issues. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN MCCAIN TO

R. DAVID PAULISON

Question 1. In recent testimony before the Committee, several representatives 

from the firefighting community talked about the need for standards for new equipment. Do you believe this to be the case also, especially in light of the increased 

purchasing of new equipment via the Assistance to Firefighters program? 

Answer. National standards for fire equipment have existed in part for many 

years. OSHA and NIOSH have standards for equipment. There are also consensus 

standards that have been developed by the National Fire Protection Association. 

There does need to be a set of nationally accepted standards for equipment that 

leverages new technology and increases firefighter safety. The Assistance to Firefighters Grant Program has indeed shown an increase in equipment purchases. In 

general the equipment being purchased meets or exceeds the existing standards. 

Question 2. How responsive is the federal research and development program to 

the needs of firefighters? Do we need to develop a needs assessment process to ensure better response? 

Answer. USFA has for many years had a very successful partnership with NIST 

on research and development which has yielded significant firefighter safety and response programs and concepts to include: • Research on Structural Collapse Prediction Technology • Research on Enhancement of Performance of Personal Alert Safety Systems for 

firefighters • Evaluation of Thermal Imaging Systems Technology • Research of Fire Suppression Effectiveness of Hose Streams • Evaluation of Structural Ventilation Techniques using Computational Fluid Dynamics • Technology Transfer—Integration of Research Results in NFA Training Programs • Recreation of Fire Burn Patterns with Computer Simulations • Thermal Protective Properties of Firefighter’s Personal Protective Equipment 

All of these programs are ongoing and have had a direct impact on firefighter safety 

at emergency scenes. We need to look to additional research and to develop new 

technologies to assist in first responder tracking systems that provide information 

on actual location as well as vital health signs. We need to continue to develop technology and research being done by other agencies such as DOD, NASA, and CDC 

to name a few. 

Question 3. You mentioned in your written statement that the federal assistance 

should be supplemental and should be directed to the areas and programs in greatest need. How can we ensure that the funds in the Assistance to Firefighters Grant 

Program are supplemental and not a primary funding source? 

Answer. Local and state support for the fire services is an age-old problem. Many 

local governments support their fire departments and many do not, all for varying 

reasons. Local officials have to make. difficult funding decisions. What is true in all 

48

cases is that local government has the primary responsibility for public health and 

safety. They need to be encouraged to not just maintain their fire departments but 

also find additional ways to support them. States also have an important role to 

play. 

Through grant programs, bulk purchasing under state contract and other creative 

funding and resource acquisition programs, fire departments and local governments 

can work to improve their capabilities. It is critical that all levels of government 

work together on these efforts. The fire services also need to acknowledge that they 

need to come to the table as well. Many local fire departments are volunteer and 

do not wish a lot of involvement with local governments. That must change and the 

fire services must be willing to accept some accountability to local governments in 

exchange for assistance. 

Federal efforts should supplement state and local governments in areas that are 

beyond their capability; that are not technically feasible; or that are financially cost 

prohibitive. Such federal assistance, however, should only be made available after 

there is a complete understanding of the local responsibility and those federal dollars should not supplant existing or future local financial support. 

Question 4. You have mentioned that the U.S. Fire Administration has some very 

specific goals for the next 5 years. They include the reducing the loss of life from 

fire by 25 percent for children under 14; reduce by 25 percent the loss of life by 

fire of Americans over 65 years old or older; and to reduce the number of firefighters’ death by 25 percent. As the President’s nominee for Administrator of the 

Fire Administration, do you agree with these goals? If so, what would be your strategy for achieving these goals? 

Answer. I agree completely with these goals and will work to aggressively implement them. USFA last year undertook a major campaign to address the fire safety 

needs of older Americans, and this year they are undertaking a campaign to assist 

children. We have developed and should continue to foster the relationships built 

with the Safe Kids Campaign and the American Association of Retired Person. We 

have ongoing programs with the National Fire Protection Association on fire prevention. 

