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S. HRG. 111–418 

NOMINATIONS TO THE 

DEPARTMENT OF TRANSPORTATION, 

THE DEPARTMENT OF COMMERCE, AND 

THE EXECUTIVE OFFICE OF THE PRESIDENT 

HEARING 

BEFORE THE

COMMITTEE ON COMMERCE, 

SCIENCE, AND TRANSPORTATION 

UNITED STATES SENATE 

ONE HUNDRED ELEVENTH CONGRESS 

FIRST SESSION 

APRIL 21, 2009 

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

( 

(II) 

SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION 

ONE HUNDRED ELEVENTH CONGRESS 

FIRST SESSION 

JOHN D. ROCKEFELLER IV, West Virginia, Chairman 

DANIEL K. INOUYE, Hawaii 

JOHN F. KERRY, Massachusetts 

BYRON L. DORGAN, North Dakota 

BARBARA BOXER, California 

BILL NELSON, Florida 

MARIA CANTWELL, Washington 

FRANK R. LAUTENBERG, New Jersey 

MARK PRYOR, Arkansas 

CLAIRE MCCASKILL, Missouri 

AMY KLOBUCHAR, Minnesota 

TOM UDALL, New Mexico 

MARK WARNER, Virginia 

MARK BEGICH, Alaska 

KAY BAILEY HUTCHISON, Texas, Ranking 

OLYMPIA J. SNOWE, Maine 

JOHN ENSIGN, Nevada 

JIM DEMINT, South Carolina 

JOHN THUNE, South Dakota 

ROGER F. WICKER, Mississippi 

JOHNNY ISAKSON, Georgia 

DAVID VITTER, Louisiana 

SAM BROWNBACK, Kansas 

MEL MARTINEZ, Florida 

MIKE JOHANNS, Nebraska 

ELLEN L. DONESKI, Chief of Staff 

JAMES REID, Deputy Chief of Staff 

BRUCE H. ANDREWS, General Counsel 

CHRISTINE D. KURTH, Republican Staff Director and General Counsel 

PAUL NAGLE, Republican Chief Counsel 

(III) 

C O N T E N T S 

Page 

Hearing held on April 21, 2009 .............................................................................. 1 

Statement of Senator Inouye .................................................................................. 1 

Prepared statement of Hon. John D. Rockefeller IV submitted by Hon. 

Daniel K. Inouye ........................................................................................... 2 

Statement of Senator Hutchison ............................................................................ 3 

Statement of Senator Kerry .................................................................................... 5 

Statement of Senator Dorgan ................................................................................. 41 

Prepared statement of Hon. Ellen O. Tauscher, U.S. Representative from 

California, Tenth District, submitted by Hon. Byron L. Dorgan .............. 63 

Statement of Senator Warner ................................................................................. 49 

Prepared statement .......................................................................................... 49 

Statement of Senator Johanns ............................................................................... 52 

Statement of Senator Begich .................................................................................. 53 

Statement of Senator Lautenberg .......................................................................... 55 

Statement of Senator Klobuchar ............................................................................ 56 

Statement of Senator Thune ................................................................................... 58 

Statement of Senator Cantwell .............................................................................. 90 

WITNESSES

Hon. Richard Durbin, U.S. Senator from Illinois .................................................. 6 

Peter H. Appel, Administrator-Designate, Research and Innovative Technology Administration, Department of Transportation .................................... 8 

Prepared statement .......................................................................................... 10 

Biographical information ................................................................................. 10 

Hon. Joseph C. Szabo, Administrator-Designate, Federal Railroad Administration, Department of Transportation ................................................................... 17 

Prepared statement .......................................................................................... 18 

Biographical information ................................................................................. 20 

Dana G. Gresham, Assistant Secretary-Designate of Transportation for Governmental Affairs, Department of Transportation ............................................ 26 

Prepared statement .......................................................................................... 27 

Biographical information ................................................................................. 28 

Robert S. Rivkin, General Counsel-Designate, Department of Transportation .. 32 

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

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

Roy W. Kienitz, Under Secretary-Designate, Department of Transportation .... 41 

Prepared statement .......................................................................................... 42 

Biographical information ................................................................................. 43 

April Boyd, Assistant Secretary-Designate, Office of Legislative and Intergovernmental Affairs, Department of Commerce .................................................... 64 

Prepared statement .......................................................................................... 65 

Biographical information ................................................................................. 66 

Letter, dated February 20, 2009, from April S. Boyd to Barbara S. 

Fredericks, Assistant General Counsel for Administration, U.S. Department of Commerce ........................................................................................ 72 

Cameron F. Kerry, General Counsel-Designate, Department of Commerce ...... 73 

Prepared statement .......................................................................................... 75 

Biographical information ................................................................................. 76 

Sherburne B. Abbott, Associate Director-Designate of Environment, Office 

of Science and Technology Policy, Executive Office of the President .............. 90 

Prepared statement .......................................................................................... 92 

Biographical information ................................................................................. 94 

Page

IV 

APPENDIX

Response to written questions submitted to Peter H. Appel by: 

Hon. John D. Rockefeller IV ............................................................................ 109 

Hon. Mark Begich ............................................................................................. 111 

Response to written questions submitted to Joseph C. Szabo by: 

Hon. John D. Rockefeller IV ............................................................................ 111 

Hon. Byron L. Dorgan ...................................................................................... 113 

Hon. John Kerry ............................................................................................... 114 

Hon. Frank R. Lautenberg ............................................................................... 114 

Hon. Mark Begich ............................................................................................. 115 

Hon. Tom Udall ................................................................................................ 115 

Hon. Sam Brownback ....................................................................................... 116 

Response to written questions submitted by Hon. John D. Rockefeller IV 

to Dana G. Gresham ............................................................................................ 117 

Response to written questions submitted to Robert S. Rivkin by: 

Hon. John D. Rockefeller IV ............................................................................ 118 

Hon. Frank R. Lautenberg ............................................................................... 119 

Response to written questions submitted to Roy W. Kienitz by: 

Hon. John D. Rockefeller IV ............................................................................ 119 

Hon. Byron L. Dorgan ...................................................................................... 120 

Hon. Tom Udall ................................................................................................ 121 

Hon. John Thune .............................................................................................. 122 

Hon. David Vitter ............................................................................................. 123 

Response to written questions submitted by Hon. John D. Rockefeller IV 

to Cameron F. Kerry ............................................................................................ 124 

Response to written questions submitted to Sherburne B. Abbott by: 

Hon. John D. Rockefeller IV ............................................................................ 124 

Hon. Tom Udall ................................................................................................ 125 

Hon. Mark Begich ............................................................................................. 126 

Hon. John Thune .............................................................................................. 127 

(1) 

NOMINATIONS TO THE 

DEPARTMENT OF TRANSPORTATION, 

THE DEPARTMENT OF COMMERCE, AND 

THE EXECUTIVE OFFICE OF THE PRESIDENT 

TUESDAY, APRIL 21, 2009 

U.S. SENATE, 

COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION, 

Washington, DC. 

The Committee met, pursuant to notice, at 2:30 p.m., in room 

SR–253, Russell Senate Office Building, Hon. Daniel K. Inouye, 

presiding. 

OPENING STATEMENT OF HON. DANIEL K. INOUYE, 

U.S. SENATOR FROM HAWAII 

Senator INOUYE. The Committee will come to order. 

Unfortunately, Chairman Rockefeller cannot be here with us 

today. He had a very serious, painful knee injury last week, and 

he has to be hospitalized and underwent surgery. I think we all 

wish him the best for a speedy recovery. 

I hope you will forgive me for my voice. That is what happens 

to politicians who talk too much. 

[Laughter.] 

Senator INOUYE. The Committee will consider nominees for the 

United States Department of Transportation, the United States Department of Commerce, and the Office of Science and Technology 

Policy. 

If confirmed, these men and women will be charged with leading 

the Federal Government’s efforts to promote transportation mobility, advance commerce, strengthen ocean management, and improve environmental science and technology throughout the Nation 

and the world. 

Working together, we have the opportunity to creatively reform 

our entire transportation system. Mr. Robert Rivkin, Mr. Dana 

Gresham, Mr. Roy Kienitz, Mr. Joseph Szabo, and Mr. Peter Appel 

will face many important issues and challenges as we work to improve our Nation’s transportation and infrastructure in an environmentally sustainable manner. 

The two nominees for the Department of Commerce, Mr. Cameron Kerry and Ms. April Boyd, have enormous tasks ahead in support of diverse responsibilities for the Department, ranging from 

fisheries management to the census. 

I would also like to welcome Ms. Sherburne Abbott, the nominee 

for Associate Director for Environment at the Office of Science and 

2 

Technology Policy. This important position has been left vacant for 

the past 8 years, and I am pleased that this Administration has 

made filling this position a priority. Climate change is a critical 

long-term issue this country must address. Therefore, it is important that we have coordination across the many Federal agencies 

responsible for developing the solution. 

I wish to congratulate the nominees and express the Committee’s 

appreciation for their commitment to public service. 

Before I proceed any further, I have a statement for the record 

by Senator John D. Rockefeller IV, the Chairman of this Committee. Without objection, it will be made part of the record. 

[The prepared statement of Senator Rockefeller follows:] 

PREPARED STATEMENT OF HON. JOHN D. ROCKEFELLER IV, 

U.S. SENATOR FROM WEST VIRGINIA

I wish to congratulate all of you on your nomination for positions in the United 

States Department of Transportation (DOT), the United States Department of Commerce, and the Office of Science and Technology Policy. It is a true honor to be selected by President Obama to serve in these important positions, and, if confirmed, 

you will be emboldened with leading the Federal Government’s efforts to promote 

transportation mobility, advance commerce, strengthen ocean management, and improve environmental science and technology throughout the Nation and the world. 

Mr. Appel, Mr. Gresham, Mr. Kienitz, Mr. Rivkin, and Mr. Szabo—the timely and 

efficient movement of people and goods is an integral component of our daily lives. 

Given the current economic climate, considerable energy and resources must be devoted to make sure the severe challenges our transportation system faces do not inhibit the flow of national and global commerce. Carbon emissions—both from the 

transportation choices we make and the growing congestion across the system—contribute significantly to climate change. Increased freight and passenger demand has 

begun to overwhelm our entire transportation network, creating congestion and bottlenecks at our ports, in our skies, and on our roads and rails. Safety continues to 

plague our roadways—in 2007 alone, over 41,000 people were killed in highway accidents, with more than 2,400,000 injured. Out of this total, nearly 5,000 people were 

killed in large truck crashes alone and over 10,000 people were killed in vehicle rollover accidents. 

Together with the Congress, President Obama, and Secretary LaHood, we have 

the opportunity to creatively reform our entire transportation system and address 

the many challenges it faces. We must rethink the way that the transportation network operates, the way projects and programs are funded, what technologies must 

be incorporated into the system, and the proper role for Federal involvement in developing and managing the system. Mr. Rivkin, the upcoming reauthorization of our 

surface transportation policies and programs is an opportunity to prepare our infrastructure for 21st century demands and reprioritize our travel methods in a more 

environmentally sustainable way. Similarly, I hope to continue modernizing our 

aviation system with the reauthorization of the Federal Aviation Administration 

(FAA). In both these situations, and others facing the DOT, Mr. Appel, we will have 

to rely on trustworthy research and data in order to accurately incorporate technological solutions into our expanding transportation system. 

As the Committee responsible for establishing the Nation’s policies and goals for 

all modes of transportation, I plan for this Committee to be very active in setting 

clear objectives for our Federal surface, aviation, and maritime transportation programs, Mr. Gresham, and hope that we can build the strong partnership needed to 

accomplish the type of change that President Obama and Vice President Biden have 

discussed and that we all agree must occur. 

The attention this Administration is devoting to passenger rail is unprecedented. 

Mr. Szabo, I applaud the Department’s high-speed rail strategic plan released last 

week for implementing the $8 billion investment included in the American Recovery 

and Reinvestment Act. We will be closely monitoring the implementation of this 

plan to make sure it achieves the goals set forth in the Passenger Rail Investment 

and Improvement Act passed last fall, including furthering the development of a national rail system. We will also work with the Federal Railroad Administration to 

make sure that the aggressive goals in the Rail Safety Improvement Act for the establishment of positive train control systems and the improvement to rail workers 

hours of service are successfully implemented. 

3 

Finally, I am concerned about the strength of our maritime and freight systems. 

In this increasingly competitive global economy, America must maintain efficient access to the world’s markets. Far too many of our ports and trade corridors are mired 

by inadequate infrastructure and limited capacity. We need to develop a strong 

multimodal program that will provide investments in essential port and freight infrastructure projects that have national significance and will be looking to you, Mr. 

Kienitz, and your Policy office, to work with us to move this critical issue forward. 

For our two distinguished nominees for the Department of Commerce, Mr. Kerry 

and Ms. Boyd, I would again like to congratulate you on your appointments and also 

remind you of the enormous tasks which you are nominated to oversee. The mission 

of the Department of Commerce is wide-ranging. It affects almost all sectors of our 

Nation’s economy, from international trade to local economic development. The Department’s programs literally touch each of our lives, whether providing daily 

weather forecasts, aiding communities with economic development, or conducting 

the decennial Census. The Department of Commerce is preparing to undertake a 

massive and critically important 2010 U.S. Census. It goes without saying that a 

tremendous amount of pressure and many eyes will be on this Department and its 

leaders until its successful completion. This is only one important area that you 

both will be vested in overseeing. 

In these difficult economic times, I hope you use your talents to promote U.S. exports, our country’s unbeatable travel and tourism industry, and stand up for U.S. 

manufacturers by vigorously enforcing our international trade laws. For too long, we 

have seen a slow weakening of these laws and in some instances have seen the 

World Trade Organization overstepping its jurisdiction through its misinterpretation 

of the Antidumping laws. Though we cannot deny our interdependence on foreign 

countries for trade—in fact I heartily welcome trade with our foreign friends—we 

cannot do so at the expense of running roughshod over our own laws and putting 

U.S. companies at a comparative disadvantage. This includes addressing countries 

that have instituted retaliatory tactics on certain goods and services. I hope you can 

tell us today that you plan on remaining vigilant in these areas. 

Our oceans and climate are significant economic drivers for our economy. The National Oceanic and Atmospheric Administration’s (NOAA) programs and services affect more than one-third of the Nation’s gross domestic product, including supporting our fisheries, farmers, and maritime industry. NOAA makes up the largest 

part of the Department of Commerce’s resources, accounting for more than fifty percent of the Department’s overall budget. The economic health of our Nation depends 

on our coastal economies, which generate one-half of our Nation’s Gross Domestic 

Product and are home to more than 50 percent of the Nation’s population. Our Nation’s fisheries generate $111 billion for state economies, yet the United States currently has an $8 billion seafood trade deficit. There is great untapped wealth in our 

oceans. Maintaining the economic and ecological viability of our coastal communities 

and oceans, rebuilding our wild fisheries, promoting sustainable aquaculture, and 

monitoring our Nation’s weather and climate are vital to building our Nation’s economic and environmental wealth. Unfortunately, NOAA’s value to our communities 

often goes unrecognized. I hope that you will make it a priority to work with Congress to strengthen NOAA’s critical programs and services and its role within the 

Department of Commerce. 

I look forward to your quick confirmation and excellent work at the Department 

of Commerce. 

I would like also like to welcome Ms. Shereburne Abbott, nominee for Associate 

Director for Environment at the Office of Science and Technology Policy. This important position has been left vacant for the past 8 years, and so I am pleased to see 

it finally filled. Since climate change will be a critical long issue this country will 

be addressing, it is important that we have coordination across the many Federal 

agencies responsible for developing the solution. 

I look forward to hearing your testimony and will do my best to facilitate a quick 

confirmation process so that we can get started with the work ahead of us. 

Senator INOUYE. And now may I call on our Ranking Member, 

Senator Hutchison. 

STATEMENT OF HON. KAY BAILEY HUTCHISON, 

U.S. SENATOR FROM TEXAS 

Senator HUTCHISON. Well, thank you very much, Mr. Chairman. 

I really appreciate, as I know all of us do, that you are presiding 

4 

over this hearing in Senator Rockefeller’s absence, and we all wish 

him well with his recovery. 

I want to thank all of you for coming. I am so pleased that we 

are having a hearing and putting these nominees forward because 

we know that the agencies need all of you to start taking some of 

the load off the beleaguered Secretaries. 

Let me say I also want to introduce my Texas constituent before 

us today, Shere Abbott, who you mentioned earlier is the nominee 

for Associate Director of Environment for the Office of Science and 

Technology Policy. She has had 25 years of human development 

and environmental research education and policy experience and 

has been an active faculty member of the University of Texas at 

Austin for 3 years where she has served as Director of the Center 

for Science and Practice of Sustainability in the Office of the Executive Vice President and Provost. 

She has also worked as a consultant before that, advising the 

World Bank, private foundations, and nongovernmental foundations. She was Chief International Officer for the American Association for the Advancement of Science from 2003 through 2005 

and has vast experience in this field. 

She graduated from Goucher College and earned her Masters of 

Forest Science from Yale University where she was a Dodge Fellow 

in human animal ecology. 

In 2000, she was appointed Senior Research Fellow at Harvard’s 

Kennedy School of Government. 

I am very pleased that she is a nominee to be a part of this Administration. 

I just want to make a general statement that the Committee cannot do the work that we are expected to do without the cooperation 

and help from the legal and governmental affairs officers at all of 

our agencies and our cabinet offices. These offices are charged with 

the task of keeping us aware of activities and undertakings at the 

agencies and responding to our information requests, often within 

a very short timeframe. This Committee has successfully maintained a productive and bipartisan working relationship with the 

agencies within our jurisdiction, and I look forward to continuing 

that bipartisan cooperation during this Administration. 

I also note that we have a number of important positions at the 

Department of Transportation that we will consider today. It is 

very important that we have a lot of input from the nominees here 

because we have both the FAA reauthorization and the highway reauthorization bills, both very important for our transportation infrastructure. I hope very much that we will be able to work 

through getting the NextGen air traffic control system at the Department of Transportation enacted. We also hope to be able to 

move on the highway reauthorization legislation, which is so important to so many States. 

So I appreciate all of you for being here and thank you, Mr. 

Chairman, for subbing for our Chairman. 

Senator INOUYE. Thank you very much. 

I am pleased to call upon Senator Kerry. He has a statement and 

introductions. 

5 

STATEMENT OF HON. JOHN F. KERRY, 

U.S. SENATOR FROM MASSACHUSETTS 

Senator KERRY. Thank you, Mr. Chairman. 

Obviously, we wish Senator Rockefeller were here, but we are 

also pleased to see you back in the chair, though temporarily. 

Mr. Chairman, this is a great pleasure for me and, obviously, a 

special privilege. I am going to recuse myself from the vote because 

I think that is the appropriate thing to do, but I am not going to 

recuse myself from the introduction to the Committee of my brother. 

And we are in that rare situation where an introducer gets to actually say, ‘‘I have known somebody all my life.’’ 

[Laughter.] 

Senator KERRY. Here, there is not much question about that. I 

think he was the first person I ever babysat for and some might 

allege that I am here doing that again, but I do not think so. 

He is accompanied by his wife who is an attorney in her own 

right and, in fact, President of the Boston Bar Association, Kathy 

Weinman. They are joined by my niece, his daughter, Jessica, who 

is a recent graduate of Brown and has been deeply involved in 

guess what—politics—for the last year or so and more. 

But, Mr. Chairman, what is important here is whether or not 

Cameron Kerry is qualified for this job, and I believe, through all 

my years of service on this Committee and knowing what the job 

is about, that he is highly qualified. He is a thoroughly public service-minded person. He is a gifted and capable lawyer who will 

make a terrific legal counsel for the Department of Commerce. He 

has spent all his life in the private sector as a lawyer, navigating 

very complicated legal issues ranging from environmental law to 

toxic torts, privacy, insurance regulation. 

As we know, the Department of Commerce has a very broad, diverse portfolio. It calls for a general counsel who is able to bring 

public judgment tested in public policy. In fact, Cameron has all 

his life been involved in supporting other people, myself included, 

who have run for office and is very, very knowledgeable about 

those issues. I think he brings a judgment and a facility with a 

range of issues, and that has been the nature of his career as a litigator, as a regulatory lawyer at leading law firms in both Boston 

and Washington, D.C. and also as a teacher of communications 

law. 

I think he has a special appreciation of the needs and interests 

of the Department’s business stakeholders. He has represented the 

private sector. He has been on the front lines of seeing the kinds 

of conflicts and tensions and needs that businesses have, and he 

has a deep understanding of the economic crisis that our country 

and our people are facing today. 

He also, I might add, has a very strong sense of the Internet and 

technology because we come from Massachusetts where we are 

privileged to have an extraordinary network of colleges and universities and research laboratories and people who are on the front 

lines of much of the business that comes before this committee. 

So I know that he believes deeply in President Obama’s agenda, 

and he will roll up his sleeves and put everything he has into serving the Administration and our country. He will uphold the best 

6 

standards of legal judgment and of the Constitution of the country. 

I think he will put country ahead of politics, which is an important 

ingredient in all of this. 

Senator INOUYE. Will you yield at this point? 

Senator KERRY. Yes, sir. 

Senator INOUYE. Since I will not be here to hear Mr. Kerry 

speak, may I ask that Mr. and Mrs. Kerry stand to be recognized? 

Senator KERRY. Thank you, sir. 

Senator INOUYE. Welcome. Congratulations. 

Senator KERRY. Thank you, Mr. Chairman. 

Senator INOUYE. He is a good-looking fellow. 

[Laughter.] 

Senator KERRY. We have argued about that for 57 years. 

[Laughter.] 

Senator KERRY. Mr. Chairman, can I also say I am also very 

proud of another nominee before the Committee today, April Boyd, 

who has been nominated, as we know, to head up the legislative 

and intergovernmental affairs at Commerce. I have not known 

April her whole life, but I have known her long enough to share 

the President’s confidence in her skills that she brings to this job. 

She served as my national press secretary between 2004 and 

2006, and before that, she was Chief of Staff to Representative 

Ellen Tauscher of California, and before that, a Special Assistant 

in the Department of Energy and a Media Liaison at GSA. I think 

the President in nominating her has found someone who will work 

with us on the Hill with knowledge of the Hill, of our lives and of 

the intersection of the requirements of the Department of Commerce. 

So I am really pleased to be able to commend both nominees, 

maybe one slightly more than the other, but both nominees. And 

I thank you, Mr. Chairman, for the courtesy. Thank you. 

Senator INOUYE. I thank you very much. 

Senator KERRY. I have another meeting going on right now, so 

I need to excuse myself. I apologize. 

Senator INOUYE. It is my great pleasure to call upon Senator 

Durbin. He has introductions to make. 

STATEMENT OF HON. RICHARD DURBIN, 

U.S. SENATOR FROM ILLINOIS 

Senator DURBIN. Chairman Inouye, Ranking Member Hutchison, 

Members of the Committee, thank you for the opportunity to introduce two Illinoisans, Robert Rivkin and Joe Szabo for their nominations to the Department of Transportation. Both men have made 

significant contributions to the State of Illinois, and I believe they 

will make a significant contribution to our Nation at the federal 

Department of Transportation. 

First, a few words about Bob Rivkin. He has a long, successful 

legal career, and his experience will serve him well. He recently 

served as Vice President and Deputy General Counsel of Aon Corporation, a Chicago-based management and financial services firm. 

In this capacity, he has been responsible for all litigation, employment law, and regulatory and government affairs for Aon’s businesses in North and South America. 

7 

In addition to his work at Aon, Bob Rivkin has developed a long 

resume working on transportation issues. From 2001 to 2004, Bob 

was General Counsel to the Chicago Transit Authority, the second 

largest public transportation system in America. There, Bob was 

instrumental in negotiating a $530 million full-funding agreement 

between the Federal Transit Administration and the CTA for the 

massive overhaul of the Brown Line. Today, that project enables 

thousands of commuters to have quality access to public transportation. Because of Bob’s work early in the process, the project has 

been on budget and on schedule. 

I would like to mention one more thing about Bob. It is something that he is going to bring to this position of General Counsel 

at DOT. That is his family’s dedication to public service. Bob’s father, William R. Rivkin, served this country honorably, as the 

Chairman did, as a Lieutenant Colonel in the U.S. Army during 

World War II, where he earned the Bronze Star. Following his 

decorated service in the military, President Kennedy appointed 

William Rivkin Ambassador to Luxembourg where he served from 

1962 to 1965. President Johnson then appointed William Rivkin 

Ambassador to Senegal and Gambia where he served until 1967. 

Bob begins the process of Senate confirmation today with this 

hearing, a process his father underwent more than 40 years ago. 

I am sure this Committee will learn today that Bob Rivkin is ready 

to serve this country and continue his family’s legacy of distinguished public service. 

Mr. Chairman and Members of the Committee, I am also pleased 

to introduce Joe Szabo of Chicago, Illinois, the nominee for the Administrator of the Federal Railroad Administration. Joe is here 

today with his father, Joseph F. Szabo, and three sisters, Jo Clark, 

Susan Stables, and Peggy Szabo. 

The FBI investigation found only one major flaw when it came 

to Joe Szabo, and I think we should put that on the record early 

in the hearing. And that flaw is that Joe Szabo is a die-hard Cubs 

fan. 

[Laughter.] 

Senator DURBIN. Luckily for all of us, the Cubs are playing a 

night game so they will not miss any of the action at Wrigley Field 

to come here to Washington. 

Seriously, I am pleased they could join us today for this important and proud moment for Joe and his family. 

Joe Szabo understands better than most the long days, unpredictable schedules, and sometimes hazardous working conditions 

that come with the railroad industry. He has worked for the railroad, both the Illinois Central and METRA, since he was 18 years 

old, including stints as yard switchman, road trainman, and commuter passenger conductor. Five generations of his family have 

worked in the railroad. Joe learned firsthand about the railroad 

from his dad. His father instilled in him a passion for rail work 

that has helped Joe become a trusted and respected voice in rail 

labor and in the industry. Joseph F. Szabo, a 40-year switchman 

for the Illinois Central Railroad, today is watching from the front 

row as his son, Joe Szabo, goes through this confirmation hearing 

to be the chief railroad official in the Obama Administration, a job 

he is uniquely qualified to hold. 

8 

Joe has a distinguished career in public service and many accomplishments. As an elected mayor of Riverdale, Illinois and State 

Legislative Director for the United Transportation Union, UTU, 

Joe has developed a reputation as a passionate advocate of freight 

and passenger rail and its workers. During his tenure as UTU’s 

State Director, Joe’s work was integral to the State of Illinois doubling its investment in passenger rail. This additional State investment allowed Illinois to double the frequency of Amtrak trains 

leaving Chicago for Quincy, Carbondale, and St. Louis and lay the 

groundwork for expanding Amtrak service. His advocacy helped Illinois passenger rail achieve the fastest growth in ridership and 

revenue in the entire Amtrak system. 

Joe now brings his passion for the railroad industry and his experience with rail labor to a national stage. As all of us know, 

President Obama, Vice President Biden, and this Congress have 

made the single largest investment in passenger rail in our country’s history. The $8 billion we included in the stimulus for highspeed rail and outlined by the President last week represents a 

commitment to taking the next step in the next generation of intercity passenger rail. Implementing this vision will not be easy. It 

will be monumental. It will take a good faith working relationship 

between Congress, the Administration, the railroads, State and 

local government. 

Joe has earned the confidence and full support of President 

Obama. They worked closely together when the President served as 

State Senator in Springfield. And I am here to tell you what President Obama and I already know. When it comes to making highspeed rail a reality and ensuring that millions of Americans have 

access to safe, reliable passenger and freight rail, there is no one 

better for the job than Joe Szabo. 

Chairman Inouye and Members of the Committee, I want to 

thank you for the opportunity to introduce my good friend and 

neighbor and fellow Illinoisans, Joe Szabo and Bob Rivkin. As you 

conduct this hearing and the strong oversight that is to follow, I 

can assure you that you will find that both of them understand 

their unique responsibilities at the Federal level and look forward 

anxiously to serving our Nation in this new capacity. I thank you 

very much for giving me this opportunity. 

Senator INOUYE. I thank you very much, sir. Will Mr. Rivkin rise 

so that we may recognize him and your family? 

And Mr. Szabo and your family? 

Mr. SZABO. My father, Joseph Szabo. 

Senator INOUYE. Congratulations. Thank you very much. 

And now may we have the panel? I would like to call upon our 

first nominee, Peter Appel. 

STATEMENT OF PETER H. APPEL, ADMINISTRATORDESIGNATE, RESEARCH AND INNOVATIVE TECHNOLOGY 

ADMINISTRATION, DEPARTMENT OF TRANSPORTATION 

Mr. APPEL. Thank you. Mr. Chairman and Ranking Member 

Hutchison, distinguished Members of the Committee, it is a privilege to appear before you today. Thank you very much for your 

time and your consideration. 

9 

I would also like to wish Chairman Rockefeller a very speedy recovery. 

I want to express my appreciation to President Obama for nominating me and to Secretary Ray LaHood for his confidence in me. 

And I would like to thank my wife Barbara who has provided 

tremendous support as I pursue further public service. Barbara is 

sitting right here behind me. 

The U.S. Department of Transportation today faces challenges 

and opportunities unlike any it has seen in its 42-year history. 

Never before has the DOT had a better opportunity to leverage the 

talents of its people and the commitment of Congress and the Administration to improve the lives of the American people. We see 

frequent reminders of the need to continually improve safety, the 

pressing need to achieve economic recovery, the critical need to rebuild our infrastructure and to improve mobility, and the imperative of sustainability. The Department is well positioned to simultaneously advance the goals of safety, mobility, livability, sustainability, and economic growth through well-thought-out policies and 

investments in transportation systems and infrastructure. 

DOT’s Research and Innovative Technology Administration, 

known as RITA, is in an ideal position to help ensure that our investments make the best use of our taxpayers’ dollars. RITA sets 

out to bring together first-rate transportation research and training, thorough data and analysis, and an innovative spirit to ensure 

the safest, most efficient, most sustainable, and robust transportation network across every mode of transportation. 

My background in transportation research and analysis and Federal transportation policy, management consulting to large and 

complex organizations, and innovative problem-solving across every 

mode of transportation, positions me well to lead this agency at 

this critical time. 

One of RITA’s mandates is to foster top-notch transportation 

education through its University Transportation Centers, and another is to bring together some of the country’s best engineers and 

scientists to do multimodal research at the Volpe National Transportation Systems Center. I am a product of one of those University Transportation Centers, the MIT transportation program, and 

my studies there 22 years ago, just a few hundred yards from what 

is now called the Volpe Center, allowed me to see firsthand the 

kind of advanced thinking that this Department produces. In these 

challenging times for our Nation, we must ensure that all this 

great thinking is brought to bear in tackling the complex issues 

that we do face. 

I very much look forward to the opportunity to work with this 

Committee and the Secretary to advance our Nation’s transportation interests. Thank you very much for the opportunity to appear before you, and I welcome any questions the Committee may 

have. 

[The prepared statement and biographical information of Mr. 

Appel follows:] 

10 

PREPARED STATEMENT OF PETER H. APPEL, ADMINISTRATOR-DESIGNATE, RESEARCH

AND INNOVATIVE TECHNOLOGY ADMINISTRATION, DEPARTMENT OF TRANSPORTATION

Chairman Rockefeller, Ranking Member Hutchison, Distinguished Members of the 

Committee, it is a privilege to appear before you today. Thank you very much for 

your time and consideration. 

I want express my appreciation to President Obama for nominating me and to 

Secretary LaHood for the confidence he has placed in me. I would also like to thank 

my wife Barbara, who has provided tremendous support as I pursue further public 

service. 

The U.S. Department of Transportation faces challenges and opportunities unlike 

any it has seen in its 42-year history. Never before has DOT had a better opportunity to leverage the talents of its people and the commitment of Congress and the 

Administration to improve the lives of the American people. We see frequent reminders of the need to continually improve safety, the pressing need to achieve economic recovery, the critical need to rebuild our infrastructure and to improve mobility, and the imperative of sustainability. The Department is well positioned to simultaneously advance the goals of safety, mobility, livability, sustainability, and 

economic growth through well thought-out policies and investments in transportation and infrastructure. 