The Assistance to Firefighters Grant Program also provided many fire prevention 

grants to national and statewide fire service organizations and burn centers. All of 

those initiatives are addressing USFA’s target audiences. I pledge to continue and 

where possible increase those efforts. 

Firefighter fatalities are the closest to my heart. Even the loss of one firefighter 

is too many. This year’s loses are staggering as a result of September 11, but we 

still loose far to many firefighters each year. Almost one every 3 days, is lost. We 

need to address the root causes and they are heart attacks and vehicle accidents. 

Both of these are preventable. Health and safety programs in fire departments must 

be robust and likely include prescreening health exams and physical fitness programs. Vehicle operator programs exist through the National Fire Academy and the 

state and local training entities. The entire training system and the fire services 

leadership need to,put a new emphasis on driver training and safety. 

On both of these specific issues we will work with the CDC, DOT and our partners at the state and local level to develop programs and initiative to reduce these 

types of fatalities. 

Question 5. The U.S. Fire Administration started working on terrorism training 

programs, response guides and outreach several years ago. Based upon the events 

of September 11, do you believe this work proved to be effective? 

Answer. I do think the programs USFA has developed have been very helpful and 

effective. These have set the baseline and need to be expanded. We need to look at 

making this training available to as wide a fire and emergency service audience as 

possible. We must also continue to work in partnership with other agencies and the 

Office of Homeland Security to develop even more advanced programs. 

Question 6. You mentioned in an article you authored on the Hurricane Andrew 

disaster ‘‘ironically, all the mutual aid we received was also the worst thing that 

happened to us. It came too fast and was not coordinated.’’ Can you elaborate on 

that point and how the Fire Administration may be able to help resolve this problem in future disasters? 

Answer. Incident management must address coordination issues with the Federal 

Response Plan. Self-deployment of agencies and assets outside the plan and the Information Management System (IMS) request creates difficulty in coordination and 

strains the time and attention of legitimate responders. Standardized state and regional mutual/automatic aid plans would be helpful. Also, attention and training 

must include focus on the problems with maintenance of long-term ‘‘campaign’’

emergency operations that will go on for extended periods of time. 

49

We need to address the area of scene security and safety. The World Trade Center 

terrorist attacks clearly demonstrated the need to explore a national credentialing 

system for first responders. Such a system could provide identification of the responder, the responder’s qualifications, and any operations limitations and expiration dates. State and local agencies and educational/training institutions should 

serve as the certifying authorities for qualifications. The certification ‘‘card’’ could 

then serve as a passport for admission to secured work sites. This should cut down 

on the ‘‘freelancing’’ we saw on scene in New York and result in improved security. 

We need to consider additional training in vehicle/logistics/staging security, personnel security, scene security, control and accountability of teams and resources as 

well as issues of deployment, sustainability, and recall. 

Question 7. In a hearing that this Committee held in October on the Fire Service, 

Arlington County Fire Chief, Ed Plaugher recommended that the fire services be 

made part of the National Threat and Warning System. Do you believe that this 

recommendation is helpful to our Nation’s firefighters? 

Answer. Yes I do and would look forward to working with the Office of Homeland 

Security, the FEMA Office of National Preparedness and the Justice Department to 

develop just such a program. 

Question 8. In your opinion, how important is research and development to the 

role of USFA. Do you believe that USFA has adequate resources to fund research 

into new fire prevention and control technology? 

Answer. Research and development is a critical part of the USFA mission. There 

are many aspects of firefighter safety, equipment, new technology, etc. that need to 

be studied and developed. While USFA has enjoyed good support in this area for 

the past few years, we still cannot undertake all of the research that is requested 

of us. For USFA to take on additional projects, adequate staffing and funding must 

be part of the equation. 

Question 9. The recent tragedy in New York and heightened need in many jurisdictions for fire fighters to deal with bioterrorist emergencies have created greater 

demand for firefighters across the Nation. What can the USFA do to help states and 

local jurisdictions meet this demand? 

Answer. In Florida we found that almost 99 percent of the calls were from residents having concerns over receiving mail to their houses that they did not recognize. Most of this mail was bulk mail advertising that usually did not have a return 

address. Public education is the key to cut down on the shear number of calls to 

the local first responders. Public education can be handled in cooperation with the 

postal service and the Office of Homeland Security the public can be briefed on what 

specifically to look for. However, the local fire departments must have the training, 

education and tools to respond to a real threat; USFA will work to provide additional appropriate first responder information on responding to potential bioterror 

events. 

Question 10a. The USFA manages the National Fire Incident Reporting System 

to collect, analyze, and disseminate data and information on fire incidents to state 

and local jurisdictions. Do you believe that the state and local governments are adequately involved in the National Fire Incident Reporting System? 

Answer. No. While many local and state governments have been part of this process, we still do not have even 50 percent of the fire departments reporting to the 

voluntary National Fire Incident Reporting System. We are aggressively looking at 

ways to expand state and local participation through the use of technology and outreach. 

Question 10b. What role can Congress play in ensuring better state and local participation? 

Answer. It is important that we find additional methods of training and education 

of local and state officials regarding the need for cooperation. Any action Congress 

takes should consider incentives to local governments to participate but not mandating participation without providing adequate resources to assist local and state 

governments in implementing this program. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. GEORGE ALLEN TO

R. DAVID PAULISON

Question 1. One of the major obstacles to an effective response to a major national 

catastrophe is the inability of fire departments from different jurisdictions to communicate with each other. In the Washington area, the local fire, police, and EMS 

services have set up a pilot project called the Capital Wireless Integrated Network 

(CapWIN) program to resolve this issue. Do you have any thoughts on how the 

USFA can play a role in resolving these interoperability problems? 

50

Answer. Communications is a major problem for all emergency services at large 

scale incidents especially ones that involve multiple jurisdictions. At the United 

States Fire Administration (USFA) we agree that this issue needs to be addressed. 

It must start with a comprehensive study of the systems in use, the availability of 

radio ‘‘spectrum’’ for emergency services and how a national system can be developed as a ‘‘backbone’’ to support state and local efforts. Fortunately, a lot of this 

research work has begun or been completed. It is our understanding that Senator 

Jeffords has introduced legislation that would call for such studies to be undertaken 

and I look forward to working with you, the Congress and FEMA Director Allbaugh 

to assist in that effort. 

Question 2a. Another major concern expressed at our October hearing was that 

there is not one federal point of contact for fire services to communicate with in a 

national emergency. Based on your experiences during Hurricane Andrew and other 

emergencies, do you believe that this is an accurate concern? 

Answer. The federal point of contact for the fire services is and needs to be the 

United States Fire Administration and FEMA. It is important to remember that the 

flow of information and coordination must be local to state to federal. Fire and 

emergency services need to build or expand close working relationships with local 

and state emergency managers. Ultimately FEMA and USFA will work through 

that system to provide support. 

Question 2b. As head of the USFA, what will you do to resolve this concern? 

Answer. As the head of USFA I will work closely with Director Allbaugh and the 

FEMA regions to build a strong cooperative and supportive relationship between the 

fire services and the emergency management community at the state and local level. 

Fire and emergency services at the local level also need to reach out themselves to 

build or expand close working relationships with local and state emergency managers. Ultimately FEMA and USFA will work through that system to provide support. 

Question 3. You mentioned in your written statement that federal assistance 

should be supplemental and should be directed to the areas and programs in greatest need. As you are aware, the problems for communities, which house federal installations, place an extra burden on their emergency personnel. Local fire, rescue 

and police departments are the first to respond to any emergency at federal installations. Arlington County was the scene commander at the Pentagon, with significant 

support from all other area fire, police and rescue departments. These same local 

emergency response departments will again be the primary responders to any attacks at critical federal facilities, whether it is the Pentagon, or the CIA, or the National Reconnaissance Office in Fairfax, or other major federal offices throughout 

Northern Virginia. Do you feel that a region such as this demonstrates the appropriate level of need? 