DOT’s Research and Innovative Technology Administration (RITA), is in an ideal 

position to help ensure that our investments make the best use of the taxpayers’ 

dollars. RITA sets out to bring together first-rate transportation research and training, thorough data and analysis, and an innovative spirit to ensure the safest, most 

efficient, most sustainable, and most robust transportation network across every 

mode. My background—in transportation research and analysis, Federal transportation policy, management consulting to large and complex organizations, and innovative problem-solving across every mode of transportation—positions me well to 

lead this agency at this critical time. 

One of RITA’s mandates is to foster top-notch transportation education through 

its University Transportation Centers, and another is to bring together some of the 

country’s best engineers and scientists to do multi-modal research at the Volpe National Transportation Systems Center. I am a product of one of those University 

Transportation Centers—the MIT transportation program. My studies there 22 

years ago, just a few hundred yards from what is now called the Volpe Center, allowed me to see firsthand the kind of advanced thinking that this department produces. In these challenging times for our nation, we must ensure that all this great 

thinking is brought to bear in tackling the issues we face. 

I very much look forward to the opportunity to work with this Committee and the 

Secretary to advance our Nation’s transportation interests. Thank you for the opportunity to appear before you. I welcome any questions that the Committee may have. 

A. BIOGRAPHICAL INFORMATION

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

2. Position to which nominated: Administrator, Research and Innovative Technology Administration, U.S. Department of Transportation. 

3. Date of Nomination: 4/20/09. 

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

Residence: Information not released to the public. 

Office: A.T. Kearney, Inc., 8100 Boone Blvd. Suite #400, Vienna, VA 22182. 

5. Date and Place of Birth: 08/20/64; Princeton, NJ. 

6. Provide the name, position, and place of employment for your spouse (if married) and the names and ages of your children (including stepchildren and children 

by a previous marriage). 

Barbara Zamora-Appel (spouse, not employed); I have no children. 

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

Master of Science, Transportation, Massachusetts Institute of Technology, 1987. 

Bachelor of Arts, Economics and Computer Science, Brandeis University, 1985. 

General Course Certificate, London School of Economics and Political Science, 

1984. 

8. List all post-undergraduate employment, and highlight all management- level 

jobs held and any non-managerial jobs that relate to the position for which you are 

nominated. 

11 

1997–Present, A.T. Kearney, Inc. (Management Consulting); Principal, Manager, Associate. 

Relevance to RITA Position: Consultant to senior executives at large corporations and public sector agencies, on strategy, operations improvement, 

and other management initiatives, with particular focus on transportation 

and infrastructure. Managed teams of consultants and joint consultant/client project teams. Significant focus on transportation, technology, and infrastructure. 

1993–1997, U.S. Dept. of Transportation, Federal Aviation Administration; Special Assistant to the Administrator. 

Relevance to RITA Position: Advised and assisted the FAA Administrator 

on a range of management and strategic planning activities associated with 

overseeing 47,000 person DOT modal administration. Coordinated outreach 

and intra-governmental initiatives between the FAA, the office of the Secretary of Transportation, and other agencies. 

1989–1993, Amtrak; Assistant Director, Pricing and Yield Management; Manager, Pricing Policy and Analysis; Associate Economist. 

Relevance to RITA Position: Managed staff and a range of analytical activities to increase revenue to the railroad, leveraging complex computer models and extensive transportation data. 

1987–1989, Dukakis for President Campaign and Dukakis/Bentsen Committee 

Inc., Director of Information Systems. 

Relevance to RITA Position: Managed information technology acquisition, 

contracts, and staff. 

1985–1987, Massachusetts Institute of Technology, Flight Transportation Laboratory; Research Assistant. 

Relevance to RITA Position: Conducted research to improve asset utilization 

in transportation operations using information systems technology. This 

and other research done at MIT’s Flight Transportation Laboratory relates 

to the kind of research coordinated by RITA. 

9. Attach a copy of your resume. A copy is attached. 

10. List any advisory, consultative, honorary, or other part-time service or positions with Federal, State, or local governments, other than those listed above, within the last 5 years. 

As a management consultant with A.T. Kearney, Inc., provided consulting services 

to U.S. Department of the Navy, Naval Sea Systems Command, in 2005–2007. 

11. List all positions held as an officer, director, trustee, partner, proprietor, 

agent, representative, or consultant of any corporation, company, firm, partnership, 

or other business, enterprise, educational, or other institution within the last 5 

years. 

Principal, A.T. Kearney, Inc. (Management Consulting), 1997–Present. 

As an employee of A.T. Kearney, provided management consulting services 

to the following clients in the last 5 years: 

CenterPoint Properties (2008). 

Eclipse Aviation (2008). 

Brookfield Asset Management (2008). 

Goldman Sachs (2008). 

Morgan Stanley (2008). 

Landrum and Brown (2008). 

Credit Suisse (2006–2007, 2008). 

Dubai Aerospace Enterprise (2006). 

CSC, in conjunction with work for the U.S. Department of the Navy (2005– 

2007). 

A.T. Kearney, Inc. (2004). 

12. Please list each membership you have had during the past 10 years or currently hold with any civic, social, charitable, educational, political, professional, fraternal, benevolent or religious organization, private club, or other membership organization. Include dates of membership and any positions you have held with any orVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00015 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
12 

ganization. Please note whether any such club or organization restricts membership 

on the basis of sex, race, color, religion, national origin, age, or handicap. 

Member, Aero Club of Washington (1998–2009). 

Member, National Aeronautical Association (1998–2009). 

Member, Intermodal Association of North America (2008–2009). 

Member, Belle Haven Citizens Association (1998–2009). 

None of these organizations restricts membership on the basis of sex, race, color, 

religion, national origin, age, or handicap. 

13. Have you ever been a candidate for and/or held a public office (elected, nonelected, or appointed)? If so, indicate whether any campaign has any outstanding 

debt, the amount, and whether you are personally liable for that debt. 

I have been appointed to one public office, as a Schedule C appointee of the U.S. 

Department of Transportation, in the position of Special Assistant to the Administrator, FAA, 1993–1997. 

I have never been a candidate for elected public office. 

14. Itemize all political contributions to any individual, campaign organization, 

political party, political action committee, or similar entity of $500 or more for the 

past 10 years. Also list all offices you have held with, and services rendered to, a 

state or national political party or election committee during the same period. 

Obama Victory Fund, $496, 10/26/2008. 

Obama Victory Fund, $500, 10/23/2008. 

Obama Victory Fund, $1,000, 7/31/2008. 

Obama for America, Primary Fund, $1,000, 3/31/2007. 

Obama for America, Primary Fund, $1,300, 10/12/2007. 

James Webb for U.S. Senate, $350, 11/01/06. 

James Webb for U.S. Senate, $250, 8/28/06. 

Kaine for Governor, $500, 9/15/05. 

A Lot Of People Supporting Tom Daschle/New Leadership for America PAC, 

$1,000, 9/10/2004. 

John Kerry for President, $1,000, 7/14/04. 

John Kerry for President, $325, 7/7/2004. 

John Kerry for President, $500, 1/14/04. 

DNC Services Corporation, Democratic National Committee, 10/26/2000, $1,000. 

In addition, in the last 10 years I have performed volunteer work for political 

campaigns as follows: 

Volunteer Roles on Political Campaigns 

Political Campaign Organization Year Key Roles 

Obama for America 2007– 

2008 

Delegate Analysis and Strategy Development 

Voter Targeting Analysis 

Boiler Room Operations 

Fundraiser Host Committee Chair 

Fenty for Mayor (DC) 2006 Fundraiser Host Committee Member 

John Kerry for President 2004 Voter Targeting Analysis 

Delegate Analysis and Strategy Development 

Get-Out-The-Vote Planning and Boiler Room Operations, Florida 

Booker for Mayor (NJ) 2002 Get-Out-The-Vote/Field Operations 

Gore for President 2000 Delegate Analysis and Strategy Development 

Get-Out-The-Vote Planning and Boiler Room Operations, Missouri 

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

achievements. 

Sigma Gamma Tau, Aerospace Honor Society, 1987. 

Sigma Xi, Scientific Research Honor Society, 1987. 

Magna Cum Laude, Brandeis University, 1985. 

13 

Highest Honors in Computer Science, Brandeis University, 1985. 

Michtom Prize for Outstanding Honors Work in Computer Science, 1985. 

16. Please list each book, article, column, or publication you have authored, individually or with others. Also list any speeches that you have given on topics relevant to the position for which you have been nominated. Do not attach copies of 

these publications unless otherwise instructed. 

Made presentation on ‘‘Transportation in the New Economy’’ to a conference of 

the Association of Railway Communicators, 2000. 

Published article ‘‘Facilitating International Air Freight Hubs’’ in Transportation & Distribution, August, 1997. 

Made presentation on ‘‘Yield Management in the Railroad Industry’’ at conference of the Transportation Research Forum, October 1992. 

Made presentation on ‘‘Amtrak at 20’’ Transportation Research Board, 1991. 

Authored MIT Report ‘‘A Flexible Scheduling Environment using Dynamic Exception Handling’’, MIT Flight Transportation Laboratory, 1987. 

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

before Congress in a governmental or non-governmental capacity and specify the 

date and subject matter of each testimony. 

I have not testified orally or in writing before Congress. 

18. Given the current mission, major programs, and major operational objectives 

of the department/agency to which you have been nominated, what in your background or employment experience do you believe affirmatively qualifies you for appointment to the position for which you have been nominated, and why do you wish 

to serve in that position? 

The Research and Innovative Technology Administration sets out to bring together first-rate transportation research, the most thorough and relevant data, and 

an entrepreneurial and innovative spirit to ensure the safest, most efficient, and 

most robust possible transportation network across every mode. My background— 

in transportation research and analysis, Federal transportation policy, management 

consulting to large and complex private and public sector organizations, and innovative problem solving across every mode of transportation—positions me well to lead 

this agency in a time when its mission is more critical than ever. 

Throughout my career, I have worked extensively with transportation research 

and statistics. In my graduate work at MIT in the Flight Transportation Laboratory, 

I developed computer models to improve air carrier scheduling efficiency. At Amtrak, I built analytical models using railroad operational data and passenger demand data to develop effective rail product offerings such as for the Northeast Corridor. At the FAA, I got to know firsthand the implications of how new technology— 

and the frequent issues associated with its implementation—can have a profound 

impact on the transportation system and the commerce that relies on it. In my work 

for many management consulting clients across rail, air, highway, and ocean transportation, I have incorporated a thorough understanding of available technology and 

robust data to help clients make sound business decisions affecting billions of dollars of investments. 

My background in Federal transportation policy as Special Assistant to the FAA 

Administrator positions me well to address the sensitive inter-agency issues that 

RITA faces. During 4 years at FAA—in which I worked to coordinate policy development on behalf of the Administrator across divisions within the FAA, and between 

the FAA and the rest of the DOT—I gained experience in managing policy initiatives that must reflect the views of a range of stakeholders. RITA can only be effective if it works well across each modal administration and the rest or DOT—and 

my experience with and understanding of the priorities and unique issues of each 

part of DOT will help me achieve its potential. 

For the last twelve years, I have been a management consultant at the global 

management consulting firm of A.T. Kearney, Inc. A.T. Kearney, which works globally across every industry, has worked in transportation since its founding in 1926. 

My clients conic to our firm both to solve operational issues and to develop strategies to grow in the marketplace. I have worked with the private and public sectors 

to significantly improve operational efficiency and to identify the best ways to grow. 

RITA is a large organization that needs to maximize its efficiency and identify how 

to bring the most value to its customers, and I want to bring my management experience to bear in achieving this goal. 

19. What do you believe are your responsibilities, if confirmed, to ensure that the 

department/agency has proper management and accounting controls, and what experience do you have in managing a large organization? 

14 

If confirmed at the Administrator, I will be fully responsible—to the Secretary and 

the President—to ensure that RITA makes the most effective use of taxpayer dollars, both those directly budgeted to it and those for which it plays a coordinating 

role. I believe strongly in ensuring strong management reporting capabilities, clear 

metrics to show success or failure in achieving goals, and full accountability in each 

unit within an organization. I have served as a management consultant helping 

leaders of large organizations drive toward major efficiency improvements, have led 

teams to achieve aggressive goals, and have worked closely with the FAA Administrator to build organizational and management models to ensure executive accountability across a 47,000 person agency. 

20. What do you believe to be the top three challenges facing the department/ 

agency and why? 

1. RITA must identify ways that it can accelerate and amplify the economic impact of the 2009 stimulus package and other transportation investment. By 

bringing to hear technologies—such as Intelligent Transportation Systems—for 

which it has been leading ongoing research and deployment, RITA can help ensure that when the Administration invests in infrastructure such as roads and 

transit, that investment will have the maximum impact on mobility, resulting 

economic activity, and ultimate job creation in our communities. 

2. RITA must establish and articulate a clear value proposition to the rest of 

DOT and the Federal Government to show how it can ensure that RD&T programs across DOT are aligned to achieve the goals of the department—including safety, mobility, and sustainability. 

3. RITA must fully identify the needs of its customers—such as the users of the 

data and analysis produced by the Bureau of Transportation Statistics, its 

transportation safety training programs, and research across every mode—and 

ensure that the government’s investment in these products are effectively 

aligned with those customer needs. By clearly understanding who uses its products, who might potentially use its products if they were modified or enhanced, 

and what value its customers derive. RITA can expand its customer base and 

its impact. RITA has an excellent opportunity—with the top-notch research performed at the Volpe National Transportation Systems Center and the University Transportation Centers—to remove barriers to technological innovation, 

and it is important to demonstrate to a broader audience how RITA can address 

needs across every mode. 

B. POTENTIAL CONFLICTS OF INTEREST

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

other continuing dealings with business associates, clients, or customers. Please include information related to retirement accounts. 

My only financial arrangements with my employer are: 

a. to receive my normal compensation from A.T. Kearney while still employed 

with the firm until and if I am confirmed for the prospective position. 

b. to receive the second of two installments of my 2008 A.T. Kearney bonus, 

scheduled to be paid in second quarter of 2009. 

c. my ownership of stock shares in ATK Holdings, for which a sale will he executed following my departure from the firm and the proceeds will be distributed 

to me over a 3-year period. 

My retirement accounts are 100 percent vested and are maintained by investment 

funds outside of my employer organization. 

2. Do you have any commitments or agreements, formal or informal, to maintain 

employment, affiliation, or practice with any business, association or other organization during your appointment? If so, please explain: No. 

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

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

nominated. 

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will be resolved in 

accordance with the terms of an ethics agreement that I have entered into with the 

Department’s designated agency ethics official and that has been provided to this 

Committee. I am not aware of any other potential conflicts of interest. 

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

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

15 

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

of interest in the position to which you have been nominated. 

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will be resolved in 

accordance with the terms of an ethics agreement that I have entered into with the 

Department’s designated agency ethics official and that has been provided to this 

Committee. I am not aware of any other potential conflicts of interest. 

5. Describe any activity during the past 10 years in which you have been engaged 

for the purpose of directly or indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public 

policy. 

In 2000, under while performing management consulting services at A.T. 

Kearney, Inc., I conducted business analysis of potential railroad operations associated with the proposed merger of the Canadian National Railway and the Burlington Northern—Santa Fe Railroad. The results of my analysis were used in conjunction with Canadian National Railway’s application to the Surface Transportation Board for approval of the proposed merger, which was ultimately not approved. 

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

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

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will be resolved in 

accordance with the terms of an ethics agreement that I have entered into with the 

Department’s designated agency ethics official and that has been provided to this 

Committee. 

C. LEGAL MATTERS

Have you ever been disciplined or cited for a breach of ethics by, or been the subject of a complaint to any court, administrative agency, professional association, disciplinary committee, or other professional group? If so, please explain: No. 

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

State, or other law enforcement authority of any Federal, State, county, or municipal entity, other than for a minor traffic offense? If so, please explain: No. 

3. Have you or any business of which you are or were an officer ever been involved as a party in an administrative agency proceeding or civil litigation? If so, 

please explain: No. 

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

any criminal violation other than a minor traffic offense? If so, please explain: No. 

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

discrimination on the basis of sex, race, religion, or any other basis? If so, please 

explain: No. 

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

None. 

D. RELATIONSHIP WITH COMMITTEE

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

2. Will you ensure that your department/agency does whatever it can to protect 

Congressional witnesses and whistleblowers from reprisal for their testimony and 

disclosures? Yes. 

3. Will you cooperate in providing the Committee with requested witnesses, including technical experts and career employees, with firsthand knowledge of matters 

of interest to the Committee? Yes. 

4. Are you willing to appear and testify before any duly constituted committee of 

the Congress on such occasions as you may be reasonably requested to do so? Yes. 

16 

RESUME OF PETER H. APPEL

Work Experience 

A.T. Kearney, Inc., April 1997–present, Principal. 

Led over 40 management consulting engagements to develop and implement 

strategic initiatives for private sector and public sector clients in Transportation, Infrastructure, and Aerospace, focusing on: 

Strategic Planning. 

Public-Private Partnerships. 

Acquisition Due Diligence. 

Organizational Design. 

Operations Improvement. 

Post-Merger Integration. 

For a major North American railroad, assessed potential growth markets, developed acquisition strategies, and managed successful post-merger integration initiatives. 

Led strategy engagements for two major North American airports, identifying 

specific ways to improve asset performance and achieve significant commercial 

revenue growth opportunities. 

Developed intermodal transportation strategy for major investor in rail, trucking, and maritime transportation. 

Re-engineered onboard service procedures to reduce costs and improve service 

at major U.S. airline. 

For a global maritime shipping company and port operator, assessed transportation networks and trade growth across several regions to identify and quantify market growth opportunities. 

Developed trucking operations improvement program for major U.S. manufacturer—encompassing improved fleet allocation and network strategies. 

Led an initiative to improve supply chain efficiency for a major U.S. Navy shipbuilding program. 

Developed business strategy for space launch vehicle division of major aerospace 

systems manufacturer. 

Federal Aviation Administration, May 1993–April 1997, Special Assistant to the 

Administrator. 

Assisted head of FAA in strategic planning and operational aspects of managing 

47,000-person agency, including supporting successful initiatives to overhaul the 

agency’s personnel and acquisitions systems. 

Coordinated a major agency-wide reorganization that more clearly defined executive accountability. 

Managed outreach on policy decisions to airlines, aerospace industry, Congress, 

and government agencies. 

Coordinated FAA involvement in major cross-departmental White House initiatives. 

National Railroad Passenger Corporation: Amtrak, Feb. 1989–May 1993, Assistant Director for Pricing and Yield Management. 

Directed pricing and inventory control activities for national railroad. 

Managed staff in pricing analysis, yield management, and operations research 

to develop targeted pricing strategies to optimize revenue on a route-by-route 

basis. 

Designed and executed targeted marketing programs, generating several million 

dollars in incremental revenue. 

Education 

Massachusetts Institute of Technology, M.S. Transportation I Aeronautics, 

1987. 

Brandeis University, B.A., Economics & Computer Science, Highest Honors, 

1985. 

London School of Economics, General Course, Economics and Transportation, 

1983–84. 

17 

Additional Experience 

Obama for America, April 2007–Nov. 2008. 

National Delegate Operations 

Managed campaign’s national delegate count throughout primary season and 

provided analysis and rationale to support correction of any inaccuracies in 

media delegate counts. 

Built detailed targeting model to identify delegate win opportunities across congressional districts, territories, and other sources, and used this analysis to inform resource allocation. 

Advised Director of National Delegate Operations on delegate tracking and national convention operations. 

Iowa Caucus 

Developed detailed turnout-tracking systems and forecasting models to develop 

earliest estimates of caucus turnout for use in caucus-night strategy. 

Supported development and execution of statewide Boiler Room operation. 

Targeting and Analysis National Boiler Room Operations 

Worked with targeting staff for each region to develop and update statewide 

turnout forecasts and targets across each demographic group. 

Managed analysis of Early Vote across battleground states to support resource 

allocation. 

As part of national Boiler Room team, tracked turnout levels across targeted 

groups to develop real-time recommendations for election day resource allocation. 

Office of the President-Elect and Vice President-Elect, Dec. 1992–Jan. 1993. 

Member, Clinton-Gore Presidential Transition Team, Transportation Policy 

Cluster 

Developed strategic recommendations and policy briefings for incoming U.S. 

Secretary of Transportation focusing on key pending issues associated with airline and rail industries. 

Senator INOUYE. May I now call upon Mr. Joe Szabo? 

STATEMENT OF HON. JOSEPH C. SZABO, ADMINISTRATORDESIGNATE, FEDERAL RAILROAD ADMINISTRATION, 

DEPARTMENT OF TRANSPORTATION 

Mr. SZABO. Thank you, Chairman Inouye, and I would also like 

to thank Chairman Rockefeller and Ranking Member Hutchison for 

calling this hearing today and, of course, the Members of the Committee for the privilege of appearing here today. 

Certainly also I would like to thank Secretary LaHood for his 

trust in offering me an opportunity to serve the Administration 

and, of course, to thank Senator Durbin for the incredibly kind introduction. 

As a fifth-generation railroader, it is certainly an honor to have 

been nominated by President Obama and have the opportunity to 

serve. 

And I am especially pleased to have with me members of my 

family today, especially my father, who is a 40-year rank-and-file 

switchman for the Illinois Central. It is from him that I inherited 

my genetic affinity for railroading, as well as for the Chicago Cubs. 

It was from my father, as well as my mother, that I learned the 

importance of civic duty. 

When I hired out on the railroad and first began breaking in as 

a railroad switchman, on my very first day it was my father that 

18 

was training me out there in that rail yard. And that is when I 

learned firsthand the dangers of railroading. 

The mission that FRA has is very, very personal for me. I have 

had friends and coworkers killed in the line of duty. I have been 

on the locomotive when we have been involved in grade crossing 

accidents that have caused fatalities to motorists. I have been the 

mayor of a community that had two major railroad yards and so, 

from a public safety perspective, I understand the issues of railroading and public safety. 

If confirmed, heading FRA would allow me to enforce the Federal 

rail safety laws to protect rail workers and enhance public safety. 

But equally as important, it would allow me to help grow an industry that I truly love. It would give me the opportunity to implement 

financial assistance programs that would help both freight and passenger rail and help the industry prosper. And this, in turn, would 

improve the mobility of goods and people, reduce vehicle congestion, and reduce greenhouse gas emissions. 

If confirmed, I will make it a priority to implement the many 

new statutory requirements of the Rail Safety Improvement Act of 

2008, and this includes more than 40 rail safety rulemakings, studies and model State laws. Obviously, it includes a high priority of 

this Committee implementing positive train control on major 

freight railroads and passenger railroads no later than the end of 

2015. It means implementing the mandates of hours of service reform passed by this Committee and, of course, the opportunity for 

more creative risk reduction programs. 

It also means implementing those statutes and mandates in the 

Passenger Rail Investment and Improvement Act of 2008 which, of 

course, reauthorizes Amtrak for the first time since 1997. It provides capital grants for States, congestion relief programs, and the 

development of high-speed rail corridors. 

And if those were not enough, add to it the requirements of the 

American Recovery and Reinvestment Act of 2009, which includes 

the $8 billion in capital grants for high-speed rail. Truly what we 

are seeing is a renaissance in rail as part of a balanced transportation network in our Nation. 

If confirmed, it would be my duty to ensure that all of these programs are carried out effectively, efficiently, and in a timely and 

transparent manner. Obviously, the plate is full, but I truly cannot 

think of a better time, a more exciting time to be leading FRA. 

I look forward to your questions, comments, and any guidance 

that you might provide. 

[The prepared statement and biographical information of Mr. 

Szabo follows:] 

PREPARED STATEMENT OF HON. JOSEPH C. SZABO, ADMINISTRATOR-DESIGNATE, FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION

Chairman Rockefeller, Ranking Member Hutchison, and other Members of the 

Committee, thank you for the privilege of appearing before you today. Thank you, 

Senator Durbin, for your gracious introduction. I am honored to have been nominated by President Obama to serve as the Administrator of the Federal Railroad 

Administration (FRA), and if I am confirmed, I will do my best to bring my substantial experience, as a railroad operating employee, as a union representative of railroad employees, and as a public servant in my hometown and home state, to Secretary LaHood’s management team at the Department of Transportation. Today I 

would like to let you know what my approach would be to serving as FRA AdminisVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00022 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
19 

trator, if I am confirmed, and then learn from you which issues and matters you 

believe are most important for our country’s freight and passenger rail transportation system. 

I am excited about the possibility of serving as FRA’s Administrator because of 

my long, possibly genetic affinity for railroading and my equally deep-seated desire 

to make government work even better for the many dimensions of the public good. 

I would like to serve FRA because of what the agency is commissioned to do: to enforce the Federal railroad safety laws and prescribe new regulations that will enhance railroad safety; to implement railroad financial assistance programs to help 

address the needs of the freight railroads and stimulate the development of highspeed intercity passenger rail service; to conduct research and development necessary to improve railroad safety; and to consolidate government support of rail 

transportation activities while ensuring that rail plays a continuing role in meeting 

the challenges of moving people and goods safely and efficiently. Leading such a 

broad range of missions would be exhilarating enough, but the prospect of becoming 

FRA’s Administrator is particularly appealing to me given where the agency stands 

at this juncture in time: today it is FRA’s job to carry out not only most of the provisions of two very significant reauthorization statutes enacted last fall, but also to 

play a central role in managing historic investments provided for in this year’s economic recovery legislation. If confirmed, I will make it a priority to implement the 

many new statutory measures that Secretary LaHood has assigned to FRA. 

With regard to the Rail Safety Improvement Act of 2008, which became law in 

October 2008, it would be a special honor to play a role in its implementation because of my longstanding involvement in rail safety issues both as an operating employee and as a union representative of other employees. Despite both recent and 

long-term improvements in rail safety, the September 2008 collision between a commuter train and a freight train in Chatsworth, California, underscores the clear 

need to act aggressively for safety in the rail mode, as well as in the other modes 

of transportation. As Secretary LaHood told this Committee in his confirmation 

hearing, ‘‘safety . . . has always been and must continue to be the central focus of 

the Department of Transportation.’’ My understanding is that this new law mandates more than 40 rail safety rulemakings, studies, and model state laws. These 

statutory mandates include a rulemaking to establish the essential functionalities 

required for positive train control systems that the Act requires to be installed on 

major freight and passenger railroads by 2015. The Act also improves the statutory 

protections afforded by the hours of service laws and, for the first time, grants the 

Secretary the authority to set hours of service standards for passenger train crews. 

If confirmed, I plan to make the implementation of these new safety provisions a 

priority. 

The other legislation enacted last fall that is primarily FRA’s to carry out is the 

Passenger Rail Investment and Improvement Act of 2008. That Act represents the 

first reauthorization of Amtrak and rail passenger programs since 1997, and the 

most comprehensive Amtrak legislation in recent decades. The Act authorizes very 

substantial levels of funding for Amtrak capital investments, operating expenses, 

and repayment of principal and interest on the railroad’s long-term debt. It also authorizes significant new funding programs, including capital investment grants to 

States to support improved intercity passenger rail service, a congestion relief program, and a high-speed rail corridor development program. Again, if confirmed, I 

plan to make the successful implementation of these new provisions a priority. 

The last set of legislative mandates that are FRA’s responsibility to carry out 

were established by the American Recovery and Reinvestment Act (ARRA) and entail two major types of rail grant programs. One is funded at $1.3 billion for capital 

grants to Amtrak, of which $450 million is for security improvements, including life 

safety improvements. The other grant program is funded at $8 billion for capital 

grants for high-speed rail corridors and intercity passenger rail service, programs 

authorized in the Passenger Rail Investment and Improvement Act of 2008. President Obama has proposed to reshape the Nation’s transportation system by building 

a world-class network of high-speed passenger rail corridors to complement our 

other modes. This new strategy begins with the $8 billion provided in ARRA and 

continues with the President’s proposed budget for Fiscal Year 2010, which calls for 

a $5-billion, 5-year high-speed rail grant program. I am thrilled at the possibility 

of leading FRA’s implementation of these programs so necessary to the restoration 

and growth of our economy. 

Finally, as we look to the next surface transportation reauthorization, I would, if 

confirmed, advocate that rail be considered an integral part of a larger solution for 

reducing highway and airway traffic congestion as well as promoting environmental 

protection, energy independence, and livable communities. The benefits of moving 

passengers and freight by rail can support reductions in emissions and greenhouse 

20 

gases while at the same time providing the much needed capacity enhancements 

that help to promote improved mobility and economic growth. 

Thank you so much for inviting me to speak with you today. I would be happy 

to respond to any questions you may have. 

A. BIOGRAPHICAL INFORMATION

1. Name (Include any former names or nicknames used): Joseph (Joe) C. Szabo. 

2. Position to which nominated: Administrator, Federal Railroad Administration, 

United States Department of Transportation. 

3. Date of Nomination: 03/26/2009. 

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

Residence: Information not released to the public. 

Office: United Transportation Union, 304 Pennsylvania, SE, Washington, DC 

20003. 

5. Date and Place of Birth: December 26, 1957; Evergreen Park, Cook County, IL. 

6. Provide the name, position, and place of employment for your spouse (if married) and the names and ages of your children (including stepchildren and children 

by a previous marriage). None. 

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

Bachelors of Arts, Personnel Management and Labor Relations, 1990, Governors 

State University. 

Associate of Applied Science, Accounting, 1984, South Suburban College. 

8. List all post-undergraduate employment, and highlight all management-level 

jobs held and any non-managerial jobs that relate to the position for which you are 

nominated. 

Management experience as related to each position is highlighted in italics: 

Alternate National Legislative Director, United Transportation Union, 01/09 to 

Present: Assist in providing direction to rail safety and regulatory issues in the 

United States, as well as advocacy for improving passenger and freight rail service. 

Illinois State Legislative Director, United Transportation Union, 02/96 to 01/09: 

Provided direction to rail safety and regulatory issues in Illinois, as well as advocacy for improving passenger and freight rail service. 

Vice President, Illinois AFL–CIO, 10/06 to Present. 

Mayor, Village of Riverdale, 1997–2000: Served as CEO of a community of approximately 15,000 residents, 90 full-time and 35 part-time employees, and an 

annual $9 million budget. 

Village Trustee, Village of Riverdale, 1987–97: Drafted annual budgets for the 

Village and assisted in negotiating labor contracts from a management perspective. 

Train Conductor, Metra/Illinois Central Railroads, 1976–96: Performed railroad 

duties as a yard switchman, freight road trainman, and commuter passenger 

conductor in accordance with Federal railroad regulations and operating rules. 

9. Attach a copy of your resume. A copy is attached. 

10. List any advisory, consultative, honorary, or other part-time service or positions with Federal, State, or local governments, other than those listed above, within the last 5 years. 

Mayor Emeritus, Village of Riverdale, 11/2000–4/2009. 

Federal Railroad Administration, Rail Safety Advisory Committee (RSAC), 9/ 

2000–2/2009. 

State of Illinois, Climate Change Advisory Group, 1/2007–12/2007. 

11. List all positions held as an officer, director, trustee, partner, proprietor, 

agent, representative, or consultant of any corporation, company, firm, partnership, 

or other business, enterprise, educational, or other institution within the last 5 

years. 

Metropolis 2020, Executive Council Member, 2/99 to Present. 

Illinois AFL-CIO, Vice President. 10/06 to Present. 

Historic Pullman Foundation. Board of Directors. 4/00 to 9/07. 

21 

12. Please list each membership you have had during the past 10 years or currently hold with any civic, social. charitable, educational, political, professional, fraternal, benevolent or religious organization, private club, or other membership organization. Include dates of membership and any positions you have held with any organization. Please note whether any such club or organization restricts membership 

on the basis of sex, race, color, religion, national origin, age, or handicap. 

Transportation For Illinois Coalition, Member, 12/07 to Present, No resrictions. 

Dolton Elks, Member 02/88 to 03/01, No restrictions. 

Metropolitan Planning Council, Member 02/01 to Present, No restrictions. 

Business Leaders for Transportation, Member 02/20011 to Present, No restrictions. 

Eugene V. Debs Society, Member 11/96 to Present, No restrictions. 

National Association of Railroad Passengers, Member 12/03 to Present. No restrictions. 

AARP, Member, 04/08 to Present, No restrictions. 

13. Have you ever been a candidate for and/or held a public office (elected, nonelected, or appointed)? If so, indicate whether any campaign has any outstanding 

debt, the amount, and whether you are personally liable for that debt. 

Ivanhoe Park Board, Commissioner, 1982–87; no debt. 