Answer. Emergency services are the primary responders to emergencies of all 

kinds. Incidents on federal property bring additional burdens to those response activities. It is critical that the federal government, specifically the agencies that reside in those communities, work closely with local responders to pre-plan for those 

facilities, coordinate the response to an incident and the federal government needs 

to provide resources for that response. Several programs exist to support local response on federal property to include a reimbursement program for fire departments 

that fight fires on federally owned property. Under Presidential disaster declarations, first response organizations are also eligible to apply for direct assistance 

through the Public Assistance Program. 

Question 4. You mentioned in an article you authored on the Hurricane Andrew 

disaster ‘‘ironically, all the mutual aid we received was also the worst thing that 

happened to us. It came too fast and was not coordinated.’’ Can you elaborate on 

that point and how the Fire Administration may be able to help resolve this coordination problem in future disasters? 

Answer. Incident management must address coordination issues with the Federal 

Response Plan. Self-deployment of agencies and assets outside the plan and the Information Management System request creates difficulty in coordination and strains 

the time and attention of legitimate responders. Standardized State and regional 

mutual/automatic aid plans would be helpful. Also, attention and training must include focus on the problems with maintenance of long-term ‘‘campaign’’ emergency 

operations that will go on for extended periods of time. 

We need to address the area of scene security and safety. The World Trade Center 

terrorist attacks clearly demonstrated the need to explore a national credentialing 

system for first responders. Such a system could provide identification of the responder, the responder’s qualifications, and any operations limitations and expiration dates. State and local agencies and educationalltraining institutions should 

serve as the certifying authorities for qualifications. The certification ‘‘card’’ could 

51

1The recommendations included in this letter propose areas for clarification or administrative/

regulatory changes that could be made to improve the efficiency and effectiveness of federal 

technology transfer at NIST within the context of the Bayh-Dole Act and related legislation, as 

you requested at my confirmation hearing. They do not address other potential areas of modification, such as the recoupment of funds from companies that develop commercially successful 

products based on government-funded inventions. Such revisions would require legislative action. 2 According to the General Accounting Office (GAO): ‘‘At the time [of Bayh-Dole], fewer than 

5 percent of the 28,000 patents being held by federal agencies had been licensed, compared with 

25 percent to 30 percent of the small number of federal patents for which the government had 

allowed companies to retain title to the invention’’ (GAO/RCED–99–126). 

then serve as a passport for admission to secured work sites. This should cut down 

on the ‘‘freelancing’’ we saw on scene in New York and result in improved security. 

We need to consider additional training in vehicle/logistics/staging security, personnel security, scene security, control and accountability of teams and resources as 

well as issues of deployment, sustainability, and recall. Mutual aid units must also 

come prepared to be self contained and sustain themselves for two or 3 days without 

depending on the local department. 

Question 5. In a situation like what we experienced on September 11 evacuation 

of the city is extremely hampered by our overcrowded streets and highways and limited transit system. To what extent does this congestion cripple the ability of first 

responders and is there anything that you see the federal government or USFA can 

do to help the situation? 

Answer. It is important that local evacuation plans be developed to maximize the 

ability to get the public out of harm’s way and at the same time provide access for 

emergency services. Most communities that have hurricane or nuclear power plant 

planning efforts have already taken this issue into account. USFA will work with 

FEMA and the states to provide the lessons learned and the planning models that 

are available to those communities and states that need them. 

U.S. DEPARTMENT OF COMMERCE, 

Washington, DC., March 1, 2002. 

Hon. RON WYDEN, 

U.S. Senate, 

Washington, DC. 

DEAR SENATOR WYDEN: At my confirmation hearing, you asked that I submit a 

written response to the Committee identifying actions by the National Institute of 

Standards and Technology (NIST) and the Administration that could streamline and 

improve the processes for technology transfer in the context of the Bayh-Dole Act. 

After consulting with Under Secretary of Commerce for Technology Phillip Bond, I 

am happy to submit our joint response to you. 

This letter includes three sections: (I) brief contextual information about the 

Bayh-Dole Act, (II) description of the major roles and responsibilities of the Department of Commerce’s Technology Administration, particularly of two of its component 

bureaus: the Office of Technology Policy and NIST; and (III) actions to implement 

improved technology transfer at NIST and to identify areas for possible improvements in federal technology transfer within the current statutory framework.1

I. BACKGROUND AND EXPERIENCE WITH THE BAYH-DOLE ACT

AND RELATED LEGISLATION

The fundamental concern that drove The Patent and Trademark Act Amendments 

of 1980 (‘‘Bayh-Dole Act’’) was that federally funded innovations were not sufficiently utilized and commercialized by industry for public benefit.2 The General Accounting Office and others have attributed this lack of commercialization of federal 

research to two key factors, both of which the Bayh-Dole legislation attempted to 

address: (1) the government normally retained title to inventions made with federal 

funds, and (2) government agencies usually licensed federally funded technologies 

on a nonexclusive basis, thereby discouraging companies from making significant investments in product development. 

There has been debate about the degree to which the Bayh-Dole Act and related 

legislation and Executive Orders have affected technology transfer between federal 

laboratories, American businesses, and our nation’s research universities. However, 

to date there has been little systematic research that conclusively identifies direct 

causal relationships between legislative and policy changes, the technology transfer 

activities of the many actors involved, and other factors. What is known is that the 

annual number of patents issued to universities has increased dramatically since 

52

3The Association of University Technology Managers (AUTM) reports that fewer than 250 

U.S. patents were issucd annually to universities prior to Bayh-Dole implementation. Since 

1993, surveys conductcd by AUTM have shown an average of more than 1,600 patents annually, 

and greater than 2,000 in recent years, issued to universities. In addition, AUTM’s survey results show a 198 percent increase in new U.S. patent applications and a 133 percent increase 

in licenses for U.S. universities from 1991–1999. However, AUTM figures include funding from 

all sources to universities—not just federal funds. [See http://www.autm.net/] 

passage of Bayh-Dole,3 particularly in the life sciences, and that government laboratories developed new mechanisms to facilitate technology transfer in response to 

Bayh-Dole and other legislation. Under these authorities, federal agencies established offices to manage technology transfer activities and to monitor the protection 

and licensing of intellectual property; developed programs and procedures to license 

government-owned inventions to the private sector; entered into thousands of Cooperative Research and Development Agreements (CRADAs) and other types of technology transfer arrangements with the private sector; and now report annually to 

Congress on their technology transfer activities. By and large, the primary purpose 

of these activities is to maximize the commercialization of government-owned inventions for public benefit. 

II. TECHNOLOGY ADMINISTRATION ROLES AND RESPONSIBILITIES

The Department of Commerce’s Technology Administration has specific roles and 

responsibilities in the area of technology transfer, particularly through two of its 

component bureaus: the Office of Technology Policy and NIST. These functions are 

detailed below. 

Technology Administration, Office of Technology Policy 

The Office of Technology Policy (OTP) plays a significant role in the development, 

implementation, and analysis of technology transfer policies and practices, in close 

consultation with Congress and other agencies. As the Administration’s focal point 

for discussion of technology transfer issues, OTP also coordinates and works closely 

with the interagency Joint Working Group on Technology Transfer (JWGTT). This 

group comprises technology transfer practitioners and coordinators from all federal 

agencies with extramural research programs. With OTP leadership, the JWGTT discusses a wide range of agency activities and issues related to technology transfer, 

recommends policies and implementation strategies related to technology transfer, 

and coordinates the submission of data for congressional reports. 