Candidate for State Representative, Illinois 33rd District, 1984: no debt. 

Village Trustee, Village of Riverdale, 1987–97; no debt. 

Mayor, Village of Riverdale, 1997–2000; no debt. 

14. Itemize all political contributions to any individual, campaign organization, political party, political action committee, or similar entity of $500 or more for the 

past 10 years. Also list all offices you have held with, and services rendered to, a 

state or national political party or election committee during the same period. 

As of April 15, 2009: 

United Transportation Union PAC 

1998—$1,200 

1999—$1,200 

2000—$1,200 

2001—$1,200 

2002—$1,200 

2003—$1,200 

2004—$2,100 

2005—$2,400 

2006—$2,400 

2007—$2,500 

2008—$2,400 

2009—$600 

Friends of Dick Durbin 

1996—$1,000 

1999—$500 

2000—$500 

2001—$500 

2002—$500 

2005—$1,000 

2006—$1,000 

2007—$1,000 

2008—$1,350 

John Kerry for President 

2004—$1,000 

Obama for America 

2008—$4,600 

Volunteer Work: Knocked on doors in precincts to get out the vote 

22 

Jesse Jackson, Jr. for Congress 

1999—$1,000 

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

achievements. 

2000, Village of Riverdale Employee of the Year awarded by the Riverdale 

Chamber of Commerce. 

1999, Golden Eagle Award by the Riverdale Redevelopment Corporation. 

1982, Outstanding Local President by the Illinois Jaycees. 

16. Please list each book, article, column, or publication you have authored, individually or with others. Also list any speeches that you have given on topics relevant to the position for which you have been nominated. Do not attach copies of 

these publications unless otherwise instructed. 

Mayor’s Column, Riverdale Review, Quarterly 1997–2000. 

State Director’s Column, UTU Illini-Line, Irregularly 1996–08. 

‘‘U.S. 66 Coal-Mining Town Gets Recognized After 106 Years: The Battle of 

Virden at Last Gets Its Monument,’’ Route 66 Federation News, Spring 2007. 

‘‘Four Miles of Futility: How Railroad Improvements Can Solve Chicago’s Highway Congestion Problems,’’ Speech to the Council of Mayors—Chicago Area 

Transportation Study, April 29, 2003. 

‘‘CREATE: Improvements to Chicago’s Rail Infrastructure,’’ Speech to the UTU 

Tri-State Rail Conference, June 4, 2004. 

‘‘California’s Passenger Rail Success Story,’’ Speech to Illinois Municipal League 

Rail Workshop, September 24, 2005. 

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

before Congress in a governmental or non-governmental capacity and specify the 

date and subject matter of each testimony. 

Testified before the House Transportation & Infrastructure Subcommittee on Railroads, April 25, 2001, in support of H.R. 1020 the Railroad Track Modernization Act 

of 2001. 

18. Given the current mission, major programs, and major operational objectives 

of the department/agency to which you have been nominated, what in your background or employment experience do you believe affirmatively qualifies you for appointment to the position for which you have been nominated, and why do you wish 

to serve in that position? 

I bring a blend of hands-on experience in governmental management, railroad 

safety, passenger and freight rail advocacy and practical railroad operating experience. My goal is to apply the full spectrum of my experience toward carrying out 

the President’s stated policies for rail development and safety. 

19. What do you believe are your responsibilities, if confirmed, to ensure that the 

department/agency has proper management and accounting, controls, and what experience do you have in managing a large organization? 

The agency must follow all applicable regulations governing financial and accounting matters and he responsible in all expenditures—they must return value. 

I am quite conscious of my fiduciary responsibility due to my experience as the 

Mayor of Riverdale where I confronted these issues on a daily basis. As a result of 

my years in managing local government and managing people, I have learned how 

to effectively set direction and utilize delegation to allow staff to perform to the best 

of their capabilities. I will be responsive to the direction and oversight of Congress 

and the Senate Commerce Committee in executing my duties. 

20. What do you believe to be the top three challenges facing the department/ 

agency and why? 

Implementing provisions of the Rail Safety Improvement Act of 2008, the Passenger Rail Investment Act of 2008, and the American Recovery and Reinvestment 

Act of 2009. FRA is a relatively small agency that has 3 significant pieces of legislation to deal with in a cost effective and timely manner. There are several complex 

regulatory issues that will have a profound effect on the safety of our Nation’s railroads as well as statutory deadlines for completing this important work. Just as important is FRA’s ability to shape the future high-speed rail opportunities that are 

a centerpiece to the Recovery and Reinvestment Act and included in President 

Obama’s 2010 budget as a Presidential initiative. This is both a challenging and exciting time for FRA. 

23 

B. POTENTIAL CONFLICTS OF INTEREST

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

other continuing dealings with business associates, clients, or customers. Please include information related to retirement accounts. 

I have a pension with the United Transportation Union. 

2. Do you have any commitments or agreements, formal or informal, to maintain 

employment, affiliation, or practice with any business, association or other organization during your appointment? If so, please explain: None. 

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

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

nominated. 

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will be resolved in 

accordance with the terms of an ethics agreement that I have entered into with the 

Department’s designated agency ethics official and that has been provided to this 

Committee. I am not aware of any other potential conflicts of interest. 

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

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

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

of interest in the position to which you have been nominated. 

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will be resolved in 

accordance with the terms of an ethics agreement that I have entered into with the 

Department’s designated agency ethics official and that has been provided to this 

Committee. I am not aware of any other potential conflicts of interest. 

5. Describe any activity during the past 10 years in which you have been engaged 

for the purpose of directly or indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public 

policy. 

As Alternate National Legislative Director for the United Transportation Union 

I assist in providing direction to rail safety and regulatory issues in the United 

States, as well as advocate for improving passenger and freight rail service. 

As State Legislative Director for the United Transportation Union, and Vice President for the Illinois AFL–CIO, I have been involved in advocating for rail safety legislation in Illinois, and passenger and freight rail advocacy. This included the passage of a state statute for railroad crew van safety standards; railroad walkway 

safety standards; trauma counseling for rail workers involved in serious incidents; 

prohibition of rail carriers from delaying, denying or interfering with the medical 

treatment of injured workers; and amendments to the Railroad Police Act to provide 

objective oversight. I also worked to increase state and Federal funding for freight, 

commuter, and intercity passenger rail service, and for modifications to the Federal 

Railroad Retirement system. I also discussed with Congressional staff the language 

regarding delaying, denying or interfering with the medical treatment of injured rail 

workers in S. 1889, Rail Safety Enhancement Act of 2007 and had a limited role 

in its passage. 

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

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

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will he resolved in 

accordance with the terms of an ethics agreement that I have entered into with the 

Department’s designated agency ethics official and that has been provided to this 

Committee. I am not aware of any other potential conflicts of interest. 

C. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics by, or been the 

subject of a complaint to any court, administrative agency, professional association, 

disciplinary committee, or other professional group? If so, please explain: No. 

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

State, or other law enforcement authority of any Federal, State, county, or municipal entity, other than for a minor traffic offense? If so, please explain. 

May 1976, I was arrested in Macomb, Illinois, for attempting to use a false I.D. 

to purchase beer. I was 18 and the drinking age at the time for beer and wine was 

19. The charges were dropped. 

24 

3. Have you or any business of which you are or were an officer ever been involved as a party in an administrative agency proceeding or civil litigation? If so, 

please explain. 

I have not personally been named in any administrative agency proceeding or civil 

litigation. As State Legislative Director for the United Transportation Union, I have 

signed rail safety complaints on behalf of the union and its members that were adjudicated before an Administrative Law Judge of the Illinois Commerce Commission 

and have occasionally testified at the hearings. 

While Mayor, the Village of Riverdale was party to a number of lawsuits. To my 

knowledge I was not personally named in any of those lawsuits. 

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

any criminal violation other than a minor traffic offense? If so, please explain: No. 

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

discrimination on the basis of sex, race, religion, or any other basis? If so, please 

explain: No. 

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

None. 

D. RELATIONSHIP WITH COMMITTEE

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

2. Will you ensure that your department/agency does whatever it can to protect 

Congressional witnesses and whistle blowers from reprisal for their testimony and 

disclosures? Yes. 

3. Will you cooperate in providing the Committee with requested witnesses, including technical experts and career employees, with firsthand knowledge of matters 

of interest to the Committee? Yes. 

Are you willing to appear and testify before any duly constituted committee of the 

Congress on such occasions as you may be reasonably requested to do so? Yes. 

RESUME OF JOSEPH C. SZABO

Seeking the position of Administrator, Federal Railroad Administration 

Summary of Qualifications 

Broad experience in railroad safety and development. Proven success in drafting 

and enactment of state rail safety laws and contributing to the adoption of Federal 

regulations. Experience in implementing state supported rail service and expanding 

rail service to populations in need. Experience in managing budgets and working 

with state and local elected officials, as well as Members of Congress. 

Professional Highlights 

United Transportation Union, 1996–present, Alternate National Legislative Director. 

From January 2009 to present, assisted the National Legislative Director with 

rail safety and regulatory issues, and provided leadership and direction for UTU 

State Legislative Directors. 

Illinois State Legislative Director. 

From 1996 to 2009, provided vision and direction to rail safety and regulatory 

issues in Illinois, drafted safety laws and regulations, and prepared and delivered testimony before Illinois House and Senate Committees on rail safety 

issues. Served on the Federal Railroad Administration’s Rail Safety Advisory 

Committee participating in the development of Federal regulations on rail safety. Provided advocacy for improving passenger and freight rail service in Illinois. 

Key Contributions: 

Provided leadership to the coalition that doubled intercity passenger rail service 

in Illinois, creating the Nation’s second largest state-sponsored passenger rail 

program. 

Provided state-wide vision as co-chairman of the Freight Rail Subcommittee for 

Illinois Governor Rod Blagojevich’s 2002 Transition Team. 

Contributed practical rail safety insight as a national United Transportation 

Union representative for the Federal Railroad Administration’s Rail Safety AdVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00028 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
25 

visory Committee regulatory efforts covering Operating Rules, Locomotive Safety Standards, Passenger Safety, and Medical Standards. 

Drafted and coordinated enactment into state law key safety legislation to provide injured rail employees prompt medical treatment, and which language was 

adopted in the Federal Rail Safety Improvement Act of 2008. 

Strategically led one of three coalitions that modernized the Illinois Railroad 

Facilities Code. 

Prepared language and led discussions with the rail industry for agreed-to regulatory language for walkway safety standards in Illinois. 

Drafted and coordinated enactment into Illinois law crew van safety standards, 

hours of service for crew van drivers and inspection requirements for crew vans. 

Provided training to United Transportation Union staff on Effective Workplace 

Safety Programs; developed in partnership with the University of Illinois a 

training module on Effective Documentation and Writing. 

Village of Riverdale, 1987–2000, Mayor. 

From 1997–2000, elected to serve as Chief Executive Officer of a community of 

approximately 15,000 residents, 90 full-time and 35 part-time employees, and 

an annual $9 million budget. 

Village Trustee. 

From 1987–1997, elected to serve as a member of the Village Board, chairing 

Finance, Personnel, and Economic Development Committees. Reviewed and 

adopted ordinances and policies. Drafted annual budgets and served on labor 

contract negotiating committees. Acted as Mayor pro tempore in absence of the 

Mayor. 

Key Contributions: 

Provided regional leadership as member of the Executive Board of the South 

Suburban Mayors and Managers Association (SSMMA) and expertise in freight 

and passenger rail issues as a member of the SSMMA Transportation Committee. 

Provided expertise on commuter and freight rail matters as Member and Vice 

Chairman of the Executive Committee of the Chicago Area Transportation 

Study. 

In conjunction with the Chicago Area Transportation Study, assisted the Federal Railroad Administration in grade-crossing safety discussions with communities across Chicago metro region. 

Initiated Reinvestment in Riverdale program to acquire eyesore properties, revitalize decaying neighborhoods. and institute principles of Transit Oriented Development. 

Through careful budgeting and cost containment, eliminated an accumulated 

deficit in the Village General Fund. 

Achieved Certificate of Excellence in Financial Reporting from the international 

Government Finance Officers Association six consecutive years. 

In an effort to address diversity in the Riverdale Police and Fire Departments 

and ensure ethical enforcement of laws, partnered with Operation PUSH, the 

local NAACP, and neighborhood churches to create the Citizens Policy Review 

Committee. 

Developed a sense of volunteerism and ensured strict community standards by 

involving residents as volunteer property maintenance code inspectors and also 

in the Community Awareness Policing Academy. 

Provided vision to the region as Riverdale’s member on the Board of Directors 

of the Calumet Region Enterprise Zone. 

Other Positions 

Vice President, Illinois AFL–CIO, 2006–present. 

Executive Council, Chicago Metropolis 2020, 1998–present. 

Focusing on regional issues of Education, Economic Development, Governance, 

Land Use and Housing, Transportation and Taxation. 

Train Conductor, Metra/Illinois Central Railroads, 1976–1996. 

Performed railroad duties as a yard switchman, freight road trainman, and 

commuter passenger conductor in accordance with Federal railroad regulations 

26 

and operating rules for the Illinois Central Railroad from 1976 to 1987, and 

Metra from 1987 to 1996. Served as a member of the Metra Labor-Management 

System Safety Oversight Committee. 

Commissioner, Ivanhoe Park District, 1982–1987. 

Riverdale Zoning Board of Appeals, 1980–1985. 

Served as Chairman, 1982–1985. 

Education 

Governors State University 

Bachelors of Arts, Personnel Management and Labor Relations, 1991. 

Candidate for Masters in Public Administration, 2002–2004. 

South Suburban College 

Associate of Applied Science, Accounting, 1984. 

University of Wisconsin—Extension 

Continuing Education Units, Land Use Management and Administration, 1983 

and 1984. 

Senator INOUYE. I thank you very much, Mr. Szabo. 

And now may I call upon Mr. Dana Gresham. Mr. Gresham? 

STATEMENT OF DANA G. GRESHAM, ASSISTANT SECRETARYDESIGNATE OF TRANSPORTATION FOR GOVERNMENTAL 

AFFAIRS, DEPARTMENT OF TRANSPORTATION 

Mr. GRESHAM. Mr. Chairman, with your permission, I would like 

to summarize my remarks and ask that my full statement be entered into the record. 

Senator INOUYE. Without objection, so ordered. 

Mr. GRESHAM. Thank you, Mr. Chairman. 

Mr. Chairman and members of the Committee, thank you for the 

opportunity to appear before you today to discuss my nomination 

for the position of Assistant Secretary for Governmental Affairs at 

the Department of Transportation. I am deeply honored to be here 

as President Obama’s nominee for this important position, and I 

am also grateful for Secretary LaHood’s support of my nomination. 

In addition, I would like to thank my wife, Kathy, who is here 

with me today—stand up, Kathy—for all of her support throughout 

this process. 

Mr. Chairman, this is an extraordinary moment in our Nation’s 

history. While there is no doubt that we are faced with enormous 

challenges, we are also presented with enormous opportunities to 

improve the lives of our fellow citizens. This is particularly the case 

in matters related to transportation. In the coming months, the Department and the Congress will have an opportunity to work together on many important initiatives, including both the aviation 

and surface reauthorization bills. 

As work begins in earnest on these and other major initiatives, 

it is critically important that there be clear and open lines of communication between the Department and Congress. Indeed, in his 

testimony before this very committee, Secretary LaHood made a 

commitment to be available to you and to be receptive to your ideas 

and input. 

Mr. Chairman, I share Secretary LaHood’s commitment. If confirmed, I will work diligently to ensure that we are responsive and 

available to you and that your voices are heard within the Department, that we effectively communicate the Department’s efforts to 

27 

implement the legislative mandates passed by the Congress and 

signed into law by the President, and that we work closely with the 

modal administrations throughout the Department and the White 

House to ensure that the Department is not only speaking with one 

voice to Congress, but also to State and local elected officials, other 

Federal agencies, and all of the relevant transportation stakeholders. 

Mr. Chairman, Ranking Member Hutchison, and members of the 

Committee, it is an honor and a privilege to appear before you 

today. Should I be confirmed, please know that I will always be 

available to answer your questions and will maintain an open line 

of communication with you. Thank you for your consideration of my 

nomination. I will be pleased to answer your questions. 

[The prepared statement and biographical information of Mr. 

Gresham follows:] 

PREPARED STATEMENT OF DANA G. GRESHAM, ASSISTANT SECRETARY-DESIGNATE OF

TRANSPORTATION FOR GOVERNMENTAL AFFAIRS, DEPARTMENT OF TRANSPORTATION

Chairman Rockefeller, Ranking Member Hutchison, and distinguished Members 

of the Committee, thank you for the opportunity to appear before you today to discuss my nomination for the position of Assistant Secretary for Governmental Affairs 

at the Department of Transportation. I am deeply honored to be here as President 

Obama’s nominee for this important position. I am also grateful for Secretary 

LaHood’s support of my nomination. 

In addition, I would be remiss if I did not thank my wife for her patience and 

steadfast support as I have continued to pursue a career of public service. 

Mr. Chairman, this is an extraordinary moment in our Nation’s history. While 

there is no doubt that we are faced with enormous challenges, we are also presented 

with enormous opportunities to improve the lives of our fellow citizens. This is particularly the case in matters related to transportation. Indeed, already the Administration and Congress have come together to pass an Economic Recovery bill that is 

creating jobs and spurring additional investment in transportation infrastructure in 

every region of the country. In addition, in the coming months, the Department of 

Transportation and the Congress will have an opportunity to improve communities 

throughout the country for years to come by working together to reauthorize both 

the aviation and surface authorization bills. 

As the Congress and the Department work together on these major initiatives, it 

is critically important that there be clear and open lines of communication. In his 

testimony before this very committee, Secretary LaHood made a commitment to be 

available to you and receptive to you and your colleagues’ ideas and input. As the 

nominee for the position of Assistant Secretary of Governmental Affairs, I share 

Secretary LaHood’s commitment. If confirmed, I will work diligently to ensure that 

the Department is responsive and available to you and your staff and that your 

voices are heard within the Department. 

Mr. Chairman, as you know, I am a product of the House of Representatives. Over 

the course of more than 14 years, I’ve worked for three different Members of Congress, starting as a Staff Assistant and culminating as a Chief of Staff. My experience working on transportation issues for these Members has given me a great affinity for Congress as an institution. If confirmed, I intend to make sure that the 

Office of Governmental Affairs responds quickly and accurately to your inquiries; 

that we effectively communicate the Department’s efforts to implement the legislative mandates passed by the Congress and signed into law by the President; and 

that we work closely with the modal administrations throughout the Department 

and the White House to ensure that the Department is not only speaking with one 

voice to the Congress, but also to state and local elected officials, other Federal 

agencies, and all the relevant transportation stakeholders. 

Mr. Chairman, Members of the Committee, it is an honor and a privilege to appear before you today. I am profoundly grateful for this opportunity to serve alongside such a respected public servant as Secretary LaHood and his entire team at 

the Department. Should I be confirmed, please know that I will always be available 

to answer your questions and will maintain an open line of communication with you. 

I look forward to working closely with you and your staff to move our Nation’s 

transportation agenda forward. 

28 

Thank you for your consideration of my nomination. I would be pleased to answer 

your questions. 

A. BIOGRAPHICAL INFORMATION

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

2. Position to which nominated: Assistant Secretary for Governmental Affairs, 

United States Department of Transportation. 

3. Date of Nomination: March 10, 2009. 

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

Residence: Information not released to the public. 

5. Date and Place of Birth: August 12, 1971; Birmingham, Alabama. 

6. Provide the name, position, and place of employment for your spouse (if married) and the names and ages of your children (including stepchildren and children 

by a previous marriage). 

Spouse: Kathryn Shelton Gresham, Trial Attorney, U.S. Department of Transportation; child: Justin Nathaniel Gresham—Age 2. 

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

B.S., Foreign Service—Georgetown University, 1994. 

8. List all post-undergraduate employment, and highlight all management-level 

jobs held and any non-managerial jobs that relate to the position for which you are 

nominated. 

Summer 1994—Temporary Employee. 

Washington, D.C. based Temporary Employee Placement Firm. 

September 1994 to July 1997—Office of Representative Eva Clayton. 

Positions held: Staff Assistant and Legislative Assistant. 

Relevant experience: As Legislative Assistant, I handled transportation issues 

during the reauthorization of the Intermodal Surface Transportation and Equity 

Act (ISTEA). 

July 1997 to December 2002—Office of Representative Bud Cramer. 

Positions held: Legislative Assistant and Legislative Director. 

Managerial experience: As Legislative Director, I gave legislative and strategic 

guidance to staff. 

Relevant experience: During my tenure in the office, Rep. Cramer was a Member 

of the Transportation and Infrastructure Committee as well as a Member of the 

House Appropriations Committee. As a Legislative Assistant and then Legislative Director, I handled his transportation authorization committee work and 

then his transportation appropriations committee work. 

January 2003 to January 2009—Office of Representative Artur Davis. 

Positions held: Chief of Staff and Senior Advisor. 

Managerial experience: As Chief of Staff, I was the direct supervisor of staff in 

the Washington, D.C. office and exercised general oversight over the District office staff. I also managed a budget of approximately $1.3 million. 

November 2008 to January 2009—Presidential Transition Team. 

Positions held: Liaison, Congressional Relations staff and Legislative Liaison, 

Department of Transportation Secretary Designate Confirmation Team. 

9. Attach a copy of your resume. A copy is attached. 

10. List any advisory, consultative, honorary, or other part-time service or positions with Federal, State, or local governments, other than those listed above, within the last 5 years. None. 

11. List all positions held as an officer, director, trustee, partner, proprietor, 

agent, representative, or consultant of any corporation, company, firm, partnership, 

or other business, enterprise, educational, or other institution within the last 5 

years. 

Member, DKG Associates, LLC—October 2004 to November 2005. 

12. Please list each membership you have had during the past 10 years or currently hold with any civic, social, charitable, educational, political, professional, fraternal, benevolent or religious organization, private club, or other membership organization. Include dates of membership and any positions you have held with any organization. Please note whether any such club or organization restricts membership 

on the basis of sex, race, color, religion, national origin, age, or handicap. 

29 

Congressional Black Associates (CBA) 

Member, 1995 to 2000; 2004 to 2005; 2007 to 2008 (est.) 

Chair, Membership Committee, 1996. 

President, 1997. 

(No restrictions on Membership based on sex, race, color, religion, national 

origin, age or handicap). 

Alpha Phi Alpha Fraternity, Inc. 

Member, 1997 to Present. 

(No restrictions on Membership based on sex, race, color, religion, national 

origin, age or handicap). 

Emerging Leaders Institute 

Member, 1997 to 1998. 

(No restrictions on Membership based on sex, race, color, religion, national 

origin, age or handicap). 

House Chiefs of Staff Association 

Member, 2003 to 2006 (est.) 

(No restrictions on Membership based on sex, race, color, religion, national 

origin, age or handicap). 

Congressional Legislative Staff Association 

Member 1996 to 1998 (est.) 

(No restrictions on Membership based on sex, race, color, religion, national 

origin, age or handicap). 

13. Have you ever been a candidate for and/or held a public office (elected, nonelected, or appointed)? If so, indicate whether any campaign has any outstanding 

debt, the amount, and whether you are personally liable for that debt. No. 

14. Itemize all political contributions to any individual, campaign organization, 

political party, political action committee, or similar entity of $500 or more for the 

past 10 years. Also list all offices you have held with, and services rendered to, a 

state or national political party or election committee during the same period. None. 

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

achievements. None. 

16. Please list each book, article, column, or publication you have authored, individually or with others. Also list any speeches that you have given on topics relevant to the position for which you have been nominated. Do not attach copies of 

these publications unless otherwise instructed. None. 

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

before Congress in a governmental or non-governmental capacity and specify the 

date and subject matter of each testimony. None. 

18. Given the current mission, major programs, and major operational objectives 

of the department/agency to which you have been nominated, what in your background or employment experience do you believe affirmatively qualifies you for appointment to the position for which you have been nominated, and why do you wish 

to serve in that position? 

I believe my 14 years of experience working on Capitol Hill for three Members 

of the House of Representatives affirmatively qualifies me to be Assistant Secretary 

for Governmental Affairs. Over the course of this period, I’ve served in almost every 

legislative position there is to serve in a Member’s personal congressional office, beginning my career on the Hill as a Staff Assistant for Representative Eva Clayton 

and culminating as Chief of Staff for Representative Artur Davis. 

Throughout my tenure on the Hill, I’ve worked on transportation issues. In particular, first as a Legislative Assistant and then as the Legislative Director for Representative Bud Cramer, I worked on transportation issues from both the authorization and the appropriations standpoint. In these capacities, I served as Representative Cramer’s primary transportation staffer when he was a Member of the House 

Transportation and Infrastructure Committee and then later when he moved to the 

House Appropriations Committee, initially serving on the Transportation Appropriations Subcommittee. As Chief of Staff to Representative Artur Davis, a position I 

held for nearly 6 years, I maintained my substantive involvement with transportation issues while taking on a much broader managerial and policy portfolio. As 

such, I managed a budget of approximately $1.3 million and directly supervised a 

staff of seven in the D.C. Office, while exercising general oversight over an average 

of eleven District employees spread across five District Offices. Moreover, as Chief 

30 

of Staff to a Member who served in a leadership position with the New Democrat 

Coalition (NDC), while also being a Member of the Congressional Black Caucus 

(CBC), I worked closely with the Leadership of the House of Representatives and 

the various organized caucuses within the Democratic Caucus (i.e., the CBC, the 

New Dems, and the Blue Dogs). 

Over the course of a 14-year career on the Hill, I believe I have developed strong 

relationships with key institutional players and decisionmakers both on and off of 

the Hill. Consequently, I will bring to the job a broad and sophisticated knowledge 

of the legislative process and an understanding of the connection between policy and 

politics that drive decision-making on Capitol Hill. These qualities and experiences, 

I believe, make me qualified for the position to which I’ve been nominated. 

19.What do you believe are your responsibilities, if confirmed, to ensure that the 

department/agency has proper management and accounting controls, and what experience do you have in managing a large organization? 

As I understand the position, my primary responsibilities will be to: (1) supervise 

and coordinate all legislative and non-legislative matters between the Department 

and Congress; (2) Serve as the liaison with state and local elected officials, as well 

as the local and state transportation planning organizations; and (3) coordinate activities with other Federal Agencies, as necessary. 

I have 6 years of managerial experience serving as Chief-of-Staff to Representative Artur Davis with the responsibility of managing a staff of almost 20 employees 

and a budget of approximately $1.3 million. 

20. What do you believe to be the top three challenges facing the department/ 

agency, and why? 

I believe the top three challenges facing the Department today are: 

1. Improving transportation safety. This is an on-going Departmental responsibility and one of the Department’s highest priorities. Making sure that Americans are safe, whether on the roads, the rails, or in the air must continue to 

be a central guiding principal for the Department. Technological advancement 

must be a key component of this mission. In this regard, the implementation 

of the FAA’s NextGen system is essential; 

2. The Department must ensure that the economic recovery funds are being 

monitored and used efficiently and effectively; and 

3. It is critical to our Nation’s infrastructure and overall economy that the Administration work with Congress to pass both the aviation and surface reauthorization bills this Congress. 

B. POTENTIAL CONFLICTS OF INTEREST

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

other continuing dealings with business associates, clients, or customers. Please include information related to retirement accounts. 

I have no financial arrangements, deferred compensation agreements, or other 

continuing dealings with business associates, clients, or customer. My only retirement account is the Federal Government’s Thrift Savings Plan. 

2. Do you have any commitments or agreements, formal or informal, to maintain 

employment, affiliation, or practice with any business, association or other organization during your appointment? If so, please explain: No. 

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

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

nominated: None. 

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

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

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

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

5. Describe any activity during the past 10 years in which you have been engaged 

for the purpose of directly or indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public 

policy. 

Over the course of the past 10 years, I have served in senior legislative positions 

for two Members of Congress. I served as Legislative Director for Congressman Bud 

Cramer from 1999–2002. In addition, I served as Chief of Staff and Senior Advisor 

for Congressman Artur Davis from 2003–2009. I was directly involved in drafting 

legislation and devising a legislative strategy to get legislation passed to further my 

Office’s legislative agenda. This includes being actively involved in transportation 

legislation. 

31 

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

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

Should any conflict of interest arise, I will immediately recuse myself from all activities concerning that conflict. 

C. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics by, or been the 

subject of a complaint to any court, administrative agency, professional association, 

disciplinary committee, or other professional group? If so, please explain: No. 

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

State, or other law enforcement authority of any Federal, State, county, or municipal entity, other than for a minor traffic offense? If so, please explain: No. 

3. Have you or any business of which you are or were an officer ever been involved as a party in an administrative agency proceeding or civil litigation? If so, 

please explain: No. 

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

any criminal violation other than a minor traffic offense? If so, please explain: No. 

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

discrimination on the basis of sex, race, religion, or any other basis? If so, please 

explain: No. 

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

None. 

D. RELATIONSHIP WITH COMMITTEE

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

2. Will you ensure that your department/agency does whatever it can to protect 

Congressional witnesses and whistle blowers from reprisal for their testimony and 

disclosures? Yes. 

3. Will you cooperate in providing the Committee with requested witnesses, including technical experts and career employees, with firsthand knowledge of matters 

of interest to the Committee? Yes. 

4. Are you willing to appear and testify before any duly constituted committee of 

the Congress on such occasions as you may be reasonably requested to do so? Yes. 

RESUME OF DANA G. GRESHAM

Professional Experience 

Obama-Biden Presidential Transition Team, Washington, D.C.; Congressional Relations Team, November 2008–January 2009. 

Served as the Legislative Liaison on the Confirmation Team for the Department 

of Transportation Secretary Designate, Congressman Ray LaHood. In this capacity, helped to successfully guide Secretary Designate LaHood through the 

Senate Confirmation process. 

Primary liaison within the Transition Team for the following Committees of the 

U.S. House of Representatives: Transportation, Judiciary Science, and Agriculture. This entailed coordinating and attending meetings between the leadership of these four committees and the members of the Agency Review Teams 

within the Transition in order to identify legislative and regulatory issues to be 

addressed by the Obama Administration. 

Office of Representative Artur Davis (AL–7), Washington, D.C.; Senior Advisor, 

November 2008–January 2009; Chief of Staff, January 2003–November 2008. 

Primary political and policy advisor to Member of Ways and Means. 

Served as lead staffer for Member in his role as Vice Chair of the New Democrat Coalition. In this capacity, helped guide overall legislative and political direction of the coalition. This included working closely with the House Democratic Leadership to further the legislative agenda of the coalition. 

Staffed Member in his role as Recruitment Committee Chair and Co-Chair of 

the Red to Blue Program of the Democratic Congressional Campaign Committee. 

Developed and maintained relationships with outside interest groups and coalitions, as well as internal Democratic Caucus groups in order to fulfill Member’s 

legislative and political agendas. 

32 

Developed overall legislative agenda, provided broad strategic counsel, and coordinated all activities of the legislative staff, with emphasis placed on legislative activities Member’s committee assignments. 

Oversaw all legislative matters related to Transportation issues and the Appropriations process. 

Directly supervised 7 employees in the Washington, D.C. Office and exercised 

general oversight over ii employees in 5 District Offices. Responsibilities included, planning and executing $1.3 million annual budget. 

Office of Representative Bud Cramer (AL–5), Washington, D.C.; Legislative Director, May 1999–December 2002. 

Primary legislative advisor to a Founding Member of the Blue Dog Coalition. 

Exercised general oversight over all legislative activities within Congressional 

Office. This included developing and implementing legislative strategy as it relates to assignment on the House Appropriations Committee and pursuing funding for Alabama specific projects in the various Appropriations Subcommittees—specifically Transportation, and VA–HUD. 

Legislative Assistant, June 1997–May 1999. 

Performed duties related to Member’s assignment on Appropriations Subcommittee on Transportation, including but not limited to, securing funding for 

District specific projects in DOT budget accounts. In the absence of earmarks, 

developed directive report and bill language, and crafted committee amendments as necessary. 

Exercised primary responsibility over several legislative issues, including Transportation. In particular, managed transportation issues while Member was on 

the Transportation and Infrastructure Committee. 

Office of Representative Eva Clayton (NC–1), Washington, D.C.; Legislative Assistant, October 1995–June 1997. 

Researched, analyzed, and summarized legislation pertaining to Small Business 

Committee with a special emphasis on minority business development and the 

SBA’s 8(a) program. 

Managed Member’s transportation legislative issues during the reauthorization 

of the ISTEA legislation. 

Staff Assistant, September 1994–October 1995. 

Education 

Georgetown University, Washington, D.C., Bachelor of Science in Foreign Service, May 1994. 

Major: International Politics with a concentration in Diplomacy and International Security. 

Affiliations 

Member and Past President, Congressional Black Associates (CBA). 

Member, Alpha Phi Alpha Fraternity, Incorporated. 

Senator INOUYE. Thank you very much and congratulations. 

May I now call upon Mr. Robert Rivkin? 

STATEMENT OF ROBERT S. RIVKIN, 

GENERAL COUNSEL-DESIGNATE, 

DEPARTMENT OF TRANSPORTATION 

Mr. RIVKIN. Thank you, Chairman Inouye, Ranking Member 

Hutchison, and Members of the Committee. I am proud to appear 

before you today as President Obama’s nominee to serve as General 

Counsel of the Department of Transportation. I deeply appreciate, 

as do my colleagues, Secretary LaHood’s confidence in my ability 

to assist him, if confirmed, with the exciting challenges and opportunities facing our Nation’s transportation system. 

I would also like to thank Senator Durbin for taking the time out 

of his busy schedule to introduce me to the Committee today. 

33 

I would like to introduce my wife, Cindy Moelis, who is here to 

support me today. Our three children, Stephanie, Claire, and Alexander Rivkin, are at school back in Chicago and could not be here 

today. 

Transportation is the lifeblood of our economy, the foundation for 

economic development and job growth, and the tie that binds our 

communities. It is fundamental to farmers and manufacturers who 

ship their goods to markets around the world, as well as to urban 

families trying to get their kids to school, parents to work, grandparents to doctors’ appointments. Helping move people and goods 

affordably, efficiently, sustainably, and most important, safely is at 

the core of our national transportation policy. 

More than any time in recent memory, this moment offers the 

opportunity to return our roads, bridges, and rails to a state of 

good repair, to bring our aviation system into the 21st century, to 

rediscover, reinvigorate, and reinvent freight and passenger rail, to 

better utilize and integrate our maritime assets, and to more tightly knit our transportation resources into a system that is defined 

not by its modes, but by its contribution to our economy, our environment, and our quality of life. 

If confirmed, members of the Committee, I will do my very best 

to bring the skills I developed as a lawyer in private practice, a 

Federal prosecutor, a municipal legal policy director, the general 

counsel of our Nation’s second largest transit system, and a legal 

executive at a multinational financial services company to provide 

the very highest quality legal advice and representation to the Department of Transportation. I will address Congressional mandates 

expeditiously, work to harmonize the efforts of DOT’s operating administrations, seek creative solutions to complex problems, listen 

thoughtfully to the ideas and concerns of others, and work closely 

with the Congress, the EPA, HUD, DHS, Energy, Commerce, and 

other Departments of Government to implement the transportation 

policy goals of this Administration. 

If I am entrusted with the position of DOT General Counsel, I 

will look forward to working closely with the members of this Committee and their staffs, as well as engaging all stakeholders in respectful consultation about the challenges we face together in the 

spirit of openness and fairness that is the hallmark of Secretary 

LaHood’s leadership. 

As Senator Durbin mentioned, I was raised in a family that honored public service, accounting in part for my having left the private sector on prior occasions to work in government. I believe that 

the mission of the Department of Transportation is crucial to the 

economic vitality, environment, and safety of our country, and the 

opportunity to serve as its chief legal officer would be the highest 

honor of my career. 

Thank you very much. 

[The prepared statement and biographical information of Mr. 

Rivkin follows:] 

34 

PREPARED STATEMENT OF ROBERT S. RIVKIN, GENERAL COUNSEL-DESIGNATE, 

DEPARTMENT OF TRANSPORTATION

Thank you, Chairman Rockefeller, Ranking Member Hutchison, and Members of 

the Committee. 

I am proud to appear before you today as President Obama’s nominee to serve 

as General Counsel of the Department of Transportation. I deeply appreciate Secretary LaHood’s confidence in my ability to assist him, if confirmed, with the exciting challenges and opportunities facing our Nation’s transportation system. 

I’d like to thank Senator Durbin for taking the time out of his busy schedule to 

introduce me to the Committee today. I’d also like to introduce my wife, Cindy 

Moelis. Our three children, Stephanie, Claire and Alexander Rivkin, are at school 

back in Chicago and couldn’t be here today. 

Transportation is the lifeblood of our economy, the foundation for economic development and job growth, and the tie that binds our communities. It is fundamental 

to farmers and manufacturers who ship their goods to markets around the world. 

It remains crucial to urban families trying to get their kids to school, themselves 

to work, their parents to doctor’s appointments. Helping move people and goods 

affordably, efficiently, sustainably and—most important—safely is the core of our 

national transportation policy. More than any time in recent memory, this moment 

offers the opportunity to return our roads, bridges and rails to a state of good repair; 

to bring our aviation system into the 21st century; to rediscover, reinvigorate, and 

reinvent freight and passenger rail; to better utilize our maritime resources; and to 

more tightly knit our transportation resources into a system that is defined not by 

its ‘‘modes,’’ but by its contribution to our economy, our environment and our quality 

of life. 

If confirmed, I will do my very best to bring the skills I have developed as a lawyer in private practice, a Federal prosecutor, a municipal legal policy director, the 

general counsel of our Nation’s second largest transit system and a legal executive 

at a multinational financial services company to provide the highest quality legal 

advice and representation to the Department of Transportation. I will address Congressional mandates expeditiously, work to harmonize the efforts of DOT’s operating 

administrations, seek creative solutions to complex problems, listen thoughtfully to 

the ideas and concerns of others, and work closely with the Congress, the EPA, 

HUD, DHS and other departments of government to develop and implement the 

transportation policy goals of this Administration. 

If I am entrusted with the position of DOT General Counsel, I will look forward 

to working closely with the members of this Committee and their staffs, as well as 

engaging all stakeholders in respectful consultation about the challenges we face together, in the spirit of openness and fairness that is the hallmark of Secretary 

LaHood’s leadership. 

I was raised in a family that honored public service, accounting in part for my 

having left the private sector on prior occasions to work in government. I believe 

that the mission of the Department of Transportation is crucial to the economic vitality, environment and safety of our country, and the opportunity to serve as its 

chief legal officer would be the highest honor of my career. 

A. BIOGRAPHICAL INFORMATION

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

Robert Samuel Rivkin (Bob). 

2. Position to which nominated: General Counsel of the Department of Transportation. 

3. Date of Nomination: 4/20/09. 

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

Residence: Information not released to the public. 

Office: 200 E. Randolph, 8th Floor, Chicago, IL 60601. 

5. Date and Place of Birth: December 6, 1960 at Highland Park, Illinois. 

6. Provide the name, position, and place of employment for your spouse (if married) and the names and ages of your children (including stepchildren and children 

by a previous marriage). 

Spouse: Cindy S. Moelis, Director, White House Fellows Program (as of 4/13/09); 

children: Stephanie Moelis Rivkin, 18; Claire Welk Rivkin, 13; Alexander Moelis 

Rivkin, 11. 

35 

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

Harvard College, A.B., 1982. 

Stanford Law School, J.D., 1987. 

8. List all post-undergraduate employment, and highlight all management-level 

jobs held and any non-managerial jobs that relate to the position for which you are 

nominated. (* denotes management position) 

9/82–6/83, Paralegal at Sidley & Austin, London, England. 

12/82–6/83, Aide to Member of Parliament Greville Janner, London, England. 

2184–8184, Intern at the European Commission, Brussels, Belgium. 

6/85–8/85, Summer Associate at Mayer Brown & Platt, Chicago. 

6/86–8/86, Summer Associate at Cleary Gottlieb Steen & Hamilton, New York 

& Paris, France. 

9/86–1/87, Law Student Intern (unpaid), Public Defender Service, Washington, 

D.C. 

6/87–8/87, Summer Associate at Jenner & Block, Chicago. 

9/87–9/88, Law Clerk to Joel M. Flaum, U.S. Court of Appeals for the 7th Circuit, Chicago. 

10/88–4/89, Associate, Sachnoff Weaver & Rubenstein, Chicago. 

4/89–10/94, Assistant U.S. Attorney, Northern District of Illinois, Chicago. 

10/94–1/97, Director of Programs and Policy, City of Chicago Department of 

Law. 

1/97–4/98, Issues Director, John Schmidt for Governor. 

7/98–4/01, Partner, Schiff Hardin & Waite, Chicago. 

4/01–2/04, General Counsel, Chicago Transit Authority.* 

2/04–Present, Vice President & Deputy General Counsel, Aon Corporation, Chicago.* 

9. Attach a copy of your resume. A copy is attached. 

10. List any advisory, consultative, honorary, or other part-time service or positions with Federal, State, or local governments, other than those listed above, within the last 5 years: None. 

11. List all positions held as an officer, director, trustee, partner, proprietor, 

agent, representative, or consultant of any corporation, company, firm, partnership, 

or other business, enterprise, educational, or other institution within the last 5 

years. 

Vice President and Deputy General Counsel—Aon Corporation, 2/04 to present. 

12. Please list each membership you have had during the past 10 years or currently hold with any civic, social, charitable, educational, political, professional, fraternal, benevolent or religious organization, private club, or other membership organization. Include dates of membership and any positions you have held with any organization. Please note whether any such club or organization restricts membership 

on the basis of sex, race, color, religion, national origin, age, or handicap. 

Director, Harvard Club of Chicago. approx. 1992 to 2008, and Regional Director 

of the Harvard Alumni Association, 2001–2004. 

Director, City Year Chicago, 2007–present. 

Director, Leadership Greater Chicago, 2005–present. 

Director, Illinois Chamber of Commerce, 2005–present. 

Board of Governors (2008–present), Transportation Committee (approx. 2002– 

2008) and Business Leaders for Transportation (approx. 2000–2004), all of the 

Metropolitan Planning Council, Chicago. 

Chicago Council on Global Affairs, President’s Circle (and predecessor committees) and 1999 Young Leader, 1999–present. 

Chicago Inn of Court, 2002–present. 

Economic Club of Chicago, 2005–present. 

Standard Club, Chicago, approx. 1999–present. 

Chicago Bar Association, 1998–2007. 

American Bar Association, 1998–present. 

International Bar Association, 2007–2008. 

Personal PAC, 1998–2003. 

36 

Temple Sholom, approx. 1998–present. 

None of these organizations restricts membership on the basis of sex, race, 

color, religion, national origin, ace, or handicap. 

13. Have you ever been a candidate for and/or held a public office (elected, nonelected, or appointed)? No. If so, indicate whether any campaign has any outstanding debt, the amount, and whether you are personally liable for that debt: Not 

applicable. 

14.Itemize all political contributions to any individual, campaign organization, political party, political action committee, or similar entity of $500 or more for the past 

10 years. Also list all offices you have held with, and services rendered to, a state 

or national political party or election committee during the same period. 

7/14/99, $1,200 in-kind contribution (week at vacation home) to Personal PAC. 

10/6/99, $500 to Obama for Congress 2000. 

12/8/99, $500 to Obama for Congress 2000. 

10/11/00, $500 to Personal PAC. 

6/6/01, $500 to John Schmidt for Attorney General. 

7/13/01, $500 to Personal PAC. 

11/8/01, $500 to Personal PAC. 

1/11/02, $500 to John Schmidt for Attorney General. 

9/3/02, $600 in-kind contribution (food) to Lisa Madigan for Attorney General. 

10/3/02, $500 to Personal PAC. 

12/23/02, $1,000 to Friends of Barack Obama. 

12/22/03, $1,000 to Friends of Barack Obama. 

1/16/04, $500 to John Kerry for President, Inc. 

6/18/04, $2,000 to Obama for Illinois, Inc. 

8/6/04, $1,000 to Kerry Victory 2004. 

5/17/05, $1,000 to Obama for Illinois Inc. 

1/27/06, $500 to Citizens for Claypool. 

1/27/06, $500 to Friends of Eisendrath. 

10/19/06, $500 to Friends of Dick Durbin Committee. 

1/16/07, $2,100 to Obama for America. 

8/24/07, $500 to Markell for Delaware. 

9/28/07, $500 to Melissa Bean for Congress. 

10/26/07, $500 to Citizens for James M. Houlihan. 

7/22/08, $500 to Markell for Delaware. 

9/25/08, $2,300 to Obama for America. 

Obama for America, National Finance Committee Member, 2007–2008; Policy 

Coordinator—helped Policy Director set up volunteer policy committees, spring 

2007; Transportation Policy Committee Convenor, 2007–2008; Department of 

Transportation agency review team. September–October 2008; Canvassing and 

GOTV efforts in Iowa, Nevada, Ohio, Pennsylvania, Indiana, Michigan. 

Democratic National Convention, Credentials Committee, August 2008. 

Presidential Transition Agency Review Team, Department of Transportation, 

November–December, 2008. 

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

achievements. 

Special Achievement Award, U.S. Department of Justice, 9/90. 

FBI—recognition in appreciation of invaluable contributions, 10/94. 

IRS—award in appreciation for outstanding assistance, 10/94. 

DEA—recognition in appreciation of outstanding contributions, 10/94. 

ATF—citation in recognition of outstanding assistance, 11/91. 

Cook County Medical Examiner certificate of commendation for outstanding and 

dedicated service during heat wave of 1995. 

Leadership Greater Chicago, Fellow, 1993–1994. 

Chicago Council on Foreign Relations, Young Leader, 1999. 

37 

Chicago Transit Board, Resolution in Appreciation, 2004 

16. Please list each book, article, column, or publication you have authored, individually or with others. Also list any speeches that you have given on topics relevant to the position for which you have been nominated. Do not attach copies of 

these publications unless otherwise instructed. 

I have written no books or publications, and have given no public speeches. I 

wrote two letters to the editor of the International Herald Tribune in 1983–1984, 

and another to the Chicago Sun-Times in the mid–1980s, but I can find no record 

of them. I co-wrote an article in the July–August 2008 Foreign Service Journal, entitled ‘‘Telling Truth to Power,’’ commemorating the 40th Annniversary of the William 

R. Rivkin Award. I have participated as a panelist at small professional gatherings 

over the years, including on litigation and accessibility at the American Public Transit Association Meetings in Monterrey in February 2002; on disclosure in the insurance industry at the University of Chicago Business School in September 2005; on 

corporate social responsibility at the International Bar Association in 2007: and on 

government investigations at an Association of Corporate Counsel lunch in October 

2008. On December 21, 1994, I appeared on the local Chicago public television show 

‘‘Chicago Tonight’’ to discuss the city’s carbon monoxide detector ordinance. On June 

30, 2007, a National Public Radio story on the William R. Rivkin Award featured 

a brief sound bite from my presentation of the award. 

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

before Congress in a governmental or non-governmental capacity and specify the 

date and subject matter of each testimony: Not applicable. 

18. Given the current mission, major programs, and major operational objectives 

of the department/agency to which you have been nominated, what in your background or employment experience do you believe affirmatively qualifies you for appointment to the position for which you have been nominated, and why do you wish 

to serve in that position? 

First, my diverse experience in private practice, Federal prosecution, local government and at a fortune 250 company have provided me with a broad perspective on 

how best to provide effective, practical and ethical legal guidance in a fast-moving 

environment. 

Second, I have successfully managed large legal operations. I was the Chief Legal 

Officer of public agency with $925 million operating budget, $2.8 billion capital program and 11,500 employees, managing a department with 130 employees and a $15 

million budget. In that role supervised inside and outside counsel on legal matters 

including public finance, labor and employment, real estate, contracts, construction, 

information technology, procurement, intellectual property, all categories of litigation and appeals. I also provided strategic direction on key issues facing the agency 

as part of five-member executive management team. As a manager, I re-engineered 

the Law Department to focus on client service and support, and installed new personnel, structure, technology and processes to increase quality and efficiency of the 

legal support function. More recently, as a corporate officer of Aon, an $8 billion 

NYSE insurance brokerage, consulting and risk management company with offices 

in 120 countries, I am responsible for Aon’s legal functions in the Americas, including business counseling, litigation, regulatory affairs, employment law and government affairs. I currently manage over 60 employees and expenditures of over $50 

million for outside counsel. I have helped improve the efficiency and effectiveness 

of Aon’s legal services by adopting and implementing a series of best practices. 

Finally, I have substantial experience dealing with transportation issues and challenges. I was the Chief Legal Officer of the Nation’s second largest public transportation system, the Chicago Transit Authority. For many years I participated in 

Business Leaders for Transportation and the Transportation Committee of Chicago’s 

Metropolitan Planning Council, on whose board now serve. I was the co-leader of 

Obama for America’s Transportation Advisory Committee, and a member of Obama 

for America’s and the Presidential Transition’s Department of Transportation review teams. 

I was raised in a family that honored public service, accounting in part for my 

having left the private sector on prior occasions to engage in government service. 

I believe that the mission of the Department of Transportation is crucial to the economic vitality, environment and safety of our country, and the opportunity to serve 

as its counsel would he the highest honor of my career. 

19.What do you believe are your responsibilities, if confirmed, to ensure that the 

department/agency has proper management and accounting controls, and what experience do you have in managing a large organization? 

As general counsel, I would consider it a top priority to ensure that the Department maintains clear and effective management and accounting controls. As deVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00041 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
38 

scribed above in my answer to question 18, I have experience with managing large 

organizations in the government and private sector, and appreciate the importance 

of clear controls and responsibilities in ensuring efficient and ethical operations. 

20. What do you believe to be the top three challenges facing the department/ 

agency, and why? 

I believe the top three challenges facing the Department of Transportation are to 

effectively and efficiently implement the portion of the stimulus package falling 

under DOT’s jurisdiction; to help Congress develop new surface transportation and 

aviation reauthorization bills reflecting the Nation’s transportation priorities and 

needs: and to provide strong leadership at the FAA leading to better labor relations 

and the development of a new air traffic control system for the Nation. 

B. POTENTIAL CONFLICTS OF INTEREST

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

other continuing dealings with business associates, clients, or customers. Please include information related to retirement accounts. 

I have a 401(k) account with Aon (the Aon Savings Plan). 

2. Do you have any commitments or agreements, formal or informal, to maintain 

employment, affiliation, or practice with any business, association or other organization during your appointment? No. If so, please explain: Not applicable. 

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

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

nominated. 

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will be resolved in 

accordance with the terms of an ethics agreement that I have entered into with tbe 

Department’s designated agency ethics official and that has been provided to this 

Committee. I am not aware of any other potential conflicts of interest. 

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

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

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

of interest in the position to which you have been nominated. 

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will he resolved in 

accordance with the terms of an ethics agreement that have entered into with the 

Department’s designated agency ethics official and that has been provided to this 

Committee. I am not aware of any other potential conflicts of interest. 

5. Describe any activity during the past 10 years in which you have been engaged 

for the purpose of directly or indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public 

policy. 

In 2001, while I was a lawyer at Schiff Hardin, a client engaged me to make some 

inquiries of the City of Chicago regarding the disposition of what I recall was a cityowned industrial park. I registered as a lobbyist with the City of Chicago and made 

a few phone calls on behalf of the client. I do not remember the details of the engagement, which was brief. I have not been engaged by any person or entity since 

then for the purpose of influencing legislation or public policy. 

As an officer of Aon Corporation I supervised company efforts, thus far unsuccessful, to pass Illinois legislation or regulation requiring greater disclosure in the commercial insurance field. I had discussions on this topic with members of the Attorney General’s office, the Division on Insurance of the Illinois Department of Financial and Professional Regulation, and various state legislators. 

Also as a Vice President of Aon Corporation, from 2004 through 2009. I had occasional discussions with Members of Congress and their staffs regarding potential 

legislation to reform the regulation of what are called ‘‘surplus lines’’ of insurance, 

as well as in support of an Optional Federal Charter for the insurance industry. 

In September 2008, I joined an agency review team within the Obama for America 

campaign to identify challenges facing the Department of Transportation. In November, I joined the Presidential Transition Agency Review Team for the DOT which 

prepared a report on these challenges for the incoming Secretary-designee. 

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

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

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Department of Transportation’s ethics official to identify 

potential conflicts of interest. Any potential conflicts of interest will be resolved in 

39 

accordance with the terms of an ethics agreement that I have entered into with the 

Department’s designated agency ethics official and that has been provided to this 

Committee. 

C. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics by, or been the 

subject of a complaint to any court, administrative agency, professional association, 

disciplinary committee, or other professional group? No. If so, please explain: Not 

applicable. 

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

State, or other law enforcement authority of any Federal, State, county, or municipal entity, other than for a minor traffic offense? If so, please explain: No. 

3. Have you or any business of which you are or were an officer ever been involved as a party in an administrative agency proceeding or civil litigation? If so, 

please explain. 

Yes. During, the time I have been an officer of Aon Corporation, Aon and its subsidiaries have had on average over 400 pending matters in U.S. litigation, as well 

as a number of other matters in litigation around the world. As an insurance -‘‘producer’’ regulated by the states. Aon also has a number of administrative matters 

(e.g., premium tax calculation matters. licensing matters, audits) pending with state 

insurance and revenue departments. 

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

any criminal violation other than a minor traffic offense? If so, please explain: No. 

Not applicable. 

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

discrimination on the basis of sex, race, religion, or any other basis? If so, please 

explain: No. Not applicable. 

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

None. 

D. RELATIONSHIP WITH COMMITTEE

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

2. Will you ensure that your department/agency does whatever it can to protect 

Congressional witnesses and whistleblowers from reprisal for their testimony and 

disclosures? Yes. 

3. Will you cooperate in providing the Committee with requested witnesses, including technical experts and career employees, with firsthand knowledge of matters 

of interest to the Committee? Yes. 

4. Are you willing to appear and testify before any duly constituted committee of 

the Congress on such occasions as you may be reasonably requested to do so? Yes. 

RESUME OF ROBERT S. RIVKIN

Legal Experience 

Aon Corporation, Vice President and Deputy General Counsel; For Aon Americas, 

1/08–present; For Litigation and Government Affairs, 2/04–1/08. 

Corporate officer of $8 billion NYSE insurance brokerage. consulting and risk 

management company. Report directly to the global general counsel. Responsible for Aon’s legal functions in the Americas, including business counseling, 

litigation, regulatory affairs, employment law and government affairs. 

Manage 60 employees, annual budget of over $14 million, and outside counsel 

expenses of over $50 million. 

Respond to and resolve investigations by Federal agencies, state attorneys general and insurance commissioners. Lead Aon attorney responding to insurance 

industry investigations. 

Established state and Federal Government affairs function. 

Established legal functions for Canada and Latin America. 

Improved efficiency and effectiveness of legal services by implementing new preferred provider, matter management, early case assessment, and electronic billing programs. 

Chicago Transit Authority, 4/01–2/04, General Counsel. 

40 

Chief Legal Officer of public agency with $925 million operating budget, $2.8 

billion capital program and 11,500 employees, reporting to the President and 

Board of Directors. Managed a department with 130 employees and a $15 million budget; supervised inside and outside counsel on legal matters including 

public finance, labor and employment, real estate, contracts, construction, information technology, procurement, intellectual property, all categories of litigation 

and appeals. 

Provided strategic direction on all key issues facing the agency as part of fivemember executive management team. 

Re-engineered Law Department to focus on client service and support. 

Installed new personnel, structure, technology and processes to increase quality 

and efficiency of the legal support function. 

Schiff, Hardin & Waite, 7/98–4/01, Partner. 

Litigated commercial cases for clients such as Pepsi, Outboard Marine, AT&T, 

Allegiance Telecom, and the City of Chicago. 

Conducted corporate internal investigations relating to alleged fraud, theft and 

misappropriation of funds. 

Represented clients in state regulatory enforcement actions. 

Defended corporations, targets, subjects, and witnesses in state and Federal 

white-collar criminal investigations of healthcare, contracting and tax fraud. 

City of Chicago Department of Law, 10/94–1/97, Director of Programs and Policy. 

Advised Office of the Mayor and City commissioners on broad range of legal policy matters. 

Managed special projects relating to the 1996 Democratic National Convention, 

administrative adjudication system, internal investigations, and other matters. 

Office of the United States Attorney, Northern District of Illinois, 4/89–10/94, Assistant United States Attorney. 

Investigated and prosecuted white collar fraud—including mail, wire, insurance 

and securities fraud—as well as RICO, tax and public corruption violations. 

Tried 24 jury trials and numerous appeals. 

Received Special Achievement Award from U.S. Department of Justice and commendations from the FBI, IRS, DEA, and ATF. 

Sachnoff & Weaver, 10/88–4/89, Litigation Associate. 

U.S. Court of Appeals for the Seventh Circuit, 9/87–9/88, Law Clerk to Judge Joel 

M. Flaum. 

Education 

Stanford Law School, J.D., 1987; Associate Editor, Stanford Law Review. 

Harvard College, A.B., 1982; Magna Cum Laude in Social Studies. 

Other Experience 

John Schmidt for Governor Campaign, Issues Director (Chicago), 1/97–4/98. 

Commission of the European Communities. Stagiaire (Brussels), 2/84–8/84. 

Greville Janner, QC, MP, Parliamentary Aide (London), 12/82–6/83. 

U.S. Senator Charles Percy, Senate Intern (Washington, D.C.), 6/81–8/81. 

Boards/Affiliations 

City Year Chicago, Director. 

Illinois Chamber of Commerce, Director. 

Leadership Greater Chicago, Director and Fellow. 

Metropolitan Planning Council, Board of Governors and Transportation Committee. 

Chicago Council on Global Affairs, President’s Circle and Young Leader 1999. 

Chicago Inn of Court, Member. 

Economic Club of Chicago, Member. 

William R. Rivkin Award (American Foreign Service Association), Judge. 

Democratic National Committee, Credentials Committee, 2008. 

Obama for America, National Finance Committee, Policy Development Committees, 2007–2008. 

41 

Federal Defender, N.D. IL, Panel Attorney. 1999–2001. 

Harvard Club of Chicago. Director, 1992–2008. 

Harvard Alumni Association, Regional Director, 2001–2004. 

Personal PAC, Director, 1998–2003. 

Admitted to practice in Illinois, the Northern District of Illinois (trial bar) and the 

U.S. Seventh Circuit Court of Appeals. Languages: French (fluent), Spanish (fair). 

Senator INOUYE. I thank you very much, Mr. Rivkin. 

I will have to relinquish the chair to Senator Dorgan. I have a 

prior commitment. Mr. Chairman, may I ask that my questions be 

submitted? 

STATEMENT OF HON. BYRON L. DORGAN, 

U.S. SENATOR FROM NORTH DAKOTA 

Senator DORGAN [presiding]. Without objection. 

The next order of business will be to hear from Mr. Roy Kienitz. 

Mr. Kienitz, you may proceed. Your entire statement will be made 

a part of the permanent record. 

STATEMENT OF ROY W. KIENITZ, UNDER SECRETARYDESIGNATE, DEPARTMENT OF TRANSPORTATION 

Mr. KIENITZ. Thank you, sir. Good afternoon, Mr. Chairman, 

Ranking Member Hutchison. Once again, my name is Roy Kienitz, 

and I am the President’s nominee for Under Secretary of Transportation for Policy. 

A little about myself. I began my professional career in this 

building two floors up working for Senator Daniel Patrick Moynihan of New York, and for those of you who knew him, knew him 

to be a great advocate of many things in transportation policy. And 

I learned many of my most valuable lessons from him. 

Since then, I have worked in the nonprofit sector and in State 

government in the State of Maryland and most recently for Governor Ed Rendell in Pennsylvania where I was Deputy Chief of 

Staff, another well-known advocate of infrastructure investment. 

So I have helped shape transportation policy at the staff level 

here in the Senate in the Federal Government and then had to 

help implement it at the State level, and I hope that that will give 

me a balanced perspective of what is required to take the ideas we 

have here and turn them into practical policies on the ground. 

My primary goal at the Department working in the policy area 

will be to implement the President’s and the Secretary’s policy 

ideas. So far, I think that that can be summarized in four key 

areas, many of which have already been mentioned, the first of 

which is, obviously, the economy. We have lost millions of jobs over 

the last 2 years, and the Department has been fortunate enough 

to participate in the economic recovery bill, which included $48 billion in transportation investment. So far, $37 billion of that has actually been made available to grantees of one kind or another and 

projects are already getting underway. Just last week, the President came to the Department’s building and with Secretary 

LaHood announced the 2,000th transportation project being released by the Federal Government. So that work is already underway. 

42 

Obviously, however, the short-term investments that are necessary for economic recovery also need to have long-term benefits, 

and that will be, obviously, a big focus of the Department. 

Second, when we make investments, we need to improve the sustainability of the transportation system. This is, obviously, a key 

priority for the President across the Government and will, as such, 

be a key priority for the Department of Transportation. Examples 

of those kinds of investments include the strategic plan for highspeed rail that was announced by the President last week, as called 

for in the Recovery Act, and billions of dollars of investment that 

will go into that. 

A third priority and one of particular concern to the Secretary is 

something that many people call livability, and these are sort of 

transportation investments that are uniquely tailored to the communities into which they are put. In more populated areas, that 

can be things like walking, biking, public transportation, things 

that make it easier for people to avoid traffic. In less populated 

communities, that can be reviving main streets or connecting rural 

communities. The key idea there, I think, is tailoring the investment very carefully to the place where it is made rather than a 

one-size-fits-all solution. 

On March 19, Secretary LaHood and Secretary Donovan announced the beginning of a partnership between the Department of 

Housing and Urban Development and Transportation on this very 

subject. 

Finally, obviously, something that has been mentioned. Safety is 

one of the first missions that was given to the Department of 

Transportation upon its creation in 1966, and that continues to be 

a major focus today. That will, obviously, be part of my focus if I 

have the good fortune to be confirmed. 

So these areas, economic competitiveness, sustainability, livability, and safety, are priorities, and I believe if we can focus our 

transportation policy around those areas, it will be successful for 

the country. As Senator Hutchison mentioned, we will have the opportunity potentially for both aviation and surface reauthorization 

this year, and if I have the honor of being confirmed, I look forward 

to working with the members of the Committee on those issues. 

I will be happy to respond to any questions the members have. 

Thank you, sir. 

[The prepared statement and biographical information of Mr. 

Kienitz follows:] 

PREPARED STATEMENT OF ROY W. KIENITZ, UNDER SECRETARY-DESIGNATE, 

DEPARTMENT OF TRANSPORTATION

Chairman Rockefeller, Ranking Member Hutchison, Members of the Committee, 

it is an honor for me to appear before you today as President Obama’s nominee for 

Undersecretary of Transportation for Policy. 

I began my professional career in this very building, working for Senator Daniel 

Patrick Moynihan of New York. Those of you who knew him will remember his 

great passion for transportation policy. I learned many of my most valuable lessons 

from him. Since then I have worked in the non-profit sector and in state government. I ran the State Department of Planning in Maryland and most recently 

served as Deputy Chief of Staff to Governor Ed Rendell of Pennsylvania, another 

man with a passion for infrastructure investment. I have helped shape transportation polices at the Federal level and helped implement them at the state level, 

43 

and I hope this experience will help me take on the policy role at DOT with a balanced perspective if I have the honor of being confirmed. 

My primary goal at the Department, if confirmed, will be the implementation of 

President Obama and Secretary LaHood’s priorities for transportation. So far this 

seems to break down into four key areas. 

First is the economy. As we all know, millions of jobs have been lost in 2008 and 

2009. The inclusion of $48 billion for transportation projects in the American Recovery and Reinvestment Act has allowed the Department to be part of the recovery 

effort. Of the $48 billion provided, nearly $37 billion has already been released to 

states and other grantees. On April 13, the President and Secretary LaHood announced the 2,000th transportation project funded by the Recovery Act. Jobs are already being created across the country. The right investments today will also pay 

dividends over the long term by, for example, repairing existing infrastructure in 

all modes of transportation and improving the efficiency of freight movement so our 

exports are more competitive. 

Second, as we make these investments, we must improve the environmental sustainability of our transportation system. President Obama and Secretary LaHood 

are committed to this goal and so am I. 