OTP’s statutory responsibilities include: 

• Assisting agencies in the implementation of relevant laws, including the BayhDole Act and the Stevenson-Wydler Act; 

• Developing policies and issuing regulations governing the ownership of patents 

arising from federally funded research and the licensing of federally owned inventions (see implementing arrangements in 37 CFR Parts 401 and 404); and 

• Compiling and analyzing information and reporting on agency implementation 

of technology transfer mechanisms such CRADAs and patent licenses. 

Through FY 2000, the Office of Technology Policy was responsible for producing 

a Biennial Report to Congress on the technology transfer activities of all federal 

agencies (May 2000 report enclosed). 

Requirements in the Technology Transfer Commercialization Act of 2000 (TTCA) 

shift this reporting responsibility to an annual basis. 

Beginning in the current fiscal year and based on the TTCA, each agency with 

a federal laboratory must produce with its budget submission an annual report on 

its technology transfer activities and outcomes. In addition, the Secretary of Commerce is required to prepare a governmentwide summary report, based on agency 

submissions. The Office of Technology Policy is responsible for: (1) coordinating the 

submission of the Department of Commerce’s annual technology transfer report, and 

(2) producing the Secretary’s summary report to the President and the Congress 

each year after the President’s budget request for the next fiscal year becomes public. 

In the role of coordinator and leader of the JWGTT, OTP has crafted and obtained 

Administration support for a number of technology transfer-related provisions and 

legislation, including the recently passed Technology Transfer Commercialization 

Act of 2000. As the Administration considers ways to improve the efficiency and 

speed of technology transfer, it is important to consult the technology transfer practitioners throughout the government, as well as their counterparts in industry and 

universities. OTP’s experience and relationship with the JWGTT has been, and will 

no doubt continue to be, a strong asset in organizing such consultations, identifying 

recommendations, and prioritizing appropriate administrative or regulatory action. 

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Technology Administration, NIST 

NIST’s mission is to develop and promote measurement, standards, and technology to enhance productivity, facilitate trade, and improve the quality of life. The 

NIST laboratories develop and disseminate measurement techniques, reference 

data, test methods, standards, and other infrastructural technologies and service 

that support U.S. industry, scientific research, and the activities of many federal 

agencies. NIST works directly with industry partners (and consortia), universities, 

associations, and other government agencies, and utilizes diverse mechanisms to 

transfer the knowledge and technologies that result from its laboratory research. 

In keeping with its mission, NIST’s technology transfer activities are focused on 

pursuing the most efficient and effective path to utilization and commercialization, 

which often necessitates the broad dissemination of research results, rather than 

the creation of patents and associated licenses. NIST’s policies and mechanisms for 

technology transfer are further explained in the attachments to this letter. 

Activities carried out by NIST related to technology transfer include: 

• NIST’s Office of Technology Partnerships is the focal point of NIST’s formal 

technology transfer activities. 

• Pursuant to the Technology Transfer Commercialization Act of 2000, NIST will 

report on its technology transfer activities annually to the Technology Administration’s Office of Technology Policy. This information will be incorporated into a Department-wide report. A copy of NIST’s fiscal year 2001 submission is attached, for 

your information. 

• NIST works closely with the Office of Technology Policy on other technology 

transfer-related issues, through participation in the interagency Joint Working 

Group on Technology Transfer (JWGTT), the Federal Laboratory Consortium for 

Technology Transfer (FLC), and informal consultation. 

III. OPPORTUNITIES FOR IMPROVING FEDERAL TECHNOLOGY TRANSFER

During my first few months as Director of NIST, I have engaged members of my 

staff in discussions about technology transfer issues, and they have identified areas 

in which NIST has experienced difficulties in licensing or otherwise making available government-owned technologies, Based on these discussions and input received 

from Under Secretary Bond and others, highlighted below are several opportunities 

for streamlining or improving the processes for technology transfer at NIST. 

1. Modifications of licensing regulations, particularly with regard to definitional issues. Identified below are two examples of specific areas where additional guidance could improve the effectiveness of NIST’s technology transfer processes by clarifying ambiguities. 