A third priority is the pursuit of what some call livability. For surface transportation, this means finding ways to make investments that meet the needs of each 

individual community. Every city and small town across the country has its own 

unique transportation concerns. For more populated areas, a main consideration 

may be better opportunities for public transportation, biking, walking or other 

methods to help people avoid traffic congestion. For rural areas, we might focus 

more on safety and ensuring connectivity to surrounding communities. We must be 

mindful of these varying needs and realize that we cannot create a one-size-fits-all 

method of funding transportation projects. 

On March 19, Secretary LaHood and Secretary Donovan announced an interagency partnership between HUD and the Department of Transportation to address 

sustainable and livable communities. Work is already underway. 

Finally, safety in all modes of travel has always been and must continue to be 

a central focus of the Department of Transportation. This goal will remain the highest priority for the Department and its work force. If confirmed, you can rely on my 

full dedication to ensuring American citizens are provided with safe and secure 

means of transportation. 

The areas of economic recovery, sustainability, livable communities, and safety 

are high priorities for Secretary LaHood and, if confirmed, will be my priorities as 

well. I believe a transportation system that meets these goals is vital to our longterm national interest. 

In 2009, Congress and the Obama administration will have the opportunity to set 

long term policy goals for both our aviation and surface transportation programs. 

If I am confirmed, I hope to be actively engaged with you in these discussions. 

To conclude, Mr. Chairman, thank you again for scheduling this hearing. I would 

like to reiterate my desire to work with this Committee as policy and funding matters are discussed and debated, and I will be happy to respond to any questions you 

and the members of the Committee may have. Thank you. 

A. BIOGRAPHICAL INFORMATION

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

2. Position to which nominated: Under Secretary of Transportation for Policy, 

United States Department of Transportation. 

3. Date of Nomination: March 16, 2008. 

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

Residence: Information not released to the public. 

5. Date and Place of Birth: September 14, 1962; Mountain View, CA. 

6. Provide the name, position, and place of employment for your spouse (if married) and the names and ages of your children (including stepchildren and children 

by a previous marriage). 

Spouse: Katherine L. Kincade, Self-employed consultant to DC Housing Enterprise. 

Children: Simon D. Kienitz Kincade, Age 12; Asa M. Kienitz Kincade, Age 9. 

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

University of California at Santa Barbara, BA, 1983. 

44 

8. List all post-undergraduate employment, and highlight all management-level 

jobs held and any non-managerial jobs that relate to the position for which you are 

nominated. 

United States Peace Corps, Volunteer, 1983–1986. 

Senator Daniel Patrick Moynihan, various positions including Chief of Staff, 

1987–1988, 1993–1994. 

U.S. Senate Committee on Environment and Public Works, Professional Staff 

Member, Deputy Staff Director, 1988 to 1993. 

Center for Clean Air Policy, Director of International Transportation Program, 

1995. 

Surface Transportation Policy Project, Assistant Director, Executive Director, 

1995 to 2001. 

Maryland Department of Planning, Secretary, 2001 to 2003. 

Governor Ed Rendell, Pennsylvania, Deputy Chief of Staff, 2003 to March 2009. 

Senior Advisor to the Secretary, U.S. Department of Transportation, March 

2009—Present. 

9. Attach a copy of your resume. A copy is attached. 

10. List any advisory, consultative, honorary, or other part-time service or positions with Federal, State, or local governments, other than those listed above, within the last 5 years: None. 

11. List all positions held as an officer, director, trustee, partner, proprietor, 

agent, representative, or consultant of any corporation, company, firm, partnership, 

or other business, enterprise, educational, or other institution within the last 5 

years. 

Chairman of the Board, Building America’s Future. 

12. Please list each membership you have had during the past 10 years or currently hold with any civic, social, charitable, educational, political, professional, fraternal, benevolent or religious organization, private club, or other membership organization. Include dates of membership and any positions you have held with any organization. Please note whether any such club or organization restricts membership 

on the basis of sex, race, color, religion, national origin, age, or handicap. 

Franklin Knolls Swim Club, 2003 to present. No membership restrictions. 

13. Have you ever been a candidate for and/or held a public office (elected, nonelected, or appointed)? If so, indicate whether any campaign has any outstanding 

debt, the amount, and whether you are personally liable for that debt. 

I have never been a candidate for elective office. I have been a political appointee 

in my last two jobs (Office of Governor Rendell and Maryland Department of Planning.) There is no debt. 

14. Itemize all political contributions to any individual, campaign organization, 

political party, political action committee, or similar entity of $500 or more for the 

past 10 years. Also list all offices you have held with, and services rendered to, a 

state or national political party or election committee during the same period. 

$500 to John F. Kerry For President, 7/11/2004. 

$500 to Friends of Kathleen Kennedy Townsend, candidate for Governor of 

Maryland, 5/30/02. 

$500 to Friends of Kathleen Kennedy Townsend, candidate for Governor of 

Maryland, 10/20/02. 

No party offices held. 

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

achievements. 

Governor’s Citation, for assistance to LaPlata, MD in rebuilding after the most 

severe tornado in Maryland history, 2002. 

Special Recognition Award, National Park Service, U.S. Department of the Interior, 2000. For work promoting new transportation strategies for National 

Parks. 

Award, for Leadership in Intergovernmental Cooperation, National Association 

of Regional Councils, 1992 (In recognition of work on Intermodal Surface Transportation Efficiency Act of 1991). 

16. Please list each book, article, column, or publication you have authored, individually or with others. Also list any speeches that you have given on topics relVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00048 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
45 

evant to the position for which you have been nominated. Do not attach copies of 

these publications unless otherwise instructed. 

‘‘Blueprint for ISTEA Reauthorization’’, Surface Transportation Policy Project, 

1997. 

‘‘TEA–21 Users Guide’’, Surface Transportation Policy Project, 1998. ‘‘Road 

Work Ahead: Is Construction Worth The Wait?’’, Surface transportation Policy 

Project, 1999. 

‘‘Minority Report’’, Governor’s Transportation Solutions Group, State of Maryland, 1999, signatory. 

‘‘Mean Streets’’, Surface transportation Policy Project, 2000. 

‘‘Driven to Spend’’, Surface Transportation Policy Project, 2000. 

‘‘Greetings From Smart Growth America’’, Smart Growth America, 2001, co-author. 

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

before Congress in a governmental or non-governmental capacity and specify the 

date and subject matter of each testimony. 

Senate Environment and Public Works Committee, March 18, 1999; transportation policy. 

Senate Environment and Public Works Committee, April 15, 1999; transportation policy. 

Senate Environment and Public Works Committee, April 29, 1999; transportation policy. 

House Transportation and Infrastructure Committee, July 27, 1999; transportation policy. 

Senate Banking, Housing and Urban Affairs Committee, October 8, 2002; transportation policy. 

18. Given the current mission, major programs, and major operational objectives 

of the department/agency to which you have been nominated, what in your background or employment experience do you believe affirmatively qualifies you for appointment to the position for which you have been nominated, and why do you wish 

to serve in that position? 

I have 20+ years experience in transportation policy at the Federal and state level 

in both executive and legislative positions, have authored multiple reports on transportation policy, and have testified before Congress on multiple occasions as a transportation policy expert. 

19. What do you believe are your responsibilities, if confirmed, to ensure that the 

department/agency has proper management and accounting controls, and what experience do you have in managing a large organization? 

Along with the other managers at USDOT, if confirmed I will be responsible for 

assuring proper management and accounting controls. I have management experience from helping to guide and manage large capital projects in my work in state 

government, have been the head of a state government agency, and have run a nonprofit organization. 

20. What do you believe to be the top three challenges facing the department/ 

agency, and why? 

1. Effective and open implementation of the nearly $50 billion in transportation 

funding included in the American Recovery and Reinvestment Act. 

2. Prompt reauthorization of the FAA’s programs to allow for quick and effective 

implementation of upgrades to the Nation’s air traffic control system. 

3. Reauthorization of the Nation’s surface transportation programs. 

B. POTENTIAL CONFLICTS OF INTEREST

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

other continuing dealings with business associates, clients, or customers. Please include information related to retirement accounts. 

PA state retirement, expected payments for immediate retirement. 

2. Do you have any commitments or agreements, formal or informal, to maintain 

employment, affiliation, or practice with any business, association or other organization during your appointment? If so, please explain: No. 

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

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

nominated: None. 

46 

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

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

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

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

5. Describe any activity during the past 10 years in which you have been engaged 

for the purpose of directly or indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public 

policy. 

As part of my employment with the Surface Transportation Policy Project (1995– 

2001) a portion of my work consisted of making recommendations on behalf of the 

organization regarding funding and policy in Federal transportation legislation. 

These recommendations related most directly to the Transportation Equity Act for 

the 21st Century (TEA–21), P.L. 105–206. STPP also made recommendations regarding the execution of laws and policy-making by USDOT. 

As part of my employment for Governor Rendell, I have been part of various efforts to support, oppose or affect legislation and the execution of laws as they affect 

the State of Pennsylvania, up to and including the Congressional debate over what 

later became the American Recovery and Reinvestment Act. 

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

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

If confirmed, I will follow the advice of USDOT counsel to assure that no conflict 

of interest occurs. 

C. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics by, or been the 

subject of a complaint to any court, administrative agency, professional association, 

disciplinary committee, or other professional group? If so, please explain: No. 

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

State, or other law enforcement authority of any Federal, State, county, or municipal entity, other than for a minor traffic offense? If so, please explain: No. 

3. Have you or any business of which you are or were an officer ever been involved as a party in an administrative agency proceeding or civil litigation? If so, 

please explain: No. 

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

any criminal violation other than a minor traffic offense? If so, please explain: No. 

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

discrimination on the basis of sex, race, religion, or any other basis? If so, please 

explain: No. 

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

None. 

D. RELATIONSHIP WITH COMMITTEE

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

2. Will you ensure that your department/agency does whatever it can to protect 

Congressional witnesses and whistleblowers from reprisal for their testimony and 

disclosures? Yes. 

3. Will you cooperate in providing the Committee with requested witnesses, including technical experts and career employees, with firsthand knowledge of matters 

of interest to the Committee? Yes. 

4. Are you willing to appear and testify before any duly constituted committee of 

the Congress on such occasions as you may be reasonably requested to do so? Yes. 

RESUME OF ROY W. KIENITZ

Experience: Government 

Deputy Chief of Staff, Governor Edward G. Rendell, Pennsylvania, 2003–Present. 

Team leader for major initiatives on transportation, alternative energy, environment. Oversee major capital projects: PA Convention Center expansion, Pittsburgh sports arena, Port of Philadelphia. Guide media strategy and appear on 

TV, radio and in print. Politics, strategy, budgeting, problem solving. 

Transportation: 

Fix It First. Implemented policy prioritizing repair of existing roads over new 

construction. 

47 

Public-Private Partnership. Personally structured terms for 75-year lease of PA 

Turnpike Leading to winning bid of $12.8 billion, largest such bid in the U.S. 

so far. 

Tolls. Negotiated legislation to add $1+ billion/year in new funding and authorize new tolls on 1–80; first state to approve tolls for existing free Interstate 

highway. 

Labor. Personally mediated round-the-clock negotiations on labor contracts for 

Philadelphia and Pittsburgh transit authorities; ended strike in Philadelphia, 

prevented strike in Pittsburgh. 

Transit. Developed and implemented plan to ‘flex’ $450 million of road funds 

to transit after legislature blocked original transit funding proposal. Prevented 

service cuts and layoffs. 

Alternative Energy: 

Conservation. Led administration effort to enact new energy savings mandates 

for all electric utilities. 

Renewables. Enacted legislation requiring 18 percent of electricity to come from 

alternative sources. 

Investment. Developed a negotiated passage of $625 million alternative energy 

fund. 

Green Jobs. Helped attract wind turbine maker Gamesa to build 2 plants and 

create 1,000 green jobs. 

Environment: 

Growing Greener. Personally developed $825 million plan for open space preservation and community reinvestment. Proposal was approved by legislature and 

voter referendum. 

Clean Cars. Implemented plan for PA to opt-in to CA car regulations, including 

CO2 limits. 

Mercury. Won approval for plan to cut mercury emissions below limits allowed 

by Bush Administration. 

Secretary, Maryland Department of Planning, 2001–2003. 

Implemented state’s Smart Growth policies. Staff of 130, $10 million budget. 

Redevelopment. Emphasis on getting mixed-use, transit-oriented projects funded 

and built. 

Land Preservation. Guided state funding for preserving agricultural a sensitive 

lands. 

Local Government. Led state participation in key local government development 

decisions. 

Chief of Staff, Senator Daniel Patrick Moynihan, 1993–1995. Ran personal staff 

of 50 for Senior Senator from New York and Senate Finance Committee Chair. 

Politics. Coordinated with successful 1994 campaign. 

Legislation. Oversaw legislative agenda including budget, taxes, health care. 

Media. Guided press strategy for Washington, New York and national media. 

Deputy Staff Director, Environment and Public Works Committee, U.S. Senate, 

1992–1993; Professional Staff Member, 1988–1992. Staff of 30, $2 million budget. 

Transportation. Conceived, drafted and managed landmark 1991 transportation 

bill (ISTEA). 

Other Issues. Major work on Clean Air Act, water quality, Corps of Engineers, 

nuclear energy. 

Experience: Research and Advocacy 

Executive Director, Surface Transportation Policy Project, 1998–2001; Deputy Director, 1996–1998. 

Advocated for innovation in transportation policy: smart growth, better use of 

transit, environmental sensitivity, Less reliance on one-size-fits-all highway design. 

Policy. Primary voice for progressive transportation policy at the national level. 

Coalition Building. Coordinated with 200 partner organizations. 

48 

Management and Fundraising. Ran four offices; raised and managed $2 million/ 

year budget. 

Director, International Transport Program, Center for Clean Air Policy, 1995– 

1996. 

Worked with policymakers in U.S., Canada and Europe on new transportation, 

land use and air quality strategies. 

Education 

B.A., Aquatic Biology, University of California at Santa Barbara, 1980–1983. 

Graduated in 3 years. 

Honors and Awards 

Governor’s Citation, for assistance to LaPlata, MD after the state’s worst recorded tornado, 2002. 

Special Recognition Award, National Park Service, U.S. Department of the Interior, 2000. For work promoting new transportation strategies for National 

Parks. 

Award, for Leadership in Intergovernmental Cooperation, National Association 

of Regional Councils, 1992, in recognition of work on the 1991 transportation 

bill (ISTEA.) 

Affiliations 

Building America’s Future, Board of Directors, 2008. Non-profit started by Gov. 

Rendell, Gov. Schwarzenegger and Mayor Bloomberg to promote smarter investment in infrastructure. 

Pennsylvania Green Ribbon Commission, Member, 2004. Assessed methods to 

invest in open space, community revitalization and environmental improvement. 

Smart Growth America, Founding Chair, 2000–2001. National coalition to promote smart growth. 

National Neighborhood Coalition, Board of Directors, 2001. 

Center for Transportation & the Environment, North Carolina State University, 

Board of Advisors, 1998–2001. 

Environmental Excellence Awards, Federal Highway Administration, Judge, 

1999. 

Maryland Transportation Solutions Group, Member, 1998–1999. Appointed by 

Governor to panel assessing investment options for Montgomery and Prince 

George’s Counties, MD. 

Congressional Observer Group, United Nations Conference on Environment and 

Development (The Earth Summit), Rio de Janeiro, 1992. 

Subcommittee on Planning and Policy Review, Transportation Research Board, 

National Academy of Sciences, 1992. 

Publications 

Driven To Spend: The Impact of Sprawl on Household Transportation Expenses, 

Surface Transportation Policy Project (with Barbara McCann, Ryan TraceyMooney, Scott Bernstein and Reid Ewing), 1999. 

TEA–21 User’s Guide, Surface Transportation Policy Project (with Elizabeth 

Thompson), 1998. 

A Blueprint for ISTEA Reauthorization: A Common Sense Guide to Transportation Priorities for the 21st Century, Surface Transportation Policy Project, 

1997. 

Personal 

Married, father of two 

Former Peace Corps Volunteer, Ecuador 

Fluent Spanish 

Aspiring triathlete 

Senator DORGAN. Mr. Kienitz, thank you very much. 

I have asked whether those of you who are here for your nomination hearing had introduced your families or whether you wished 

to introduce your families. I suspect that some of you have your 

families present. Would any of you wish to do that at this point? 

49 

Mr. RIVKIN. We did, Mr. Chairman. 

Senator DORGAN. You have. All right. 

My understanding also is that Senator Warner wished to introduce or say a few words about one of the—— 

STATEMENT OF HON. MARK WARNER, 

U.S. SENATOR FROM VIRGINIA 

Senator WARNER. Mr. Chairman, I wanted to simply indicate my 

support for Peter Appel who is from Virginia and as somebody from 

Virginia, understands the enormous challenges we have in transportation. I would like to submit for the record my introduction 

comments, as he has already spoken. 

Senator DORGAN. Without objection. 

[The prepared statement of Senator Warner follows:] 

PREPARED STATEMENT OF HON. MARK WARNER, U.S. SENATOR FROM VIRGINIA

Chairman Rockefeller and Ranking Member Hutchison, thank you for holding this 

important hearing. I want to introduce and lend my support to Mr. Peter Appel, of 

Alexandria, Virginia, who has been nominated by President Obama to be the Administrator of the Research and Innovative Technology Administration (RITA) at 

the U.S. Department of Transportation. 

Peter has focused for more than 20 years on innovative problem solving and forward-looking policy development in transportation and is the right person to lead 

RITA at this critical time. He brings a deep background in both technology and 

transportation. Following his studies in Computer Science and Economics at Brandeis University, he completed his Master of Science in Transportation at MIT, focusing on using computer technology to optimize transportation networks. Since then, 

he has worked in both the public and private sectors across every mode of transportation. Peter has led key initiatives at Amtrak, at the Federal Aviation Administration, and as a management consultant for clients in ocean shipping, rail, aviation, 

trucking, and transportation infrastructure development. His work has helped these 

organizations improve their day- to-day operations and develop and implement longterm strategic plans. 

Coming from Virginia, which faces some of the most significant transportation 

challenges in the nation, I understand the critical need to bring our Nation’s best 

thinking to address transportation issues. And having been a business leader in the 

high-tech industry for twenty years, I can attest to the importance of applying innovative technology to address our Nation’s challenges. The Research and Innovative 

Technology Administration is positioned to play a key role in ensuring that our 

transportation investments effectively use technology and solid analysis to ensure 

the most positive impact on the lives of Americans. In Virginia, we embraced accountability and technology to fix and restore public confidence in Virginia’s transportation system. 

With Peter’s background in technology, rigorous analysis, and innovative problem 

solving, we look forward to a similar approach which will help our Nation reestablish a sound and effective transportation policy. I look forward to working with 

Peter Appel on the transportation challenges we face, and I urge my colleagues to 

quickly confirm him. Thank you, Mr. Chairman. 

Senator DORGAN. Although I was not here for the first part of the 

hearing, let me thank all of you for your willingness to serve your 

country and serve in the Department of Transportation in some 

very, very important positions. 

Senator Hutchison? 

Senator HUTCHISON. Thank you, Mr. Chairman. 

I would like to ask each of you to answer individually, starting 

with Mr. Appel, if you will work with members of this Committee 

on both sides, the Republicans and the Democrats, to provide the 

information that we would ask for and to give us any updates that 

you think are relevant to our oversight role. Mr. Appel? 

50 

Mr. APPEL. Yes, I will absolutely work with this Committee. I 

consider it an extremely valuable part of doing the job for which 

I am nominated. 

Senator HUTCHISON. Thank you. 

Mr. Szabo? 

Mr. SZABO. Senator, I most definitely look forward to working 

with the Committee in a very open manner. 

Senator HUTCHISON. Thank you. 

Mr. Gresham? 

Mr. GRESHAM. Yes, absolutely. I would consider that a primary 

responsibility of this office. 

Senator HUTCHISON. Thank you. 

Mr. Rivkin? 

Mr. RIVKIN. Yes, Senator. 

Mr. KIENITZ. Yes, ma’am. Obviously, that is a big priority of the 

Secretary as well, to do that on a bipartisan basis. 

Senator HUTCHISON. Thank you. 

I have a question for Mr. Szabo. Amtrak, our national rail system, is very important to many states, mine included. At Secretary 

LaHood’s confirmation hearing, I asked him if he was committed 

to a national system for Amtrak to continue to pursue, and I will 

ask you that same question because, of course, you have a major 

role in Amtrak. I want to know if you are committed to a national 

system that covers all of the lines that are now in existence and 

what would be your thoughts, if you do, on how you would go forward helping to further develop those lines. 

Mr. SZABO. Well, Senator, most definitely I believe in a national 

network. I believe that that needs to be the backbone of our passenger rail program, and obviously, then the development of the 

high-speed rail corridors and such which start overlaying on top of 

that national network. In many ways, this is very similar to what 

has been done in Europe where the different levels of rail overlay 

each other, feed each other, supplement each other. So you will 

have your commuter railroads. You will have your regional corridors, and then you will have your national rail network. We consider that a priority. 

Senator HUTCHISON. Thank you. I certainly agree with you, and 

I think it is so important that we look at it from the national perspective and not just one line in the Northeast, which is important, 

but it is not everything. Let me ask you about the stimulus package, which allocated $8 

billion for high-speed rail projects. How would you, working with 

the Secretary, propose to designate funds for communities that 

have the best prospects for a high-speed rail projects, and how 

would you envision that funding being allocated? 

Mr. SZABO. Obviously, if confirmed, I think it is imperative that 

we have a merit-based application process that is very fair, very 

transparent, and we ensure that the dollars go to where we get the 

best return on our investment. 

Senator HUTCHISON. So you would be working with the Secretary 

to come up with criteria that you think would be a fair and open 

process. 

Mr. SZABO. Absolutely. 

Senator HUTCHISON. Thank you. 

51 

Mr. Kienitz, one of the areas where Senator Rockefeller and I 

have worked very hard in the last Administration, and we almost 

passed the FAA reauthorization with NextGen included. In fact, we 

also worked on an amendment in the stimulus to try to get a head 

start on NextGen, but it was not put in the bill. There was a resistance to having amendments to that bill. So we did not get that. But 

it is important to both the Chairman and myself that we have the 

NextGen and a concept and a funding mechanism to go forward. 

What is your thought about how we might jump start NextGen 

for the FAA? 

Mr. KIENITZ. Thank you, ma’am. I think there are two pieces to 

it from my perspective, the first of which, obviously, is a funding 

source. And that was the source of the disagreement last year, I 

think, in Secretary LaHood’s private conversations with you that I 

was present at and in his public statements has indicated a very 

strong desire to achieve agreement on that question. I think last 

year, it is fair to say, there was a lot of interest in the topic and 

then perhaps not quite enough interest in reaching agreement on 

the topic. And I think his view is there are a lot of good ideas about 

how to finance it, but the most important idea is the idea of let us 

agree to something and get it done so we can start down the road. 

The second piece is an implementation strategy by the Department and the FAA that inspires confidence, and that is something 

also that the Secretary has identified as one of the chief assignments that he will give the FAA Administrator when that person 

is confirmed and on board to roll out a plan that contains schedules 

that you all can have confidence and bring that system to fruition 

as quickly as possible. 

Senator HUTCHISON. Well, I think we finally came to pretty 

much an agreement on the funding, and we were still working on 

it. But one of the issues that held it up was a disagreement about 

air traffic control contracts and reopening a contract that has been 

negotiated. Are you going in with a view about reopening the air 

traffic controllers contracts or do you consider that settled and we 

should go forward? What is your view on that? 

Mr. KIENITZ. I think that the Secretary’s view has been that the 

current situation is perhaps not perfect although, as you say, the 

terms that were imposed a couple of years ago are currently in 

place. I think that he takes the optimistic view that perhaps we 

could come to some kind of understanding about terms going forward that will inspire a higher level of morale among controllers 

and more confidence going forward in the future. He has not described in any specifics what exactly he thinks that needs to be, 

but once again, that is, I think, one of the two top priorities he has 

identified for the FAA Administrator, is to look into that issue to 

see if some kind of change that improves morale among controllers 

can be agreed to. 

Senator HUTCHISON. Well, we will have an FAA Administrator, 

I am sure, to discuss that with, and it will be a major topic of interest because there is much disagreement. That is what really held 

up the NextGen and the FAA reauthorization, and there was 

strong disagreement. So I will just put that out there and we will 

talk to the FAA Administrator about it at a later time. 

Thank you, Mr. Chairman. 

52 

Senator DORGAN. Senator Johanns. 

STATEMENT OF HON. MIKE JOHANNS, 

U.S. SENATOR FROM NEBRASKA 

Senator JOHANNS. Mr. Chairman, thank you very much, and to 

the panel, congratulations. It is a great honor just to be here, and 

having sat where you sat 4 or 5 years ago, I just want to underscore that. 

I am going to ask a question to the whole panel, if I could, because I am kind of searching for some expertise here. Has anybody 

on this panel ever worked rural transportation issues, roads, intrastate, air service, that sort of thing? Does somebody want to jump 

in on that one? 

Mr. KIENITZ. In my prior work, I worked for Governor Rendell in 

Pennsylvania, and although we have big metropolitan areas, a lot 

of Pennsylvania is very, very rural. So a big area of focus was really three things, I would say, the first of which was trying to maintain commercial air service to our small airports. Regardless of 

whatever the EAS program does or does not allow, we had major 

struggles with our major airlines trying to serve those smaller communities. 

The second of which is really a lot of money invested in rural 

roads which, anyone who has driven in Pennsylvania knows, are 

not that great in a lot of places. 

The third of which is we struggled very much to support rural 

transit systems, particularly for people with disabilities or others 

who do not have the ability to drive. I think by now, we have almost all the counties covered by rural transit of one kind or another. 

Senator JOHANNS. Both areas that you mentioned, transportation 

via air and roads, are hugely important in the State that I come 

from. We have really no intrastate air transportation system, and 

the difficulty with roads in rural areas is, of course, that they will 

not have the traffic count that a major metropolitan area would 

have. 

How would you deal with that issue as we start thinking about 

the highway reauthorization bill and funding? How do you get 

money into these rural communities that desperately need these 

roads for farm to market, just simple transportation needs? 

Mr. KIENITZ. I think, Senator, the Senate in particular has a tradition of making sure that that issue receives—there are a lot of 

Senators who represent a lot of rural communities—to make sure 

that initially formula allocations are not, for example, based entirely on where traffic is or population or something. So the highway funding formulas have traditionally been perhaps somewhat 

more friendly to very rural areas which do not have the ability to 

generate tax receipts on their own from traffic to support roadway 

investment. 

If you look at the profile of where there are roads in poor condition that need repair across the country, you see huge concentrations of it in some very rural areas. And I think the highway program, in particular, so far has been structured to recognize that. 

The struggle is how to figure out a program that does that well but 

53 

also deals with the terribly complicated issues you find in a place 

like Chicago or Los Angeles or something like that. 

Senator JOHANNS. Anyone else have any thoughts? Yes, sir. 

Mr. SZABO. Senator, to a certain extent, I have been involved 

with advocating for funding for short line railroads, which are the 

smaller mom-and-pop operations that tend to serve rural communities. So, obviously, we consider that a bloodline to those communities and part of a network that feeds into the larger rail system. 

So we consider that an important linkage. 

Senator JOHANNS. Anyone else want to offer any thoughts? 

Mr. RIVKIN. Senator, though I have not worked on rural transportation issues in a rural area, I think we are well aware that the 

Administration’s policy and the Secretary’s intent is to make sure 

that all of America is served with a unified transportation system. 

The importance of things like EAS and bus service and train service, as well as rural roads—all of us are well aware of that. 

Senator JOHANNS. Great. 

I will just wrap up, Mr. Chairman, with this thought. I asked 

that question mostly to use this opportunity to highlight the importance of these issues. $8 billion for transit relating to trains that 

run back and forth between metropolitan areas is great. I certainly 

do not have any problem with it. I do not know that it will help 

a lot in Nebraska, if you know what I am saying. Not to say that 

it is not insignificant because we do have Amtrak that goes 

through the State, but when you focus on rural transportation 

issues moving from one small community to another, it is going to 

be roads. It just simply is roads that make that work. 

So as you enter into your new assignments, if there is ever an 

opportunity to influence that discussion for these small communities, it will be greatly appreciated. 

And I look forward to working with all of you. Best of luck. 

Senator DORGAN. Senator Begich? 

STATEMENT OF HON. MARK BEGICH, 

U.S. SENATOR FROM ALASKA 

Senator BEGICH. Thank you very much, Mr. Chairman. Thank 

you all very much for your willingness to serve and be part of the 

Obama Administration. 

First, I do want to say, Mr. Szabo, as a former mayor as of January of this year, I am glad to see another mayor within the Department of Transportation. That will help, I think, influence the perception that local governments know how to do it best and know 

how to deliver. 

I am going to follow up on what Senator Johanns said in regards 

to rural. His comment I liked is: ‘‘Roads make it work.’’ We do not 

have roads in lots of our areas in Alaska. So air makes it work 

also. So I want to augment that. Rural in Nebraska is nothing like 

rural in Alaska. 

I think your resumes are all very strong, and I have no problem 

with all of your appointments. So I am looking forward to working 

with you. 

But I did notice that most of you were kind of from the Midwest 

to the East, and I think the point Senator Johanns is saying is 

when you look at the Southwest, the deep Midwest, rural Alaska, 

54 

we have very different kinds of situations. In southeast Alaska, we 

have the marine highway system. It never gets really any funding 

from the Federal Government even though it is the only way to 

move from one community to the next for food, services, medical. 

So as you take on these new roles, I would hope you would keep 

that rural aspect, what I would call the extreme rural aspect—and 

I would encourage you to come to Alaska, not on a cruise—though 

there are really good prices right now. But I would encourage you 

to come on up and kind of see what we have to deal with when it 

is literally life and death with regard to rural transportation. 

But I am anxious to get your appointments moving forward. 

Mr.—is it Appel? 

Mr. APPEL. Yes. 

Senator BEGICH. Your role in research innovation—in the last 

TEA–LU bill there were, I believe, 10 research institutes established. I am not sure how familiar you are with these, but one is 

in Alaska on very unique, cold climate conditions. This center 

would benefit states like mine and others that are very rural and 

have cold climate conditions in the winter, pavement conditions 

and so forth. 

I would be interested in your comment now or later how you see 

those playing in. As you know, they were authorized only for a 5- 

year period of funding under the TEA–LU bill. So reauthorization 

will have an impact on those 10. So I would be curious how you 

see you see those research centers across the country. I think there 

are 10, and they usually are working with universities. I do not 

know if you have a comment now on that. 

Mr. APPEL. Well, just in general, RITA has within it a number 

of different great sources of research, whether it is the Volpe Center within RITA or the 60-odd University Transportation Centers 

or focused research institutes that get funding from it. They all are 

playing a very important role. One of my priorities when I get 

there is to really understand what the complementary roles across 

all these different sources of thinking are to make sure that we 

align them to address the issues we have and to make sure we take 

advantage of the unique skills and qualifications and resources 

that each one brings. 

I enjoyed your remarks about Alaska. When I was with the FAA 

in the 1990s, I had a chance to spend some time with my boss, Administrator David Hinson, visiting—we must have visited 15 FAA 

facilities in Alaska in the course of about 4 or 5 days. And I—— 

Senator BEGICH. A unique experience. 

Mr. APPEL.—in terms of the amazing dedication that the people 

there have to maintaining very complex electronics, very complex 

facilities in conditions that are just so much more difficult than 

what their colleagues in the rest of the United States have to face. 

So I respect that and I also realize the unique issues that are 

faced in Alaska, and the institute in Alaska will be something that 

I will take a look at to really understand how they all play together. But I am confident that there are unique contributions 

coming from each. 

Senator BEGICH. Well, thank you very much. We will look forward to talking with you in more detail. It is just that we have 

very unique, climate conditions, especially around winter. 

55 

Again, the last comment I will make. I really encourage folks, as 

you deal with rapid transit rail—you know, in Alaska we have literally one rail system. But the big question in the long term is how 

do we connect rail to the Lower 48 for transportation of goods. That 

is a very new item. Alaska is aggressively looking at it. The military is also looking at it because it will move military goods from 

the Lower 48 into very strategic locations. So maybe at a later 

time, Mr. Szabo, you could give us some feedback on how you see 

that or if you do not see that. It has kind of a dual purpose. It is 

commerce, but it is also military equipment and movement. So just 

food for thought and a later discussion on that. 

Thank you very much. 

Senator DORGAN. Senator Lautenberg? 

STATEMENT OF HON. FRANK R. LAUTENBERG, 

U.S. SENATOR FROM NEW JERSEY 

Senator LAUTENBERG. Thanks, Mr. Chairman. Rarely do we see 

such a distinguished panel of people ready to take on these important jobs, and I welcome all of you who are ready to take on these 

important assignments. That does not mean you are confirmed. 

[Laughter.] 

Senator LAUTENBERG. But you have got a good step forward. 

In my State of New Jersey, we are looking to break ground on 

the largest mass transit project in the country, a new rail tunnel 

under the Hudson River. It is not a regional thing. It is a national 

thing in terms of the services that are provided around these 

States. It is a very densely populated area of the country. The 

project will take 22,000 cars off the road each day, create 6,000 

construction jobs each year for 10 years. They are shovel-ready, 

pick-ready, drill-ready. It is all ready. And I think this totally 

meets the President’s commitment to getting people to work. Nothing can be as ready to go as this tunnel project is. We hope that 

it will. 

Mr. Kienitz, how do you kind of ensure that projects like the 

Hudson River tunnel that reduce commutation time and reduces 

emission—how do we get them going as quickly as might be possible? 

Mr. KIENITZ. Thank you, sir. I will say a few things, the first of 

which is your continuing advocacy for this project has made it sure 

that all the senior leadership of the Department knows all about 

what the ARC project is. So you have succeeded on that count. 

The difficulty, of course, as you know, and as your conversations 

with the Secretary have indicated, is the Federal share of that 

project is the largest commitment of transit dollars that there ever 

would have been to one project, and it is larger than the amount 

that is available to commit right now. 

So, obviously, as you say, the project is ready to go, and in terms 

of the internal evaluation criteria of the Department, it scored very 

well on all of the objective criteria. So I think your conversations 

with the Secretary indicate that they are looking for a way to allow 

the project to keep on track in terms of going forward, recognizing 

the fact that there is just not enough authority right now to give 

it the full promise of Federal support. I think that comes with the 

reauthorization. 

56 

But your question is a good one, which is how in the reauthorization you create a structure whereby things that are big can get 

funded because what we have had up until now I think is system 

of—— 

Senator LAUTENBERG. You have had wonderful experience working for Pat Moynihan, who was one of the great United States Senators. 

Mr. KIENITZ. Yes, sir. 

Senator LAUTENBERG. Ed Rendell, someone else. And I would 

like to fill in their footsteps. So I urge you to do what you can to 

remind the Secretary, in case he did not hear what I had to say 

these last few days—— 

[Laughter.] 

Senator LAUTENBERG.—to go ahead and take out the starter’s 

gun and shoot it off and let us go. 

Mr. Szabo, welcome to you. You are going to be an important 

person in the railroad system of the country. In my Amtrak bill, 

which was signed last year, we required that the Northeast Corridor be brought into a state of good repair by 2018. 

Now, as Administrator of the FRA, how do you see the priority 

getting fulfilled to meet this deadline and to be sure that we do accomplish the goal that we want for the Northeast Corridor? 

Mr. SZABO. Well, obviously, if confirmed, it is my obligation to 

make sure the statutory mandates from the laws that you have 

passed are implemented in a timely manner and to provide the appropriate level of feedback to you of our progress or, of course, any 

hurdles that we might be facing. But it is our obligation to deliver. 

Senator LAUTENBERG. Thank you. 

Mr. Rivkin, Aon—they have substantial presence in New York 

and the World Trade Center. 

Mr. RIVKIN. Yes, tragically. 

Senator LAUTENBERG. That was the firm that you joined. 

Mr. RIVKIN. Yes, Senator Lautenberg, and 175 colleagues from 

Aon perished in the World Trade Center. 

Senator LAUTENBERG. I remember that very well. 

That brings certainly the question of safety right squarely in 

front of you when you look at the things that we are doing now to 

make sure that we are going to operate as efficiently and safely 

and securely as we possibly can. We welcome all of you. 

Thank you very much, Mr. Chairman. 

Senator DORGAN. Senator Klobuchar? 

STATEMENT OF HON. AMY KLOBUCHAR, 

U.S. SENATOR FROM MINNESOTA 

Senator KLOBUCHAR. Thank you very much, Mr. Chairman, and 

thank you to all of you. 

I think we will be working a lot together because I do not just 

serve on this Committee but, like Senator Lautenberg, also serve 

on the Environmental Committee where we are doing the transportation bill in the coming year. 

So I had some questions, which I know I talked to Secretary 

LaHood about when he visited me with the two of you, Mr. Gresham and Mr. Kienitz, and that was about bridge maintenance. I told 

you I live six blocks from the bridge that fell in the middle of the 

57 

Mississippi River that day. And so whether I wanted to or not, I 

became something of an expert on bridge funding. 

One of the things that Congressman Oberstar and I have learned 

is that there is supposed to be money set aside for bridge maintenance, but oftentimes that money goes to building new projects. We 

have a belief that sometimes it is more fun to cut ribbons at new 

projects and celebrate new projects, and some of our infrastructure 

is crumbling and needs to be inspected better and also needs to be 

maintained better. I wondered if you could comment about that, 

Mr. Kienitz and whoever else wants to join in. 

I also thought, Mr. Appel, there is some new technology that 

could be used more effectively to inspect bridges, and maybe you 

want to talk about that part. 

Mr. KIENITZ. Thank you, ma’am. My aunt and uncle actually live 

about eight blocks from that bridge and have a very good view of 

it from their highrise there. 

Yes, obviously, I am very familiar with the issue that you raised, 

and that is something that has been debated and ultimately not 

changed in the last three reauthorizations by my count. I know, for 

example, in Pennsylvania, our program—the history was exactly 

you are allowed to take 50 percent of the bridge money and not 

spend it on bridges, and that was the tradition. 

Senator KLOBUCHAR. Put it on like flowers. 

Mr. KIENITZ. Or whatever. 

Our response to that really was to try to spend money on bridges 

in proportion to their need as part of the system and how many 

of them required repair. So we tripled, I think, the amount of 

spending on deficient bridges in Pennsylvania because we have 

more deficient bridges than any other state. So I am very aware 

of that problem and look forward to working with you, if confirmed, 

on that particular legal issue as the way the law is written now. 

Senator KLOBUCHAR. Thank you. 

Mr. Appel, the technology? 

Mr. APPEL. Certainly. Well, what RITA is all about is taking the 

best technology that we can either do research in-house for or identify the research and technology from outside to make sure that 

when we make those investments in transportation infrastructure, 

we are doing it well. 

I have not looked specifically at the civil engineering types of research that relate to what you are asking, but it is one of the first 

things I will do when I get there. 

Senator KLOBUCHAR. Great. There are just some very antiquated 

methods right now that are still being used to check bridges for 

safety, and I think we could use some advanced methods that are 

available. 

And then another thing I want to talk about—and actually I 

have talked to Senator Warner about it. He had a little to do with 

telecommunications in his past. But as we look at the infrastructure issues with broadband and what I call the rural electrification 

of our generation, I am working on some legislation—and I hope 

others will join me—with the upcoming reauthorization of the 

transportation bill to look at ways to integrate the broadband infrastructures and road construction with the work that is going on 

with transportation infrastructure—this is the whole digging up 

58 

the streets 50 times issue—to see if there are ways we can save 

taxpayer money, as well as reduce disruptions on the roads and 

also just facilitate the laying of this broadband. 

I just wondered if anyone wanted to comment on that, if anyone 

had any thoughts on that. Have you driven on these streets when 

they are digging them up? 

Mr. APPEL. Absolutely. I want to talk from an intermodal perspective which can be—in other words, the agency, RITA, looks a 

lot at how work done with one particular mode of transportation 

impacts another mode of transportation and trying to find efficiencies such that when projects are done, they are integrated well. 

And integration between one mode and another mode has very 

much in common with the integration between a mode of transportation and some other type of commerce. So what you are describing is absolutely the kind of thing we would want to make sure we 

understand at RITA. 

Senator KLOBUCHAR. Thank you very much. 

Mr. Szabo, I know everyone has been talking about their rail 

projects, and I loved how Frank described his as ‘‘truly national’’ 

instead of regional. And I would think rail through the Midwest, 

which is in the middle of the country, would truly be national, as 

we have to connect both sides of the country. So I wanted to point 

that out, as well as the good inter-city projects that are out there. 

Our Vice President Biden recently visited Minnesota, and I think 

he was kind of stunned by all the questions in St. Cloud, Minnesota, which is in the middle of our State on adding an extra part 

to the rail to connect Big Lake to Saint Cloud. So I just wondered 

if you could comment a little on the inter-city rail piece of this. 

Mr. SZABO. Well, Senator, obviously, I am aware that there is a 

very healthy debate in Minnesota about passenger rail. Frankly, it 

is one of the most exciting challenges before FRA right now. It has 

become one of the keystone pieces of the Administration’s efforts in 

the recovery, and it truly is a renaissance for passenger rail. So I 

look forward to working with you on trying to make these projects 

become a reality. 

Senator KLOBUCHAR. Thank you very much. I will say, Mr. 

Chairman, I learned a new term today from Senator Begich. I always thought we had something in common with rural areas, but 

now I know his are ‘‘extreme rural.’’ 

[Laughter.] 

Senator KLOBUCHAR. But I do not know where North Dakota fits 

in. 

Senator BEGICH. It is up there. 

Senator DORGAN. Senator Thune from South Dakota? 

Senator KLOBUCHAR. Extreme rural. 

[Laughter.] 

STATEMENT OF HON. JOHN THUNE, 

U.S. SENATOR FROM SOUTH DAKOTA 

Senator THUNE. Thank you. We would be happy to take you to 

some extreme rural areas of our States. 

[Laughter.] 

Senator THUNE. Thank you, Mr. Chairman and Senator 

Hutchison, for holding today’s hearing, and I want to thank our 

59 

panel for their willingness to serve. These are important positions, 

important to the operation of our Government, and obviously, we 

may not always agree on every policy, but it is important the positions be filled in a timely manner by qualified nominees who are 

ready to take on many of the challenges that face our country. And 

we have many. We have an over-dependence upon foreign energy. 

Infrastructure is aging. There is no shortage of issues that we need 

to take on. So thank you for your willingness to serve. I look forward to working with all of you and hope that we can find some 

solutions and some good results for the American people. 

I would like to pose, if I could, a question to Mr. Kienitz, and it 

has to do with the—some of which has already been alluded to— 

but the upcoming highway bill debate. Just to get your overall 

thoughts and without drilling down and getting real specific about 

how we should address the shortfall in the Highway Trust Fund 

that is so critical to our Nation’s infrastructure. 

I do not know if you are familiar with it or not, but Senator 

Wyden and I have a bill, the Build America Bonds Act, which 

would supplement funding that States currently receive via the 

Highway Trust Fund. 

I am curious if I might get your overall thoughts with respect to 

that issue and where you see us going with regard to funding. 

Mr. KIENITZ. Yes, sir. Thank you. Yes, I think that is the biggest 

obstacle right now in the way of the kind of debate over surface reauthorization that I think a lot of people want to have, which is 

how to create a program that looks to the future and what are the 

new opportunities available to us. As you know, the gasoline tax 

as a source of predictable, year-over-year growth in funding has 

sort of collapsed, as it were. I think everyone feels that it is going 

to come back eventually. The economy will come back and driving 

will come back. But even over the last 10 or 12 years, there has 

been a growing mismatch between the rate at which project costs 

go up and the rate at which revenue goes up. 

So the Secretary is committed to and I think is already engaged 

in a process inside the Administration of looking at all the many 

possible options there are about how to fund reauthorization at the 

levels that I think the members are expecting. That conversation 

is not complete, and so I am not sure what I can really say about 

it other than I know they are talking about a whole bunch of different ways to do it. I think he is well aware of the great difficulty 

there will be in reauthorizing the program if the funding were to 

go down substantially from the last reauthorization rather than 

grow, for example. 

Senator THUNE. That was sufficiently vague. 

[Laughter.] 

Mr. KIENITZ. Those are my instructions. 

[Laughter.] 

Senator THUNE. I understand. 

Just one other thought about that, though. There was injected 

into the stimulus bill debate this whole notion of no new capacity 

policy, and I am a little concerned we are going to be dealing with 

it in the surface transportation bill. It seems to me that when you 

have roughly 85 percent of your highway funds spent on maintenance activities, that this could be a solution in search of a probVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00063 Fmt 6633 Sfmt 6601 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
60 

lem. I guess my question is if you can explain why, on one hand, 

we want increased flexibility for State and local governments and 

yet, on the other hand, we are trying to constrain that flexibility 

to only certain activities. 

Mr. KIENITZ. Well, I guess I am not familiar with that conversation as part of the Recovery Act discussion. I know there was a debate on the Recovery Act over what the total amount would be, 

how much would go to rail, how much would go to transit, and how 

much would go to roadways, but as far as I knew, the conversation 

on highway funding was really provided to the States according to 

the usual system whereby projects are selected at the State level. 

I will tell you from my experience working at the State level in 

Pennsylvania, our ability to fund big new capacity projects just 

grew less and less every year as funding stayed level and needs 

grew and we had 6,000 deficient bridges and tens of thousands of 

miles of deficient roadways. And so as a practical matter, that is 

sort of where the squeeze ends up, but as sort of a particular mandate at the Federal level, I guess I have not seen that yet. 

Senator THUNE. I do not mean to ignore the rest of you. We are 

trying to drill down on some of these highway issues. 

But I do have a question for the second panel if I could submit 

it for the record. I do not know if I am going to be able to be 

around for that panel. 

Senator DORGAN. Without objection. 

Senator THUNE. If I could enter that into the record, that would 

be great. 

So thank you all very much again for your willingness to serve. 

Thank you, Mr. Chairman. 

Senator DORGAN. Senator Thune, thank you. 

Senator Warner? 

Senator WARNER. Thank you, Mr. Chairman. Let me add my 

voice to my colleagues’ in saying, hopefully, a prospective congratulations on your nominations and hopefully very quick approval. 

I have got two areas I want to take my time on. One is while 

I am not a mayor, I have dealt with State-level transportation challenges, and one of the most frustrating things at a State level is 

the silo nature of our transportation funding. One of the things 

that I particularly was happy to finally see in the Recovery Act was 

a pot of resources, albeit smaller than I would have liked, that 

would be supportive of multimodal transportation projects. I believe if we are really going to think in a prospective way about how 

we fund how we not only connect our road system with our rail system but the airports and ports in a State like Virginia where we 

have one of the gateway ports for the east coast and an international gateway airport at Dulles, this multimodal notion I think, 

even maybe for extreme rural States, is part of the mix. 

And I would like to hear any members of the panel, Mr. Kienitz, 

perhaps starting with you, comment about the commitment to 

multimodal and how, on a going-forward basis, the Recovery Act 

will not be a one-off time and that we do not get back to a funding 

cycle. Even as Senator Thune, I think, has appropriately pointed 

out, current funding is not going to get us where we need to be. 

And fighting over our ever-diminishing pot of dollars is going to get 

tougher and tougher. 

61 

Is there going to be any chance that we are going to be able to 

have multimodal as a real transportation policy for the country? 

Mr. KIENITZ. Thank you, sir. I guess I will start with that. 

Personally I would say I could not agree with you more. I think 

that that small funding program, though, is a great way to sort of 

show people what policymaking without consideration for the 

source of the funds being directed to one mode or another, what 

that can actually look like. And it means doing things where there 

is more than one mode involved in a project and not having to go 

through a horrible legal exercise to say, OK, this is the airport dollar, this is the transit dollar, this is the roadway dollar, but rather 

look at the project as a whole. 

When I spoke earlier to Senator Thune about the idea of what 

does the challenge for the 21st century look like for rewriting the 

transportation program, I think that is partly it, is to be able to 

set overall national objectives, economic competitiveness, safety, 

environmental sustainability, things like that, and then make 

funding decisions that drive the country toward those outcomes. 

It would certainly be my hope that by making funding available 

through that discretionary program, it can be demonstrated that 

that does not end up being an anti-rural program but it may be 

that the funds you spend in very congested urban areas get spent 

in different ways than they might have done in the past and that 

the connections between passenger rail and freight rail and airports are perhaps a greater source of interest to that funding than 

might have traditionally been in the past when you are spending 

money in places that have those complicated systems. 

Senator WARNER. I would simply add on that. Amen to what you 

said, but I would hope that those jump-ball dollars that the Department is going to allocate soon, that you look at how the criteria will 

be established. I mean, there was a group that I was involved in 

before my election to the Senate, a bipartisan policy group, looking 

at transportation and what ought to be those new metrics. This 

would be a great opportunity, I think, with these early dollars to 

set out some new policy goals that could become part of the active 

debate next year or later this year on the Surface Transportation 

Reauthorization Act. 

I apologize. I want to get one question. I want to hear 

multimodal from everybody else. If you could perhaps submit any 

answers for the record. 

But I do want to get back to Mr. Appel on one question about 

technology, and that is that Senator Klobuchar mentioned the notion of combining roads and broadband so that when you make 

those changes, you lay in the broadband. We started an initiative 

like that in Virginia. There has been little real advancement in 

surface transportation technology. 

A little bit earlier today I was looking at what I hope will be one 

of the first generations of new electric vehicles that may have plugin capabilities. There is Hawaii and Israel. Denmark has got a proposal to actually retrofit their whole transportation system. And 

my time is going to run out. 

But please comment on how we make sure we really push the 

technology edge, and from a parochial standpoint, as you look at 

locations to push that, Virginia Tech has been one of the leaders 

62 

in this area with the Smart Road down in Blacksburg. And I hope 

that that would get on your radar screen, along with those Alaska 

projects, in terms of how we can push this technology. 

I think I have actually used up about all my time, but if you 

have got a quick response, I would appreciate it. 

Mr. APPEL. Absolutely. First of all through the transportation infrastructure investment going on right now, we have a great opportunity to combine a lot of goals at the same time. Sustainability, 

which relates to the electrical vehicles, is a huge priority of the Department, as is safety, as is capacity. And a lot of the technology— 

the research that is being done at these universities, working with 

RITA, and the research being done at RITA itself at the Volpe Center, are geared toward trying to identify technologies that will increase the capacity of existing highways but also bring about the 

sustainability, bring about safety at the same time. 

Basically, if you take a look at what the Volpe Center up in Cambridge is doing right now, they are perhaps the most cross-modal 

group within the Department. There are engineers and researchers 

across every mode of transportation. They are working with their 

counterparts at the universities. And the kind of issues you are 

talking about are the kind of issues that they are looking at not 

just applying to roadways or surface transportation, but really 

across the modes. 

So these are exactly the kind of issues that I am going to take 

a look at as soon as I get there and really try to make sure that 

our priorities at RITA are aligned with the overall priorities of the 

Department and the Administration in those areas. 

Senator WARNER. Thank you. Thank you, Mr. Chairman. 

Senator DORGAN. Senator Warner, thank you very much. 

Let me thank all of the nominees. I intend to support all of the 

nominees. I think you are of extraordinary quality. All of you aspire to join an agency that is part of a big bureaucracy, including 

bureaucracy within the specific agency to which you aspire to work. 

Let me urge you, to the extent you can, because every bureaucracy 

around this town is filled with the cholesterol that blocks the arteries of progress every single day. I hope you will just tip it upside 

down and shake it when you get there. You have got a lot of big 

issues on the plate. I mean, really a lot of big issues. I want you 

to transform the bureaucracy rather than having the bureaucracy 

transform you. 

I have a lot of questions that I would ask, but I think I will defer 

and submit some questions. But the issue of the modernization of 

the FAA system—I chair the Aviation Subcommittee here in the 

Commerce Committee. We have got a lot of issues there with respect to how do we fund modernization. Amtrak is very important, 

essential air service. There are just so many issues, rural roads. 

I am not going to get into the issue of extreme rural. Let me observe that—I mean, I come from a town of 300 people, and on the 

Fourth of July at the parade, we just parked the float and had people walk around the float. 

[Laughter.] 

Senator DORGAN. Where I come from, they call that real rural. 

So let me thank all five of you and I appreciate very much your 

appearance here today. You are dismissed. 

63 

We will ask that the next nominees come to the table. We will 

call to the table Mr. Cameron Kerry who is nominated to be General Counsel at the Department of Commerce. Let me hold just for 

a moment while we clear the table. Ms. April Boyd, Assistant Secretary for Legislative and Intergovernmental Affairs at the Department of Commerce, and Ms. Sherburne Abbott to be Associate Director of the Office of Science and Technology Policy in the Executive Office of the President. 

If we can clear the room quickly, we would appreciate that. We 

would like to begin with the second panel, please. 

[Pause.] 

Senator DORGAN. Let me thank all of you for your cooperation. 

We are pleased here to receive the nominations of Mr. Cameron 

Kerry to be General Counsel of the Department of Commerce. Ms. 

April Boyd is nominated to be the Assistant Secretary for Legislative and Intergovernmental Affairs at the Department of Commerce, and Ms. Sherburne Abbott to be Associate Director of the 

Office of Science and Technology. I thank all three of you for being 

here. 

My understanding is that Congresswoman Tauscher wishes to 

have a statement entered into the record at this point with respect 

to the nomination of Ms. Boyd. 

[The prepared statement of Ms. Tauscher follows:] 

PREPARED STATEMENT OF HON. ELLEN O. TAUSCHER, 

U.S. REPRESENTATIVE FROM CALIFORNIA, TENTH DISTRICT

Mr. Chairman and Ranking Member Hutchison, thank you for the opportunity to 

introduce to the Committee today April Boyd. During the time April worked for me 

in the House of Representatives, she was known as one of Capitol Hill’s most conscientious, dedicated and well-liked staff members, and I know she will fill the same 

role in the Obama Administration if confirmed as the Assistant Secretary for Legislative and Intergovernmental Affairs within the Department of Commerce. 

April served as my indefatigable Communications Director from 2001 to 2004. In 

2006, when my long-time Chief-of-Staff was leaving, I asked her to come back in 

that capacity. As my chief of staff, April not only capably managed my dedicated 

staff, but she played a key leadership role with the 67-Member House New Democrat Coalition, which I am privileged to chair. In this role, April was my strong voice 

for economic policies that foster the competitiveness and technological growth imperative to American businesses and workers. 

Throughout my tenure, I have worked with many bright, talented staffers on Capitol Hill, and April is among the best. She is a true team-player and, above all, a 

delight to work with. She is a responsible manager, a dedicated professional, and 

I am proud to also call her a friend. 

If confirmed by the Senate, I know April will be an asset to the Obama Administration’s open, honest, accountable Federal Government. She understands the needs 

of Capitol Hill and will always put her credibility and dedication to our country 

first. 

Mr. Chairman, thank you for your time, and I hope you and your distinguished 

colleagues will see fit to confirm April Boyd as Assistant Secretary of Commerce for 

Legislative and Intergovernmental Affairs. 

Senator DORGAN. We will begin with Ms. Boyd. I would ask any 

of you, if you have members of your family who you wish to identify for the Committee, please feel free to do so. 

64 

STATEMENT OF APRIL BOYD, 

ASSISTANT SECRETARY-DESIGNATE, OFFICE OF 

LEGISLATIVE AND INTERGOVERNMENTAL AFFAIRS, 

DEPARTMENT OF COMMERCE 

Ms. BOYD. Sure. Thank you, Mr. Chairman. In the interest of 

time, I would like to summarize my prepared remarks and ask that 

my full statement be submitted for the record. 

Senator DORGAN. Without objection. 

Ms. BOYD. Thank you. 

If I may, I would like to thank you, Chairman Rockefeller, and 

Ranking Member, Hutchison, for holding today’s hearing, and especially Ellen Doneski, for her graciousness throughout this process. 

I would also be remiss if I did not thank the career staff at the 

Department of Commerce for their help thus far, especially Jim 

Schufreider and Karen Swanson-Woolf, and the General Counsel’s 

Office, and acknowledge my large contingency of family here today. 

My husband Rob who, without his support, I could not even think 

about taking on this incredible responsibility. My daughter 

Adeline, who is probably going to practice her walking in the back 

of the hearing room. My mom Claudia, and my sister Monica. 

Senator DORGAN. Welcome. 

Ms. BOYD. Thank you. 

I am honored and humbled to have been nominated by President 

Obama and have Secretary Locke’s support to appear before you 

this afternoon. If confirmed by the Senate, I would be honored to 

serve as the Assistant Secretary for Legislative and Intergovernmental Affairs and play a role in tapping the Department of Commerce’s vast potential to help address our Nation’s economic challenges. 

Whether it is the $4.7 billion in broadband grants the NTIA will 

distribute in communities throughout our country, to NOAA, the 

upcoming census, or efforts to spur economic development and the 

growth of new industries, it is hard to find even one American 

whose life is not impacted or cannot be improved by the work of 

the Department of Commerce. 

If confirmed, I believe my top priority at the Commerce Department should be to be as responsive as possible to Congress and 

other elected officials, in keeping with President Obama’s call for 

the Federal Government to be open, accountable, bipartisan, transparent, and efficient. 

The opportunity to serve as a liaison with Congress and State 

and local governments is one I take very seriously. As someone who 

spent the last 8 years working in both the House and Senate, I respect and understand the role of the Congress in ensuring our Government is accountable to the people you and the President represent. 

I was fortunate to work for two amazing people on Capitol Hill: 

Representative Ellen Tauscher of California, and Senator John 

Kerry. I particularly want to thank Senator Kerry and his staff for 

teaching me about this incredible chamber and also that the Department of Commerce has a lot to do with our oceans and fisheries. 

I most recently served as Chief of Staff to Congresswoman Ellen 

Tauscher, the Chair of the House New Democrat Coalition. There 

65 

I devoted much of my time to working to help enact policies that 

focus on strengthening America’s competitiveness in the global 

marketplace and fostering the innovation that has always put our 

workers and businesses at the forefront. 

I believe my skills and experiences on the Hill and previously in 

the Executive Branch have prepared me well for this Assistant Secretary position. If confirmed, I would be honored to serve the President, Secretary Locke, and you at this unique time in our country’s 

history. 

Thank you. I would be happy to answer any questions you may 

have as well. 

[The prepared statement and biographical information of Ms. 

Boyd follows:] 

PREPARED STATEMENT OF APRIL BOYD, ASSISTANT SECRETARY-DESIGNATE, OFFICE OF

LEGISLATIVE AND INTERGOVERNMENTAL AFFAIRS, DEPARTMENT OF COMMERCE

Thank you Mr. Chairman, Ranking Member Hutchison, and Members of the Committee. It is an honor both to have been nominated by President Obama and to appear before you this morning. Chairman Rockefeller, during Secretary Locke’s confirmation hearing you pointed out that it is ‘‘extraordinarily important’’ the Department and this Committee remain in close contact. I couldn’t agree more and, if confirmed, you have my whole-hearted commitment to being open and accessible. 

I would like to acknowledge my family here today, beginning with my incredibly 

supportive husband, Rob, and our daughter Adeline. I’d also like to thank my mom; 

she raised my sister and me on her own and really instilled in us the value of hard 

work. And hopefully my grandmother’s Internet is working so she can be watching 

today in Fremont County, Iowa. I would not be here today without any of them. 

I would also like to thank Secretary Locke, Phil Schiliro and everyone who has 

made possible this once-in-a-lifetime opportunity to serve. And I would briefly like 

to thank the dedicated career staff at the Department, particularly the Acting Assistant Secretary Jim Schufreider, Karen Swanson-Woolf, Jen Costanza and Matt 

Stout in the Office of Legislative and Intergovernmental Affairs, and the General 

Counsel’s office. 

In his confirmation hearing, Secretary Locke talked about the Department of 

Commerce as ‘‘an engine of innovation, job growth, and economic renewal.’’ I believe 

his vision and energy are exactly what the Department and our country need in 

these difficult times. If confirmed by the Senate, I would be honored to serve as the 

Assistant Secretary for Legislative and Intergovernmental Affairs and play a role 

in tapping the vast potential of the Department to address our Nation’s economic 

challenges. 

Because it impacts every sector of our economy, the Department of Commerce 

touches the life of virtually every American in some way. Under the Department’s 

purview are the upcoming Census; the National Oceanic and Atmospheric Administration’s crucial work in climate change, oceans, fisheries, and satellite programs; 

$4.7 billion in broadband grants the National Telecommunications and Information 

Administration will distribute in communities throughout our country; stimulus efforts to spur economic development and the growth of new industries through the 

efforts of the Economic Development Administration and Minority Business Development Agency; and the International Trade Administration’s work to encourage 

economic growth and provide a level playing field for American businesses. Include 

with those vital areas the Patent and Trademark Office’s work to protect Americans’ 

intellectual property; the science being done at the National Institute of Standards 

and Technology; and the critical and continual economic policy analyses and statistics produced by Commerce’s bureaus, and it’s hard to find even one American 

whose life is not impacted or cannot be improved by the work of the Department. 

I believe my top priority at the Commerce Department should be to be as responsive as possible to Congress and other elected officials, in keeping with President 

Obama’s call for the Federal Government to be accountable, transparent and efficient. 

The opportunity to serve as a liaison with Congress and state and local governments is one I take very seriously. As someone who spent the last 8 years working 

in both the House and Senate, it would be a privilege and an honor to be able to 

reach out and respond to you and your colleagues, Representatives, Governors, MayVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00069 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
66 

ors, and their staffs, and I would ensure that everyone reporting to me shared my 

same open, responsive philosophy. 

I was fortunate to work for two amazing people in Congress: Representative Ellen 

Tauscher of California and Senator John Kerry. I particularly want to thank Senator Kerry and his brilliant staff for teaching me about this incredible chamber and, 

in particular, that the Department of Commerce has a lot to do with our oceans and 

fisheries. 

Most recently, I served as the Chief of Staff to Congresswoman Tauscher, the 

Chair of the House New Democrat Coalition. There, I devoted much of my time to 

working to help enact policies that focus on strengthening America’s economic competitiveness in the global marketplace and fostering the innovation that has always 

put our businesses and workers at the forefront. In this capacity, the issues on 

which I focused are some of the most important issues facing American businesses 

and workers today—passing the economic stimulus packages, expanding broadband 

deployment, protecting Americans’ intellectual property around the globe, expanding 

trade in a way that creates jobs here at home and expands markets for American 

goods, and working to promote a regulatory environment that is fair and, above all, 

predictable. 

I believe my skills and experiences on the Hill and previously in the Executive 

Branch have prepared me well for the Assistant Secretary position, and I look forward to working with the Senate and House to ensure our government is accountable to the people you and the President represent. 

If confirmed, I will be honored to serve at this unique time in our country’s history. The Department of Commerce’s success is vital to America’s economic recovery. 

You have my word that I will work aggressively to address the challenges and maximize the opportunities facing the Department. 

A. BIOGRAPHICAL INFORMATION

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

April Susanna Boyd (married name). 

Prior names: April Susanna Kingery (childhood name) and April Susanna Kaufman (legally took stepfather’s last name). 

2. Position to which nominated: Assistant Secretary for Legislative and Intergovernmental Affairs, Department of Commerce. 

3. Date of Nomination: Intent to nominate announced February 23, 2009. 

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

Residence: Information not released to the public. 

Office: Office of Congresswoman Ellen Tauscher, 2459 Rayburn House Building, 

Washington, DC 20515 (Note: Through January 31, 2009). 

5. Date and Place of Birth: August 8, 1975; Hamburg, Iowa. 

6. Provide the name, position, and place of employment for your spouse (if married) and the names and ages of your children (including stepchildren and children 

by a previous marriage). 

Spouse: Robert Newton Boyd, III, Associate Attorney, Holland & Knight LLP, 

2099 Pennsylvania Avenue, NW, Suite 100, Washington, DC 20006; child: 

Adeline Anna Boyd, age 1 year. 

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

BA in Political Science, Magna Cum Laude, Loyola Marymount University, Los 

Angeles 1997. 

Also attended: Pepperdine University, Malibu, California, August 1993—December 1994 (first three semesters of college). 

8. List all post-undergraduate employment, and highlight all management-level 

jobs held and any non-managerial jobs that relate to the position for which you are 

nominated. 

Congresswoman Ellen Tauscher, Chief of Staff, August 2006 to January 2009. 

Served as top strategic advisor to leader of the 68-Member House New Democrat Coalition, the largest bloc of moderates in Congress. 