• ‘‘Substantially manufactured’’ requirement. While commendable in its intent to promote domestic manufacturing, the statutory requirement that inventions 

or products made using a government-owned invention must be ‘‘manufactured substantially in the United States’’ has multiple interpretations, which can impede 

NIST’s ability to license federal technology to certain domestic and foreign entities 

for commercialization. NIST has struggled to determine what ‘‘manufactured substantially’’ means. Further, the multinational nature of many modern businesses 

makes this requirement difficult to understand and implement. 

• ‘‘Reasonable and necessary’’ requirement. When granting an exclusive or 

partially exclusive license to an applicant, an agency must find that such a grant 

is ‘‘reasonable and necessary’’ for the commercialization of the technology. Finding 

that an exclusive license is ‘‘necessary,’’ in the strictest sense of the word, for the 

commercialization of a technology can hamper NIST’s ability to expeditiously license 

a technology. The word ‘‘necessary,’’ seems to preclude NIST from granting; an exclusive license in any situation where at least one nonexclusive license application 

is received. 

In both of these cases (and likely others), additional regulatory guidance as to the 

definition of certain terms or phrases could resolve some of the confusion that NIST 

staff has encountered. 

2. Regulatory modifications of appeal rights. Appeal rights provided to parties whose license applications have been denied by a government agency can, when 

fully exercised significantly delay the granting of an exclusive or partially exclusive 

license. Current licensing regulations do not impose time limits on the appeals process, nor do they limit the number of allowable application refilings. There is a need 

to identify ways to preserve the right of appeal of an aggrieved party, while at the 

same time preserving the ability of an agency to proceed with the granting of an 

exclusive license. This could be accomplished, in part, by imposing time limits on 

appeals, refilings, and decisions. This is one issue that OTP has agreed to raise for 

discussion in the JWGTT. 

54

3. Improved reporting and analysis of technology transfer tools utilized 

by federal agencies. As mentioned above, efforts already are underway, as a result of the Technology Transfer Commercialization Act of 2000 (TTCA), to improve 

the annual reporting procedures of agencies. This new reporting framework provides 

an opportunity for agencies to identify the efficacy of their technology transfer programs, and provide information demonstrating how the technology transfer tools 

employed support to each agency’s unique mission. 

For NIST, technology transfer activities are focused on pursuing the most efficient 

and effective path to utilization and commercialization, which often necessitates the 

broad dissemination of research results, rather than the creation of patents and associated licenses. To reflect the diverse ways in which NIST transfers technology 

and knowledge to its customers, NIST’s fiscal year 2001 report provides data for Cooperative Research and Development Agreements (CRADAs), invention disclosures, 

licenses, acrd license income, but also for other important tools utilized by the laboratories, such as Standard Reference Materials available, technical publications 

produced, items calibrated, and guest researcher collaborations. Please refer also to 

the attachments. 

In a broader context, there may be other types of data that can assist NIST and 

other agencies in evaluating the success of their technology transfer programs—For 

example, GAO noted in a 1999 report that, ‘‘no data are available on the extent to 

which the government is using its royalty-free licenses to federally sponsored inventions.’’ This may be another important improvement that can be discussed with 

agencies in the JWGTT process. 

The ideas noted above describe opportunities for improvement that, if addressed, 

will improve the efficiency and effectiveness of federal technology transfer at NIST 

within the context of the Bayh-Dole Act and related legislation. Additional opportunities for the Administration to identify and prioritize governmentwide improvements in technology transfer procedures through regulation or statute will be considered by the JWGTT. Under Secretary Bond and I appreciate the opportunity to 

share these ideas with you, and we hope you find them constructive. We welcome 

further discussions with you on this important topic. 

Sincerely, 

PHILLIP J. BOND, 

Under Secretary of Commerce for Technology.

ARDEN L. BEMENT, JR., 

NIST Director.

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