Managed annual budget of $1.3 million and diverse staff of 17 in Washington 

and three district offices. 

67 

Directed all aspects of active Congressional operation, including policy, communications, scheduling, political and outreach. 

Oversaw development of international bipartisan Congressional Delegation trips 

to ensure policy goals were achieved. 

Built targeted public outreach program, including strategies to grow opt-in email list and redesign of website, requiring three-fold increase in outreach budget achieved through budgeting and staffing efficiencies. 

Senator John Kerry, National Press Secretary, November 2004 to August 2006. 

Responsible for daily management of responses to media inquires in fast-paced 

press office, including supervising and coordinating daily activities of Deputy 

Press Secretary, Committee Communications Director and Massachusetts Press 

Secretary. 

Developed roll-out strategies for major policy initiatives, involving speeches, targeted op-eds, background briefings for media, and website content. 

Senator John Kerry, Official Press Secretary, April 2004 to November 2004. 

Identified legislative communications opportunities. 

Developed and edited rapid response communications to clarify Senator’s record 

and distribute to Hill surrogates. 

Congresswoman Ellen Tauscher, Communications Director, January 2001 to April 

2004. 

U.S. Department of Energy, Press Officer and Special Assistant, February 2000 to 

January 2001. 

Played lead communications role in successful strategy for landmark legislative 

proposal to compensate sick nuclear workers, including coordinating with press 

offices at field sites in 12 states, placing surrogates in key markets and briefing 

reporters and editorial boards. 

U.S. General Services Administration, Media Liaison, April 1998 to February 

2000. 

The Hauser Group, Public Relations Consultant, March 1998 to April 1998. 

The White House, Presidential Advance, March 1998 to April 1999. Note: Unpaid 

position, periodic work around specific events/not full-time employment. 

9. Attach a copy of your resume. A copy is attached. 

10. List any advisory, consultative, honorary, or other part-time service or positions with Federal, State, or local governments, other than those listed above, within the last 5 years: None. 

11. List all positions held as an officer, director, trustee, partner, proprietor, 

agent, representative, or consultant of any corporation, company, firm, partnership, 

or other business, enterprise, educational, or other institution within the last 5 

years. 

My husband and I own four rental units which we lease out, two apartments in 

our home on 6th Street, SE and a two-unit home on 4th Street, SE, both in Washington, D.C. 

12. Please list each membership you have had during the past 10 years or currently hold with any civic, social, charitable, educational, political, professional, fraternal, benevolent or religious organization, private club, or other membership organization. Include dates of membership and any positions you have held with any organization. Please note whether any such club or organization restricts membership 

on the basis of sex, race, color, religion, national origin, age, or handicap. 

House Chiefs of Staff Association, 2007. 

American Legion Auxiliary, lifetime member (inactive). Note: This is a women’s 

organization. 

Daughters of the American Revolution, member 2002–present (inactive). Note: 

This is a women’s organization. 

Kappa Kappa Gamma sorority, alumna 1996–present (inactive). Note: This is 

a women’s organization. 

Atean Society, board 1999–2000 (This organization no longer exists but at the 

time was a group of young professionals who organized an annual charity benefit.) 

13. Have you ever been a candidate for and/or held a public office (elected, nonelected. or appointed)? If so, indicate whether any campaign has any outstanding 

68 

debt, the amount, and whether you are personally liable for that debt: No; not applicable. 

14. Itemize all political contributions to any individual, campaign organization, 

political party, political action committee, or similar entity of $500 or more for the 

past 10 years. Also list all offices you have held with, and services rendered to, a 

state or national political party or election committee during the same period. 

Political Contributions over $500: 

Obama for America, $2,300 to general election campaign. 

Richardson for President, $1,000 to primary campaign. 

Richardson for Governor, $500. 

Services and Affiliations: 

Democratic Congressional Campaign Committee—In my personal time, I have 

co-hosted events, raised funds and attended events benefiting the DCCC’s efforts in the 2006 and 2008 cycles. 

NewDemPAC and Center Stage—I met with prospective House candidates, 

made fundraising calls and attended fundraisers and other events for the 

NewDemPAC (the Political Action Committee of the House New Democrat Coalition) in my personal time during the 2006 and 2008 cycles. I have attended 

events held by Center Stage, an LLC which primarily held events at the 2008 

Democratic Convention. 

Tauscher for Congress and Democrats for the Future—In my personal time, I 

have made fundraising calls and attended fundraisers and other events for Congresswoman Tauscher’s reelection committee and her Leadership PAC during 

the 2006 and 2008 cycles. 

Presidential Debates 2004—I assisted the Kerry-Edwards campaign in a volunteer capacity with media booking and surrogate staffing at the three Presidential debates in 2004. 

Democratic National Convention 2004—I volunteered as a Network Liaison at 

the Democratic Convention in 2004. In this capacity, I booked Kerry campaign 

officials on the networks assigned to me and briefed them for their interviews 

during the week of the Convention. 

DNC Convention Response Team—In this volunteer capacity, I assisted in the 

Democratic response to 2004 Republican National Convention. 

Gore-Lieberman 2000—In this volunteer capacity, I assisted the Ohio Press Secretary with statewide surrogate pitching efforts. 

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

achievements. 

Scholarships: 

I received several merit and need-based scholarships to attend college. 

Other Special Recognition for Outstanding Service or Achievements: 

Secretary of Energy’s Award for Excellence for the Energy Employees Occupational Illness Compensation Program Act, 2000. 

Named one of the best press officers in the Clinton administration by the Regional Reporters Association, 2000. 

Stanley Chan Award for the Outstanding Political Science Graduate, Loyola 

Marymount University, 1997. 

16. Please list each book, article, column, or publication you have authored, individually or with others. Also list any speeches that you have given on topics relevant to the position for which you have been nominated. Do not attach copies of 

these publications unless otherwise instructed. 

All columns, op-eds and speeches I have written have been in the name of my 

employers. 

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

before Congress in a governmental or non-governmental capacity and specify the 

date and subject matter of each testimony: Not applicable. 

18. Given the current mission, major programs, and major operational objectives 

of the department/agency to which you have been nominated, what in your background or employment experience do you believe affirmatively qualifies you for appointment to the position for which you have been nominated, and why do you wish 

to serve in that position? 

69 

As Governor Locke said when nominated by President Obama to serve as Secretary of Commerce, ‘‘We will harness the resources and the talent of the Department of Commerce to help you fulfill your commitment to the American people to 

build a stronger and more prosperous nation.’’ If confirmed by the Senate, I would 

be honored to serve as the Assistant Secretary for Legislative and Intergovernmental Affairs at the Department of Commerce and play a role in that. The Department has tremendous work ahead of it to help get our economy back on track. I 

understand that American workers are the best and most industrious in the world 

and that when American businesses thrive, so will American workers. The President 

and Congress have undertaken an aggressive stimulus plan to create every opportunity for economic recovery. As the Chief of Staff to the Chair of the House New 

Democrat Coalition, I have devoted much of my time in the House to working to 

help enact policies that focus on strengthening America’s economic competitiveness 

in the global marketplace and fostering the innovation that has always put our businesses at the forefront. In this capacity, the issues on which I focused are some of 

the most important issues facing American businesses today—passing the economic 

stimulus packages, expanding broadband deployment, protecting Americans’ intellectual property around the globe, expanding trade in a way that creates jobs here 

at home and expands markets for American goods, and working to promote a regulatory environment that is fair and, above all, predictable. 

In addition, before returning to the House, I worked for Senator John Kerry, who 

serves on the Senate Commerce, Science and Transportation Committee. While 

there, I became versed in many of the issues facing the Department. 

The opportunity to serve as a liaison with Congress and state and local governments is one I take very seriously. As someone who spent the last 8 years working 

in both the House and Senate, it would be a privilege and an honor to be able to 

reach out and respond to the Senators, Representatives, Governors, Mayors, and 

their staff, and I would ensure that everyone reporting to me shared my same open, 

responsive philosophy. 

19. What do you believe are your responsibilities, if confirmed, to ensure that the 

department/agency has proper management and accounting controls, and what experience do you have in managing a large organization? 

While the Department will be well run by the Secretary and his top managers, 

I would take great care to ensure taxpayer dollars are wisely spent in the Legislative and Intergovernmental Affairs office. In my most recent position, I was responsible for managing a $1.3 million annual operating budget and a diverse staff of 17. 

I have had to make hard staffing and budget decisions in the past, and I am prepared to do so again. 

20. What do you believe to be the top three challenges facing the department/ 

agency, and why? 

I believe the top priority for the Commerce Department is to be as responsive to 

the American people and Congress as possible, in keeping with the President’s call 

for the Federal Government to be accountable, transparent and efficient. Implementation of the American Recovery and Reinvestment Act presents historic challenges 

and opportunities for the Department, which I look forward to working with the 

Committee to ensure are met. 

The individual challenges in the Department will all benefit from a Department 

that operates in a way that reflects the Obama Administration’s priorities—whether 

it is the upcoming Census; the National Oceanic and Atmospheric Administration’s 

(NOAA) crucial work in climate change, oceans, fisheries, and satellite programs; or 

the dire need to spur economic development and the growth of new industries 

through the efforts of the Economic Development Administration, Minority Business 

Development Agency, National Institute of Standards and Technology, International 

Trade Administration, and the Patent and Trademark Office. 

If confirmed I will be as responsive to Congress and state and local governments 

as possible, and I will aggressively work to address all challenges and maximize all 

opportunities facing the Department. 

B. POTENTIAL CONFLICTS OF INTEREST

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

other continuing dealings with business associates, clients, or customers. Please include information related to retirement accounts. 

My husband has mutual fund retirement accounts that are not self-directed, and 

I participate in the Federal Government’s Thrift Savings Plan program. He continues to hold individual stocks he purchased prior to our marriage. In addition, we 

own rental property described above and in my SF–278. 

70 

2. Do you have any commitments or agreements, formal or informal, to maintain 

employment, affiliation, or practice with any business, association or other organization during your appointment? If so, please explain: None. 

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

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

nominated: None. 

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

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

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

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

5. Describe any activity during the past 10 years in which you have been engaged 

for the purpose of directly or indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public 

policy. 

Throughout my career in government—eight years on the Hill and nearly 3 years 

in the Clinton administration—I have held positions in which I have worked to pass 

and impact legislation and public policy. Below I have highlighted key activities in 

each position. 

As the Chief of Staff to Congresswoman Ellen Tauscher, I have worked to pass 

and shape legislation. Specific examples include legislation she sponsored in the 

110th Congress to: 

Bring greater transparency and accountability to commodity markets without 

preventing pension funds and other institutional investors from engaging in the 

futures markets (H.R. 6976); 

Ensure that every crib sold in the United States is safe for infants (H.R. 5692); 

Mandate our troops have sufficient ‘‘dwell time,’’ or periods of rest and retraining, between deployments for Operation Iraqi Freedom or Operation Enduring 

Freedom (H.R. 3159); and 

Repeal the 2002 Congressional Resolution authorizing the use of force in Iraq 

(H.R. 2450). 

In addition, because of the Congresswoman’s role as Chair of the 68-Member 

House New Democrat Coalition, I have been involved in that organization’s efforts 

to enact legislation that strengthens U.S. competitiveness, meets the challenges 

posed by globalization in the 21st century, and bolsters America’s standing in the 

world. The organization played an active role in the Speaker’s Innovation Agenda— 

including longstanding New Dem efforts to promote ‘‘green tech’’ jobs, simplify and 

extend the research and development tax credit, and implement Healthcare Information Technology to reduce healthcare costs and provide savings for patients and 

businesses. The New Dems also played a lead role in the bipartisan new U.S. trade 

policy, which includes enforceable core labor and environmental standards, announced in May 2007. A summary of the New Dems’ accomplishments in the 110th 

Congress can be found at http://www.house.gov/apps/list/press/ca10ltauscher/ 

110thlAccomplishments.html. 

As the National Press Secretary to Senator John Kerry, I worked to generate public support for passage of his Kids First bill (S. 114). This legislation would have 

ensured health care coverage for the then 11 million uninsured children in America 

by encouraging states to expand coverage under Medicaid and the State Children’s 

Health Insurance Program and by providing tax incentives for parents to insure 

their children. 

At the Department of Energy, I had primary communications responsibility for 

the administration’s landmark proposal to compensate sick nuclear workers, the Energy Employees Occupational Illness Compensation Program Act, which was signed 

into law by President Clinton in 2000. This legislation became only the fourth Federal workers’ compensation program in history. 

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

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

See attached Ethics Agreement. 

C. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics by, or been the 

subject of a complaint to any court, administrative agency, professional association, 

disciplinary committee, or other professional group? If so, please explain: No. 

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

State, or other law enforcement authority of any Federal, State, county, or municipal entity, other than for a minor traffic offense? If so, please explain: No. 

71 

3. Have you or any business of which you are or were an officer ever been involved as a party in an administrative agency proceeding or civil litigation? If so, 

please explain: No. 

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

any criminal violation other than a minor traffic offense? If so, please explain: No. 

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

discrimination on the basis of sex, race, religion, or any other basis? If so, please 

explain: No. 

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

None. 

D. RELATIONSHIP WITH COMMITTEE

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

Yes. As someone who has spent the last 8 years on the Hill, I respect and understand the role of the Senate and House in ensuring our government is accountable 

to the people they represent. 

2. Will you ensure that your department/agency does whatever it can to protect 

congressional witnesses and whistle blowers from reprisal for their testimony and 

disclosures? 

Yes. During my work at the Department of Energy (DOE), I was sympathetic to 

the men and women who for decades before were blowing the whistle on unsafe 

working conditions at Atomic Energy Commission and DOE sites. The refusal of the 

government to acknowledge their claims resulted in decades of our Cold War warriors being left sick or dying as a result of their service in the production of our 

country’s nuclear deterrent. I am proud to have had a role in ensuring their voices 

were finally heard, and I would work to ensure all congressional witnesses and 

whistle blowers are heard and protected. 

3. Will you cooperate in providing the Committee with requested witnesses, including technical experts and career employees, with firsthand knowledge of matters 

of interest to the Committee? Yes. 

4. Are you willing to appear and testify before any duly constituted committee of 

the Congress on such occasions as you may be reasonably requested to do so? Yes. 

RESUME OF APRIL BOYD

Professional Experience 

Congresswoman Ellen Tauscher, Chief of Staff, Washington, D.C., August 2006 to 

January 2009. 

Served as top strategic advisor to leader of the 68-Member House New Democrat Coalition, the largest bloc of moderates in Congress, and House Armed 

Services Subcommittee Chair. 

Managed annual budget of $1.3 million and diverse staff of 17 in Washington 

and three district offices. 

Directed all aspects of active Congressional operation, including policy, communications, scheduling, political and outreach. 

Oversaw development of international bipartisan Congressional Delegation trips 

to ensure policy goals were achieved. 

Built targeted constituent outreach program, including strategies to grow optin e-mail list and redesign of website, requiring three-fold increase in outreach 

budget achieved through budgeting and staffing efficiencies. 

Reduced mail response time from 120 to 10 days by better utilizing technology 

and streamlining approval process. 

Senator John Kerry, National Press Secretary, Washington, D.C., November 2004 

to August 2006. 

Served as spokesperson for Senator in national and international media outlets. 

Developed multi-pronged roll-out strategies for major policy initiatives involving 

speeches, press events, targeted op-eds, interviews, background briefings with 

reporters and columnists, press packets, and website content. 

Responsible for daily management of media inquires in fast-paced office, including supervising Deputy Press Secretary, Committee Communications Director 

and Massachusetts Press Secretary. 

72 

Official Press Secretary, Washington, D.C., April 2004 to November 2004. 

Developed and edited rapid response communications to clarify Senator’s record 

and distribute to Hill surrogates. 

Identified potential legislative communications opportunities. 

Responsible for daily management of press inquires on Senator’s record and 

votes. 

Congresswoman Ellen Tauscher, Communications Director, Washington, D.C., 

January 2001 to April 2004. 

Devised and implemented redistricting communications strategy to introduce 

Congresswoman to 200,000 new constituents. 

Leveraged Congresswoman’s appointment as National Vice Chair of the Democratic Leadership Council to elevate her national profile, including being named 

one of the ‘‘50 most powerful people in Washington’’ by George magazine. 

U.S. Department of Energy, Press Officer and Special Assistant, Washington, 

D.C., February 2000 to January 2001. 

Played lead role in media strategy for landmark legislative proposal to compensate sick nuclear workers, including coordinating with press offices at field 

sites in 12 states, placing surrogates in key markets, and briefing reporters and 

editorial boards. 

Acted as traveling press secretary to Secretary Bill Richardson on foreign and 

domestic trips. 

Served as spokesperson for agency and Secretary on nuclear safety, electricity 

crisis and other issues. 

Worked with Communications Director to develop crisis management strategies 

for breaking public health stories. 

U.S. General Services Administration, Media Liaison, Washington, D.C., April 

1998 to February 2000. 

The Hauser Group, Public Relations Consultant, Washington, D.C., March 1998 

to April 1998. 

The White House, Presidential Advance, Washington, D.C., March 1998 to April 

1999. 

Political Experience 

Presidential Debates 2004—Assisted Kerry-Edwards campaign with media booking and surrogate staffing Democratic National Convention 2004—Network Liaison. 

DNC Convention Response Team—Assisted in Democratic response to 2004 Republican National Convention. 

Gore-Lieberman 2000—Assisted Ohio Press Secretary with statewide surrogate 

pitching efforts. 

Education 

Loyola Marymount University, Los Angeles, Bachelor of Arts, 1997, Magna Cum 

Laude. 

Distinctions 

Named one of the best press officers in the Clinton administration by the Regional 

Reporters Association, 2000 Secretary of Energy’s Award for Excellence for the Energy Employees Occupational Illness Compensation Program Act, 2000. 

February 20, 2009 

Ms. BARBARA S. FREDERICKS, 

Assistant General Counsel for Administration, 

U.S. Department of Commerce, 

Washington, DC. 

Dear Ms. Fredericks: 

The purpose of this letter is to describe the steps that I will take to avoid any 

actual or apparent conflict of interest in the event that I am confirmed for the position of Assistant Secretary for Legislative and Intergovernmental Affairs, United 

States Department of Commerce. 

73 

As required by 18 U.S.C. § 208(a), I will not participate personally and substantially in any particular matter that has a direct and predictable effect on my financial interests or those of any person whose interests are imputed to me,. unless I 

first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(1), or qualify for a regulatory exemption, pursuant to 18 U.S.C. § 208(10)(2). I understand that the interests 

of the following persons are imputed to me: any spouse or minor child of mine; any 

general partner of a partnership in which I am a limited or general partner; any 

organization in which I serve as officer, director, trustee, general partner or employee; and any person or organization with which I am negotiating or have an arrangement concerning prospective employment. 

Within 90 days of my confirmation, my spouse and I will reduce our interests in 

Exxon Mobil and Johnson & Johnson sufficiently to allow my participation in matters of general applicability, consistent with 5 CFA. § 2640.202(c). We will divest 

enough shares of Exxon Mobil to reduce the value of our interest to no more than 

$20,000. We will divest enough shares of Johnson & Johnson to reduce the value 

of our interest to no more than $20,000, with the aggregate value of our interests 

in Johnson & Johnson, General Electric, and Pfizer being reduced to no more than 

$45,000. With regard to Exxon Mobil and Johnson & Johnson, I will not participate 

personally and substantially in any particular matter that has a direct and predictable effect on the financial interests of these entities until we have divested our interests to a value below the ceiling of the regulatory exemption allowing participation in matters of general applicability, unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(1). After these initial divestitures, I will monitor the values 

of my interests in these companies carefully to ensure that I remain eligible to participate in matters of general applicability affecting them. 

Moreover, if I rely on a de minimus exemption under 5 C.F.R. § 2640.202 with regard to any of my financial interests, I will monitor the value of all such interests. 

If the aggregate value of interests affected by a matter of general applicability increases and exceeds the de minimis threshold or if the value of an individual holding exceeds the de minimus threshold, I will not participate in the matter, unless 

I first obtain a written waiver under 18 U.S.C. § 208(b)(1). 

My spouse is employed as an associate by the law firm Holland & Knight, LLP, 

from which he receives a fixed salary and an annual bonus. I will not participate 

personally and substantially in any particular matter that has a direct and predictable effect on my spouse’s, compensation or employment with Holland & Knight, 

LLP, unless I first obtain a written waiver, pursuant to 1.8 U.S.C. § 208(b)(1). I also 

will not participate personally and substantially in any particular matter involving 

specific parties in which the firm or any client of my spouse is a party or represents 

a party, unless I am first authorized to participate, pursuant to 5 C.F.R. 

§ 2635.502(d). In addition, for the duration of my appointment to the position of Assistant Secretary for Legislative and Intergovernmental Affairs, my spouse has 

agreed not to communicate with the Department of Commerce on behalf of the firm 

or any client. 

Sincerely, 

APRIL S. BOYD

Senator DORGAN. Ms. Boyd, thank you very much. 

Mr. Kerry, your entire statement will be made a part of the permanent record, as well as Ms. Abbott’s when she testifies. 

STATEMENT OF CAMERON F. KERRY, GENERAL COUNSELDESIGNATE, DEPARTMENT OF COMMERCE 

Mr. KERRY. Thank you, Chairman Dorgan and Ranking Member 

Hutchison and Members of the Committee. I am honored to be here 

today, and I am humbled by the trust that President Obama and 

Secretary Locke are placing in me. I am grateful for this opportunity to serve the American people as General Counsel at the Department of Commerce. 

I am also very honored to join a distinguished group of lawyers 

from both parties who have held this post who have set the bar 

very high. 

I do want to thank my brother, Senator Kerry, for his very generous introduction today. Sometimes, between siblings, words like 

74 

that do not come easily, so I am certainly enjoying the occasion. I 

think the Committee can rest assured that I will be very attentive 

to this body because if I am not, my big brother is going to beat 

me up. 

[Laughter.] 

Mr. KERRY. In truth, I have always looked up to my big brother 

because of the way that he has invested his life in public service, 

and I have seen up close the sacrifices that public servants, both 

elected officials and government workers, make and how hard they 

work. I am awed and humbled by their example and gratified by 

the opportunity to serve myself. 

I would like to take a moment to introduce to the members of 

the Committee who were not presented to my family earlier, my 

wife, Kathy Weinman. Kathy and I actually met here in the City 

of Washington as young associates at a law firm. This is where we 

fell in love. So this city has romantic associations for us. Since we 

have made our home in Boston, she has, as my brother mentioned, 

become a distinguished lawyer there and now heads the Boston 

Bar Association, which is the Nation’s oldest. It was founded by 

John Adams. 

Our youngest daughter, Laura is keeping her college class schedule in Senator Snowe’s State, but we are proud to have with us 

here my daughter Jessica as well. 

The Department of Commerce, as April Boyd has discussed, has 

a broad mandate of stewardship of knowledge, of innovation, and 

of economic growth. As the agency’s chief legal officer, the General 

Counsel faces an array of complex problems from trade to climate 

science, to Internet technology, to fisheries, to intellectual property, 

among many others. And the General Counsel has to manage some 

400 lawyers in 14 bureaus and face the difficult issues ahead immediately of the 2010 Census, the stimulus program, and patent 

reform. 

All this will be a challenge, but it is a challenge that I welcome. 

In 30 years as a regulatory lawyer, as a litigator, I have had to 

master a number of complex areas of the law from the time that 

I started practice here in Washington at Wilmer, Cutler as a communications and antitrust lawyer, to teaching communications at 

Suffolk Law School, to reaching beyond those boundaries to litigate 

complex cases in environmental cleanup and toxic torts, in insurance regulation, all of which demanded the mastery of expert witnesses in a variety of scientific and professional disciplines. And I 

have appeared in various jurisdictions not just in New England but 

around the country and here in the District of Columbia. 

So I come before you today with much to learn, but I believe also 

with the skill, the judgment, and the range to address the broad 

array of issues at the Department of Commerce. I plan to give this 

job every bit of energy, creativity, versatility, curiosity, and intellect that I can muster. 

As I do that, I will have the help of an experienced career staff. 

A law office depends on its intellectual capital, and that is something that the General Counsel’s Office has in abundance. 

My goal, members of the Committee, if I am confirmed, is to 

make sure that this intellectual capital is harnessed in the service 

of economic recovery in the national task of creating jobs and ecoVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00078 Fmt 6633 Sfmt 6601 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
75 

nomic growth. The lawyers of the Department can support that 

task by turning to it urgently with their most thorough analytical 

skills, their most creative imagination, and their most careful ethical judgment. 

If I am confirmed, I will also bring the experience—in politics 

and in my brother’s national campaign. This has bearing because 

each of the members of this Committee and of this body knows well 

that campaigns are a crucible, and in some small measure, I have 

been through that crucible and had the opportunity to deal with 

national issues, to advise on national issues, and to have, as I have 

gotten to know the States of some of the members here, the opportunity to have some of the conversations you have had with people 

who wonder how they are going to be able to pass on to their children what our parents passed on to us. 

I believe I can be a better advisor to the Secretary, a better 

Counsel to the Department, and more attentive to the members of 

this body because of those experiences. 

This is an extraordinary time of challenge, a time to be in public 

service. I am honored to be asked to serve as General Counsel, and 

I am grateful for the opportunity not just to be here today but to 

the members who have shared their time, their insights on the 

issues before the Department of Commerce, and I hope that those 

conversations are just a beginning, that Secretary Locke and the 

Department of Commerce can look forward to a productive partnership with this Committee, with this body in the work of lifting the 

Nation out of its economic crisis and renewing prosperity and opportunity. 

I would be happy to answer any questions the Committee has. 

[The prepared statement and biographical information of Mr. 

Kerry follows:] 

PREPARED STATEMENT OF CAMERON F. KERRY, GENERAL COUNSEL-DESIGNATE, 

DEPARTMENT OF COMMERCE

Chairman Rockefeller, Senator Hutchison and Members of the Committee, thank 

you. I am honored to be here and humbled by the trust President Obama and Secretary Gary Locke are placing in me. I am grateful for the opportunity to serve the 

American people in the challenging post of General Counsel of the Department of 

Commerce. 

I am also honored by the chance to join the distinguished group of lawyers from 

both parties who have held the same post. They have set the bar high. 

I want to thank my brother for his generous introduction. Sometimes between siblings words like those don’t come easily, so I certainly am enjoying the occasion. You 

can rest assured that I will always be attentive to this Committee. 

I have always looked up to my brother. He has invested his life in public service. 

Too many people put down elected officials, and government workers, too easily. But 

I have seen up close the sacrifices that public servants make and how hard they 

work. I am awed and humbled by their example, and gratified to have this opportunity to make some contribution myself. 

I’d like to take a moment to introduce my wife Kathy Weinman. We met and fell 

in love here in Washington as young associates at a law firm. Since we made our 

home in Massachusetts, she has become a leading litigator there and now serves 

as President of the Boston Bar Association, the Nation’s oldest, founded by John 

Adams. 

Our youngest daughter Laura is keeping her college class schedule in Senator 

Snowe’s state, but Kathy and I are proud to have with us today our other daughter 

Jessica. 

The Department of Commerce has a broad mandate for stewardship of knowledge, 

innovation, and economic growth. As the agency’s chief legal officer and a counselor 

to the Secretary and other officers of the Department, the General Counsel faces an 

76 

array of complex issues, from trade to the environment to Internet technology to intellectual property, among others. The General Counsel must manage some 400 lawyers in 14 bureaus and divisions. Right away, the next General Counsel will face 

difficult and important issues arising from the 2010 Census, the stimulus program, 

and patent reform. 

All this is will be a challenge, but it is a challenge I welcome. In my 30 years 

of practice as a regulatory lawyer and a litigator, I have had to master a number 

of diverse and complex areas of the law. I began practice here in Washington at Wilmer, Cutler & Pickering as a communications and antitrust lawyer. I broadened my 

communications practice when I returned to Boston and joined Mintz Levin, and 

also taught in this rapidly-changing field as an Adjunct Professor at Suffolk University Law School. But I have reached out beyond the boundaries of a single field of 

law to try challenging cases in areas such as environmental litigation, toxic torts, 

and insurance regulation. One of the demands of such cases was master expert testimony in a variety of scientific and professional disciplines. I have appeared in 

courts and agencies in most of the New England states as well as New York, Illinois, Florida, and here in the District of Columbia, among other venues. Though I 

have more to learn, I believe I come before you with the range, the skill, and the 

judgment to address the broad array of legal issues at the Department of Commerce. 

If confirmed, I will give this job every bit of energy, curiosity, creativity, 

versatility, and intellect I can muster. And I will have the help of a talented and 

experienced career staff. A law office depends on its intellectual capital—the store 

of the knowledge and experience of its professionals. This is one resource the Office 

of General Counsel, like much of the Department of Commerce, has in abundance. 

My goal if I am confirmed is above all to make sure this intellectual capital is 

fully harnessed in the service of economic recovery. The programs of the Department of Commerce are invaluable tools for the national task of creating jobs and 

jump-starting economic growth, and the lawyers of the Department can support this 

essential task by turning to it urgently with their most thorough analytical skills, 

their most creative imagination, and their most careful ethical judgment. 

I also bring with me my experience in politics and my brother’s national campaign. It’s relevant because, as each one of you knows well, campaigns are a crucible. And in some small measure, I have been through that crucible. I have been 

afforded the opportunity to grapple with and advise on a range of difficult national 

issues. I have been given the opportunity of getting to know many of your states, 

and having some of the same conversations you have had with people who wonder 

how they will be able to pass on to their children what our parents passed on to 

us. If I am confirmed, I will be a better adviser for the Department and the Secretary—and more attentive to members of this body—because of these experiences. 

This is a time of challenge such as few generations in American history have 

faced. This is a time to be in public service. I am honored that President Obama 

has asked me to serve as the General Counsel of the Department of Commerce, and 

I am ready to do so if I am confirmed. 

I am grateful for the opportunity to be here today, and grateful to members of 

this Committee and their staffs who have shared their insights on issues facing the 

Department. I hope our conversations are just a beginning, and that Secretary 

Locke and the Department of Commerce can look forward to a productive partnership with this Committee and the Congress in the work of lifting the Nation out 

of its economic crisis and restoring opportunity and confidence. 

I would be pleased to answer any questions. 

A. BIOGRAPHICAL INFORMATION

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

Cameron F. Kerry (Cam Kerry). 

Position to which nominated: General Counsel, Department of Commerce. 

3. Date of Nomination: April 20, 2009 (expected). 

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

Residence: Information not released to the public. 

Office: Mintz Levin Cohn Ferris Glovsky & Popeo. P.C., One Financial Center, 

Boston, MA 02111. 

5. Date and Place of Birth; September 6, 1950; Washington, D.C. 

77 

6. Provide the name, position, and place of employment for your spouse (if married) and the names and ages of your children (including stepchildren and children 

by a previous marriage). 

I am married to Kathy B. Weinman, who is a partner at Dwyer & Collora, LLP 

in Boston, MA. We have two daughters, Jessica Weinman Kerry, 23: and Laura 

Weinman Kerry, 19. 

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

Boston College Law School, 1975–78, J.D., magna cum laude. 

Harvard College 1968–72, B.A., cum laude in General Studies (concentration in 

American History). 

8. List all post-undergraduate employment, and highlight all management-level 

jobs held and any non-managerial jobs that relate to the position for which you are 

nominated. 

Member, Mintz Levin Cohn Ferris Glovsky & Popeo, P.C., Boston, MA (Associate, 

1983–1987; Member 1987–present). 

Adjunct Professor, Suffolk University Law School, Boston, MA (1997–2002). 

Associate, Wilmer, Cutler & Pickering, Washington, D.C. (1979–1982; on leave 

of absence 1982). 

Campaign Manager, John Kerry for Lieutenant Governor, Boston, MA (1982). 

Law Clerk to Senior Judge Elbert P. Tuttle, U.S. Court of Appeals for the Fifth 

Circuit, Atlanta, GA (1978–79). 

Summer Associate, Ropes & Gray, Boston, MA (Summer 1977). 

Intern, Massachusetts Executive Office Consumer Affairs, Boston, MA (Summer 

1976). 

Campaign Director, Paul Guzzi for Secretary of State, Newton, MA (1973–74). 

Freelance Writer and Political Consultant, Cambridge, MA (1973). 

Taxi Driver, Cambridge Yellow Cab, Cambridge, MA (part-time. 1973–74). 

Strategy Director, John Kerry for Congress, Lowell, MA (1972). 

(Because the position of General Counsel involves a wide range of legal duties, 

I have highlighted all the full-time legal positions as well as those positions that 

involved management-level jobs.) 

9. Attach a copy of your resume. Attached as Attachment A. 

10. List any advisory, consultative, honorary, or other part-time service or positions with Federal, State, or local governments, other than those listed above, within the last 5 years. 

Member, Civic Engagement Working Group, Massachusetts, Patrick-Murray 

Transition Committee (December 2006). 

11. List all positions held as an officer, director, trustee, partner, proprietor, 

agent, representative, or consultant of any corporation, company, firm, partnership, 

or other business, enterprise, educational, or other institution within the last 5 

years. 

Employers 

Mintz Levin Cohn Ferris Glovsky & Popeo, P.C., Boston, MA, Member of firm 

(April 1987 to present; Associate since 1983). 

Suffolk University Law School, Boston, MA, Adjunct Professor (January 1997 

to May 2002) 

Non-profit board memberships 

Citizen Schools Boston, Boston, MA, Council of Champions Advisory Board 

Member (November 2006 to present). 

New England Nordic Skiing Association, New Gloucester, ME, Member of Board 

of Directors (December 1999 to present) 

National Jewish Democratic Council, Washington, D.C., Vice-Chair (January 

2008 to present); Executive Committee (January 2006 to February 2008): Board 

Member (February 2005t o present). 

Law Firm Clients 

Adelphia Cable Communications, Coudersport, PA, outside attorney (May–September 2005). 

Alticomm, Inc., Canton, MA, outside attorney (February 2001 to May 2004). 

78 

Comcast Corporation (and subsidiaries), Philadelphia, PA, outside attorney 

(February 2002 to present). 

Coyote Springs investments LLC, Sparks, NV, outside attorney (January 2005 

to May 2007). 

Fibertech Networks, LLC, Rochester, NY, outside attorney (March 2001 to February 2005). 

Virginia Fruh, Newburyport, MA, outside attorney (January 2002 to present). 

Greater Boston Interfaith Organization, Boston, MA, outside attorney (March 

2006 to March 2008). 

The Hartford, Hartford, CT, outside attorney (April 2006 to September 2007). 

Infinity Broadband Ltd., Grand Cayman, outside attorney (November 2006 to 

May 2007). 

Inside Cable, Inc., Billerica, MA, outside attorney (June 2004 to present). 

Maurice Khawam, NexTFund Capital, Paris, France, outside attorney (December 2006). 

Massachusetts Property Insurance Underwriting Association, Boston, MA, outside attorney (July 1991 to present). 

MetroPCS Communications, Inc., Richardson, TX, outside attorney (December 

2008 to present). 

New England Sports Network, Watertown, MA, outside attorney (March 1993 

to present). 

New England Cable & Telecommunications Association, Braintree, MA, outside 

attorney (June 1985 to July 2006). 

SAS Institute, Cary, NC, outside attorney (September 2007 to March 2008). 

Terra Mark, LLC, Stamford, CT, outside attorney (January 2006 to January 

2008). 

Time Warner Cable, Inc., New York, NY, outside attorney (July 1992 to 

present). 

12. Please list each membership you have had during the past 10 years or currently hold with any civic, social, charitable, educational, political, professional, fraternal, benevolent or religious organization, private club, or other membership organization. Include dates of membership and any positions you have held with any organization. Please note whether any such club or organization restricts membership 

on the basis of sex, race, color, religion, national origin, age, or handicap. 

A list of memberships is attached as Attachment B. It includes organizations such 

as public radio stations where ‘‘membership’’ involves primarily making a contribution but also provides some membership benefits such as a magazine subscription 

or a discount card, but does not include general contributions. To the best of my 

knowledge, none of these organizations restricts membership on the basis of sex, 

race, color, religion, national origin, age, or handicap. 

13. Have you ever been a candidate for and/or held a public office (elected, nonelected, or appointed)? If so, indicate whether any campaign has an outstanding 

debt, the amount, and whether you are personally liable for that debt. 

Yes. During 2005, I was an active candidate for Secretary of the Commonwealth 

(Secretary of State) in Massachusetts but ended the candidacy when the incumbent 

decided not to run for other office. The campaign committee (The Cam Kerry Committee) has no outstanding debts. 

14. Itemize all political contributions to any individual, campaign organization, political party, political action committee, or similar entity of $500 or more for the 

past 10 years. Also list all offices you have held with, and services rendered to, a 

state or national political party or election committee during the same period. 

A list of such contributions since 1998 is attached as Attachment C. It includes 

contributions made by The Cam Kerry Committee, the Massachusetts political committee formed for the candidacy described in response to Question A.13. 

In 2003–04, I was a traveling surrogate and senior advisor to John Kerry for 

President, Inc. and the Democratic National Committee, in connection with which 

I also served as Co-Chair of Lawyers for John Kerry and Lawyers for KerryEdwards, and Chair of the Kerry-Edwards Middle East Advisory Committee. My expenses were paid. 

In 2006, I co-chaired Massachusetts Victory 2006, the coordinated campaign of the 

Massachusetts Democratic Party from March through November. This was a volunteer position. 

In 2008, from October to November I was senior advisor to the Ohio Campaign 

for Change, the Democratic coordinated campaign, working on voter protection. This 

79 

was a volunteer position. I was also a member of the Obama National Finance Committee and New England Finance Committee, and a Chair of the New England Jewish Leadership Committee. 

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

achievements. 

Fellow, American Bar Foundation. 

Honored by Mass Vote (voter engagement nonprofit) as a ‘‘Champion of Democracy’’ (September, 2008). 

Cited by the National Press Photographers Association for ‘‘outstanding support 

in promoting and protecting the First Amendment freedoms for working 

photojournalists with legal action in America’s courtrooms’’ (July 1990). 

Order of the Coif. 

Executive Editor, Boston College Law Review (1977–78). 

Overall winner and winner of Best Speaker and Best Brief awards, Grimes 

Moot Court Competition, Boston College Law School (1978). 

16. Please list each book, article, column, or publication you have authored, individually or with others. Also list any speeches that you have given on topics relevant to the position for which you have been nominated. Do not attach copies of 

these publications unless otherwise instructed. 

Publications 

Obama Is Calling to Jews, Jewish Telegraphic Agency (April 18, 2008). 

Unpacking the Massachusetts Preliminary Injunction Standard, Massachusetts 

Law Review (Winter 2007). 

Contributor, Report and Recommendations, Civic Engagement Working Group, 

Patrick-Murray Transition Committee (December 2006). 

Voting Made Easy, Boston Globe Op-Ed (Oct. 3, 2005). 

Counting Every Vote, Boston Globe Op-Ed (Jan. 6, 2005). 

Coordinating editor, Special Millennium Issue, The Constitution in The 21st 

Century, 44 Boston Bar J. No. 1 (Jan. 2000) (a collection of articles by judges 

and prominent BBA members on current constitutional issues). 

Door Left Open For Operators to Sue for Access to Rights of Way, 17 Cable TV 

& New Media Law & Finance 1 (Sept. 1999), with Frank W. Lloyd and Scott 

A. Samuels (a note on a First Circuit decision on provisions of the Telecommunications Act of 1996). 

Kumho Tire Widens The Gate, Toxic Torts & Environmental Law (Summer, 

1999)(analysis of Supreme Court decision on admissibility standards for expert 

testimony under Fed. R. Evid. 702). 

Feds Finding That Old Rules Don’t Work on Net, Mass High Tech (April 5–11, 

1999) (reporting on communications regulation issues affecting the Internet). 

A Sword And A Shield: The Effect of New Standards on Lead Liability Litigation, in Conference Materials, Lead and the Law Conference presented by IAQ 

Publications, Washington, D.C., and conference presentation on Lead Exposure—A Critical Examination of Legal, Medical, and Bureaucratic Models 

(March 1997) (analysis of the impact of HUD and EPA regulations on liability 

standards in lead litigation). 

Playing The Odds in Lead Litigation, in Conference Materials, Lead Tech Conference presented by IAQ Publications in Arlington, Virginia, and conference 

presentation (Oct. 1996) (statistical analysis of verdicts). 

A Statistical Analysis of Lead Litigation Verdicts, Mealey’s Litigation Reports— 

Lead (July 3, 1996 ) (same). 

Lanigan’s Wake: Has a New Standard Emerged for Admitting Scientific Evidence in Massachusetts Court? 40 Boston Bar, J. 8 (Jan.-Feb. 1996), with Andrew N. Nathanson (review and analysis of Massachusetts SJC’s adoption of 

Daubert standards in Commonwealth v. Lanigan). 

Franchise Fees Enforcement Under The Cable Act: An FCC Responsibility, 39 

Fed. Communications Law J. 53 (1985), with Frank W. Lloyd (analysis of Communications Act provisions and FCC authority relating to local cable television 

franchise fees). 

Principal author and editor, State and Municipal Regulation of Cable Television, and editor, Federal Regulation of The Content of Programming OrigiVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00083 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
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nated by Cable Systems, in C. D. Ferris, F. W. Lloyd & T. Casey, Cable Television Law (Matthew Bender & Co., 1983 & Supps. 1984–96) (treatise chapters 

and periodic updates on title subjects). 

Regulation of Internal Union Affairs—Access to the Union Ballot Under the 

LMRDA; and Certification of a Discriminatory Bargaining Representative— 

Bekins Overruled: Handy Andy, Inc., in Annual Survey of Labor Relations and 

Employment Discrimination Law, 18 Boston College L. Rev. 1045, 1090 (1977) 

(notes on NLRB decisions). 

Note, Advertising of Prescription Drug Prices as Protected Commercial 

Speech—Virginia State Board of Pharmacy v. Virginia Citizens Consumer Council, Inc., 18 Boston College L. Rev. 276 (1997) (a comment on First Amendment 

standards of review applicable to commercial speech). 

Professional Lectures and Presentations 

Panelist, Review of the 2008 Election And Its Impact on Telecommunications, 

Boston University College of Communications and Federal Communications Bar 

Association New England (November, 2008). 

Colloquium Presentation, Economic Warfare on the Internet: The Case of The 

2004 Presidential Election, Ecole de Guerre Economique, Paris, France (April 

2007, in French). 

Guest Lecturer, Telecommunications Regulation in the United States, Masters 

in Telecommunications Law Program, Universidad Pontificia de Las Comillas 

de Madrid/ICADE Madrid, Spain (May 1999). 

Program Chair, The 1996 Telecommunications Act: A Guide to The Changing 

Landscape, Conference presented by Massachusetts Telecommunications Council and Mintz Levin Cohn Ferris Glovsky & Popeo, P.C. (January 1999). 

Conference Presentation, Sources and Impact of Lead: An Update of Environmental Factors, Lead Tech Conference presented by IAQ Publications, Inc., Baltimore, Maryland (October 1998). 

Conference Presentation, Lead and the Law Conference presented by IAQ Publications, Baltimore, Maryland (May, 1998). 

Conference Presentation, Mealey’s Publications National Lead Litigation Conference, Philadelphia, Pennsylvania (April 1998). 

Chair, Mealey’s Dauber and Expert Admissibility Conference, Philadelphia, 

Pennsylvania (October 1997). 

Program Faculty, New Opportunities in The Changing Communications Industry, Suffolk University Law School Advanced Legal Studies Program (April 

1997). 

Co-Chair, Mealey’s Publications National Lead Litigation Conference, Philadelphia, Pennsylvania (May 1996). 

Co-Chair, Mealey’s Publications National Lead Litigation Conference, Philadelphia, Pennsylvania (May 1995). 

Panelist, Massachusetts Property Insurance Underwriting Association Seminar 

on Lead Poisoning Claims and Litigation, Braintree, MA (June 1994). 

Panelist, Coping with the Cable Television Consumer Protection and Competition Act of 1992, New England Cable Television Association (January 1993). 

Panelist, Massachusetts Property Insurance Underwriting Association Seminar 

on Lead Poisoning Claims and Litigation, Braintree, MA (November 1992). 

Lecturer, Discovery and Investigation of Sources of Exposure and Causes of Injuries, Mealey’s Publications Nationaf lead litigation Conference, Philadelphia, 

Pennsylvania (May 1992). 

Panelist, How to Try a Lead Poisoning Case, Massachusetts Continuing Legal 

Education Program (February–March, 1992). 

Panelist, Waste Disposal Liability Workshop, Massachusetts Municipal Association, Westborough, MA (November, 1986). 

In addition to these individually-identified presentations or lectures, I have regularly appeared as a panelist on current regulatory developments at semiannual conferences of the New England Cable & Telecommunications Association; on similar topics at occasional other cable television trade association or 

continuing legal education conferences; and at Mintz Levin presentations for clients and others on communications regulation, litigation, and environmental exposure issues. 

81 

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

before Congress in a governmental or non-governmental capacity and specify the 

date and subject matter of each testimony. 

In June 1986, as counsel for Grant Gear Works, Inc., I appeared before the Senate 

Committee on Environment and Public Works in connection with testimony given 

by John F. Hurley, President of Grant Gear Works, Inc. on CERCLA (Superfund) 

liability standards. 

18. Given the current mission, major programs, and major operational objectives 

of the department/agency to which you have been nominated, what in your background or employment experience do you believe affirmatively qualifies you for appointment to the position for which you have been nominated, and why do you wish 

to serve in that position? 

The Department of Commerce has a broad and diverse portfolio. It calls for a General Counsel who is able to bring judgment and facility to a range of complex and 

often novel problems. That has been the nature of my practice in my 30 years as 

a litigator and regulatory lawyer at leading law firms in Boston and Washington. 

Trial practice has demanded accelerated and intensive mastery of changing subjects and fact patterns, from remediation of PCB pollution to the epidemiology of 

lead poisoning to environmental insurance coverage to telecommunications inter-carrier billing to hurricane modeling (among others). At the same time, my continuous 

years of practice as well as my teaching in communications law has grounded me 

in issues of technology, regulation, and competition that are central to the role of 

the Department in promoting innovation and broadband development. 

More specifically, my work in this field familiarizes me with the industry and 

issues that are front and center in the National Telecommunications and Information Administration’s work as it oversees the digital transition and distribution of 

stimulus funds for broadband development. This familiarity with technology, with 

electronic communications, and with communications networks carries over into the 

work of the Bureau of Industry and Security (cyber-security and privacy), trade promotion in the International Trade Administration (e-commerce and privacy), and the 

National Institute of Standards and Technology (standards). I understand the importance and challenges of these sectors to the future of the American economy because they have been part of my working life for 30 years. 

In addition to this specific involvement in technology and telecommunications, my 

practice has given me tools to deal with the more general role of the Department 

of Commerce in the promotion of science and stewardship of the environment. Although I pursued a training in the liberal arts, I have found that my work using 

or challenging expert witnesses and applying the Supreme Court’s decision in 

Daubert v. Merrell Dow Pharmaceuticals Corp. On the admissibility of seientific evidence has demanded an understanding of science and scientific method. In the 

course of my practice, disciplines I have had to cope with include accountants, actuaries, economists, engineers, epidemiologists, hydrogeologists, metallurgists, meteorologists, neuropsychologists, occupational therapists, pediatricians, and toxicologists. Most recently, work on insurance regulation involving hurricane risk has 

delved into catastrophe models based on extensive hurricane data developed by the 

National Hurricane Center of the National Weather Service. 

My legal experience and judgment is informed both by my representation of clients in the private sector and by my involvement in national and state politics. 

From my clients, I have an appreciation of the needs and interests of the Department’s business stakeholders, and of the frustration they sometimes have with government. At the same time, my involvement in politics has engaged me with communities, issues, and people outside the usual confines of law practice, and deepened my understanding of the issues that America and its people face. Political campaigns are a form of conversation between government and the people. I will be a 

better adviser for the Department and the Secretary because I have been part of 

this conversation. 

My work in the political arena reflects my abiding concern for public issues and 

government. Even though I have spent much of my career in the private sector, I 

regard public service as the highest calling. This is a time of challenge such as few 

generations in American history have faced. It is a time to be in public service. I 

am honored that President Obama has asked me to serve in the job of General 

Counsel at the Department of Commerce, and I am ready to do so. 

19. What do you believe are your responsibilities, if confirmed, to ensure that the 

department/agency has proper management and accounting controls, and what experience do you have in managing a large organization? 

The most important management responsibilities of the Office of General Counsel, 

both as counselor to the Secretary of Commerce and secretarial officers and as the 

chief legal officer for the Department’s operating units, are to anticipate risks that 

82 

may develop into legal problems and to ensure compliance with the Department’s 

legal authorities. This responsibility calls above all for a high standard of legal judgment and—through leadership and engagement, clear communications and accountability—creating a culture within all of the Department’s legal offices that fosters 

the exercise of such judgment in all their work. 

The direct staff of the Office of General Counsel is comparable to (and in some 

eases smaller than) staffs I have run for cases or clients or in political campaigns. 

The advisory role for the Secretary is similar to the roving advisory role I had in 

the Presidential campaign of 2004, where I was able to leverage a similarly-scaled 

personal staff to work with a variety of operating units in a variety of roles. Having 

handled the challenges of that role gives me confidence I am capable of the job of 

General Counsel of Commerce. 

A critical element in managing an organization of any scale is seeing that the 

right people are in the right jobs. I have found that people I myself have hired or 

selected for jobs have generally succeeded in those jobs. I believe that judgments 

I have made about people associates, partners, assistants, campaign staff, opposing 

counsel, witnesses—more often than not have proved out over time. Recognizing and 

recruiting talented personnel in the Commerce Department’s legal offices will be key 

to success as General Counsel. 

20. What do you believe to be the top three challenges facing the department/ 

agency, and why? 

The Department of Commerce has a key role in promoting knowledge, innovation, 

and economic growth across many economic sectors. This role is essential in these 

challenging economic times when job creation must be job one. Within this broad 

frame, here are three immediate challenges that the Department has thrust on it: 

First and foremost is to focus the Department’s mission on the critical task of 

economic recovery and job creation. This challenge is urgent and will be overriding for the foreseeable future. The programs of the Department of Commerce 

are key tools for the Nation’s task of creating jobs and jump-starting economic 

growth, and the Department needs to make the most of these tools by ensuring 

that the priorities of each operating unit put recovery and job creation first. 

Second, the Department is entrusted with specific responsibilities under the 

American Recovery and Reinvestment Act that require immediate and concentrated attention. These include in particular preparing for $4.7 billion in 

wireless and broadband infrastructure grants by the National Telecommunications and Information Administration, as well as for research, for construction, and for development grants by the National Institute of Standards and 

Technology, the National Oceanic and Atmospheric Administration, and the 

Economic Development Administration (which the 2010 budget proposal increases). The Department needs to make sure these funds are used quickly, 

fairly, and effectively to meet the goals of the Act. 

Third, the Department has only a short time to complete its ramp-up to the 

2010 census. The Inspector General’s September 2008 Report to Congress identifies this as ‘‘the most significant challenge facing the Department,’’ and the 

Government Accountability Office has placed the census on its list of high-risk 

programs. At this stage, much of the planning and procurement for the 2010 

census has already been set by the systems, technology and personnel in place 

during the planning since the 2000 census. Nevertheless, the Department still 

has to put more than one million Americans to work on the census. This important task presents a challenge to hire, train, and manage such a large number 

of temporary employees and conduct outreach in the very near future. 

B. POTENTIAL CONFLICTS OF INTEREST

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

other continuing dealings with business associates, clients, or customers. Please include information related to retirement accounts. 

Please see Schedule C, Part II of my financial disclosure report. 

2. Do you have any commitments or agreements, formal or informal, to maintain 

employment, affiliation, or practice with an business, association or other organization during your appointment? If so, please explain: None. 

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

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

nominated. 

Over the course of the nomination process, I have consulted with the Department 

of Commerce’s designated agency ethics official and the Office of Government Ethics 

to identify potential conflicts of interest and have entered into an ethics agreement 

83 

with the Department’s designated agency ethics official. Any potential conflicts of 

interest will be resolved in accordance with the terms of this agreement. I am not 

aware of any other potential conflicts of interest. 

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

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

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

of interest in the position to which you have been nominated. 

A list of employers and of clients I have represented in the past 5 years is included in my response to Question A.11. Organizations and clients that might 

present a conflict of interest have been disclosed to the Office of Government Ethies 

and to the Department of Commerce designated agency ethics official. 

5. Describe any activity during the past 10 years in which you have been engaged 

for the purpose of directly or indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public 

policy. 

During this time, I have not engaged in any such activity that would trigger registering as a lobbyist under Federal or state law. In the course of my law practice, 

I have represented clients in adjudicatory proceedings, rulemakings, and policy advocacy before the Federal Communications Commission and state and local regulatory bodies in Massachusetts, New Hampshire, New York, and Rhode Island, as 

well as in judicial review of agency decisions. 

In addition, I have been involved since 2005 as a citizen in seeking the passage 

of legislation to permit Election Day registration in Massachusetts. As a member 

of the Massachusetts bar, I have participated from time to time in lobbying days 

for legal services funding. As Co-Chair of Lawyers for John Kerry, I have organized 

public advocacy for the Federal Count Every Vote Act and opposition to the nomination of Samuel Alito to be a Supreme Court Justice. In a broad sense, most of my 

political involvement in this period has sought to affect the administration and execution of law and public policy. 

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

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

In addition to the specific steps detailed in the ethics agreement, I will consult 

with ethics officials of the Department of Commerce to resolve any potential ethics 

issues that may arise. 

C. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics by, or been the 

subject of a complaint to any court, administrative agency, professional association, 

disciplinary committee, or other professional group? If so, please explain: No. 

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

State, or other law enforcement authority of any Federal, State, county, or municipal entity, other than for a minor traffic offense’? If so, please explain. 

In 1972, to considerable notoriety, Thomas J. Vallely (later elected to the Massachusetts Legislature) and I were arrested in Lowell, Massachusetts on the eve of 

a Congressional primary in the basement of a building that contained the telephone 

junction box for our campaign headquarters—and also the headquarters of another 

candidate. We were arrested and charged with breaking and entering in the nighttime with intent to commit a felony. After a probable cause hearing in Lowell District Court, the matter was bound over to a grand jury in Middlesex County, Massachusetts. The grand jury returned an indictment on the same charge. Following arraignment in Middlesex County Superior Court, the case was continued without a 

finding (with no admissions), and dismissed on the prosecution’s motion in 1973. 

3. Have you or any business of which you are or were an officer ever been involved as a party in an administrative agency proceeding or civil litigation? If so, 

please explain. 

In 1991, I was the named defendant and gave deposition testimony in a personal 

injury claim in Manhattan County, New York alleging that a car registered in my 

name was involved in hit-and-run accident. The case was dismissed on summary 

judgment in 1995 based on evidence that I was at my office in Boston on the day 

in question, that the car in question was in its garage at home and that, while my 

ear was a red subcompact, the car in the accident was described as white and midsized. 

In 1986, I was sued in Superior Court for Suffolk County, Massachusetts, in my 

capacity as an escrow agent for proceeds from the liquidation of assets of a closed 

corporation of which a client was one of two 50-percent shareholders. These funds 

were held in escrow pending agreement on the distribution of these proceeds. When 

no agreement was reached, the other shareholder, represented by my co-escrow 

84 

agent, brought suit against my client and me. The case was resolved with an agreement between the shareholders on distribution of the funds at issue. 

In 1986, I was the petitioner in an administrative proceeding before the Board 

of Appeal of the Massachusetts State Merit Rating Board to challenge a Safe Driver 

Program Insurance Plan surcharge. The surcharge was deleted. 

In 1978, I was a party to a landlord-tenant proceeding before the Cambridge, 

Massachusetts Rent Control Board arising from my withholding rent based on a furnace defect and the landlord in turn commencing eviction. The matter was resolved 

by agreement. 

In 1976, I was one of several defendants in a defamation action in Middlesex Superior Court that was dismissed on summary judgment. The action arose out of the 

1975 city election in Cambridge. Members of an organization for which I was consulting received information that absentee ballot fraud was taking place in certain 

precincts. Based on this information, I was one of several people who challenged all 

absentee ballots cast in those precincts. An election inquest subsequently determined that ballot fraud had taken place, and at least one candidate involved was 

prosecuted and disqualified from office. Another candidate who was not involved 

later sued everyone who challenged ballots, claiming that we defamed him by challenging ballots in precincts where his support was concentrated. Summary judgment 

was granted in 1977 on the grounds that the communication was privileged. 

In 1971, I was a plaintiff in an action in District Court in Ayer, Massachusetts 

to rescind a contract I made while still a minor for the purchase of a car from Union 

Square Motors of Somerville. The action was settled. 

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

any criminal violation other than a minor traffic offense? If so, please explain: No. 

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

discrimination on the basis of sex, race, religion, or any other basis? If so, please 

explain. 

No. Although my law firm has been named as a defendant in such matters, these 

are not cases in which I was personally involved or implicated. 

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

None. 

D. RELATIONSHIP WITH COMMITTEE

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

Yes. I will work with management of the Department of Commerce to help this 

and other Congressional committees fulfill their responsibilities for legislation and 

oversight. 

2. Will you ensure that your department/agency does whatever it can to protect 

Congressional witnesses and whistleblowers from reprisal for their testimony and 

disclosures? 

Yes. It is a specific responsibility of the Office of General Counsel, working with 

the Assistant Secretary for Administration, to ensure that witnesses and whistleblowers are not subject to retaliatory action. As someone who has been engaged in 

First Amendment matters and represented the plaintiff in a whistleblower case, I 

take this responsibility seriously. 

3. Will you cooperate in providing the Committee with requested witnesses, including technical experts and career employees, with firsthand knowledge of matters 

of interest to the Committee? Yes. 

4. Are you willing to appear and testify before any duly constituted committee of 

the Congress on such occasions as you may be reasonably requested to do so? Yes. 

ATTACHMENT A (QUESTION A–9) 

RESUME OF CAMERON F. KERRY

Curriculum Vitae 

Business Address: One Financial Center, Boston, MA 02111; 701 Pennsylvania 

Avenue, NW, Washington, DC 20004 

Professional Background 

Member, Mintz Levin Cohn Ferris Glovsky & Popeo, P.C., One Financial Center, 

Boston, MA. Practice before state and Federal courts, administrative agencies, 

and municipal boards in litigation and regulatory law, with emphasis on communications, environmental, and toxic tort law. Member of American ArbitraVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00088 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
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tion Association mediation panel. Associate since 1983. Member since April 

1987. 

Adjunct Professor, Suffolk University Law School, Boston, MA. 1997 to 2002, 

part-time. Professor in telecommunications law, covering regulation, the 1996 

Telecommunications Act and First Amendment issues in broadcasting, cable television, and telephony. 

Associate, Wilmer, Cutler & Pickering, Washington, D.C. October 1979 to November 1982, Trial, agency, and appellate litigation of antitrust, communications, and First Amendment matters; antitrust counseling; practice before the 

Federal Communications Commission, (On leave of absence to manage a political campaign 1/82–11/82.) 

Law Clerk to Senior Judge Elbert P. Tuttle, U.S. Court of Appeals for the Fifth 

Circuit, Atlanta, GA. August 1978 to August 1979. Drafted and edited opinions 

and wrote bench memoranda for cases in Fifth and Ninth Circuits and for Special Master’s Report in Arizona v. California (Supreme Court, Orig. No. 8). 

Member of the Boston Bar Association (current Steering Committee of Civil 

Rights/Civil Liberties Committee); Massachusetts Bar Association; Federal 

Communications Bar Association (current Steering Committee, New England 

Chapter; Co-Chair, New England Chapter 2001–2003), and American Bar Association (Litigation, Communications Law, Administrative Law, Antitrust, and 

Tort and Insurance Practice sections); Defense Research Institute (Co-Chair, 

Publications Subcommittee of Committee on Toxic Tort and Environmental Litigation, 1999–2000); International Bar Association (1999–2003). 

Admitted to practice: Massachusetts (1978); District of Columbia (1979); United 

States District Court for the District of Columbia (1980); United States Court 

of Appeals for the D. C. Circuit (1980); United States District Court for the District of Massachusetts (1983); United States Court of Appeals for the Second 

Circuit (1983); United States Court of Appeals for the Sixth Circuit (1996); U.S. 

Supreme Court (1998); United States Court of Appeals for the First Circuit 

(2000). 

Educational Background 

Boston College Law School 1975–78, J.D., magna cum laude. Executive Editor, 

Boston College Law Review, 1977–78, Best Speaker, Best Brief and Finals Winner, Grimes Moot Court Competition (1977), Order of the Coif. 

Harvard College 1968–72, B.A., cum laude in General Studies (concentration in 

American History). Member, Student Advisory Board, John F. Kennedy Institute of Politics, 1971–72. President, Harvard-Radcliffe Young Democrats, 1970– 

71. Skiing Team, 1968–69. 

Professional Lectures and Presentations 

Various presentations at communications industry conferences, 1989–present. 

Panelist, Review of the 2008 Election And Its Impact on Telecommunications, 

Boston University College of Communications and Federal Communications Bar 

Association New England (November 2008). 

Colloquium Presentation, Economic Warfare on the Internet: The Case of The 

2004 Presidential Election, Ecole de Guerre Economique, Paris, France (April 

2007, in French). 

Guest Lecturer, Telecommunications Regulation in the United States, Masters 

in Telecommunications Law Program, Universidad Pontificia de Las Comillas 

de Madrid/ICADE, Madrid, Spain (May 1999). 

Program Chair, The 1996 Telecommunications Act: A Guide to The Changing 

Landscape, Conference presented by Massachusetts Telecommunications Council and Mintz Levin Cohn Ferris Glovsky & Popeo, P.C. (January 1999). 

Conference Presentation, Sources and Impact of Lead: An Update of Environmental Factors, Lead Tech Conference presented by IAQ Publications, Inc., Baltimore, Maryland (October 1998). 

Conference Presentation, Lead and the Law Conference presented by IAQ Publications, Baltimore, Maryland (May 1998). 

Conference Presentation Mealey’s Publications National Lead Litigation Conference, Philadelphia, Pennsylvania (April 1998). 

Chair, Mealey’s Daubert and Expert Admissibility Conference, Philadelphia, 

Pennsylvania (October 1997). 

86 

Program Faculty, New Opportunities in The Changing Communications Industry, Suffolk University Law School Advanced Legal Studies Program (April 

1997). 

Co-Chair, Mealey’s Publications National Lead Litigation Conference, Philadelphia, Pennsylvania (May 1996). 

Co-Chair, Mealey’s Publications National Lead Litigation Conference, Philadelphia, Pennsylvania (May 1995). 

Panelist, Coping with the Cable Television Consumer Protection and Competition Act of 1992, New England Cable Television Association (January 1993). 

Lecturer, Discovery and Investigation of Sources of Exposure and Causes of Injuries, Mealey’s Publications National Lead Litigation Conference, Philadelphia, 

Pennsylvania (May 1992). 

Panelist, How to Try a Lead Poisoning Case, Massachusetts Continuing Legal 

Education Program (February and March 1992). 

Publications 

Obama Is Calling to Jews, Jewish Telegraphic Agency (April 18, 2008). 

Unpacking the Massachusetts Preliminary Injunction Standard, Massachusetts 

Law Review (Winter 2007). 

Contributor, Report and Recommendations, Civic Engagement Working Group, 

Patrick-Murray Transition Committee (December 2006). 

Voting Made Easy, Boston Globe Op-Ed (Oct. 3, 2005). 

Counting Every Vote, Boston Globe Op-Ed (Jan. 6, 2005). 

Coordinating editor, Special Millennium Issue, The Constitution in The 21st 

Century, 44 Boston Bar J. No. 1 (Jan. 2000) (a collection of articles by judges 

and prominent BBA members on current constitutional issues). 

Door Left Open for Operators to Sue for Access to Rights of Way, 17 Cable TV 

& New Media Law & Finance 1 (Sept. 1999), with Frank W. Lloyd and Scott 

A. Samuels (a note on a First Circuit decision on provisions of the Telecommunications Act of 1996). 

Kumho Tire Widens The Gate, Toxic Torts and Environmental Law (Summer, 

1999) (analysis of last year’s U.S. Supreme Court decision on admissibility 

standards for expert testimony under Fed. R. Evid. 702). 

Feds Finding That Old Rules Don’t Work on Net, Mass High Tech (April 5–11, 

1999)(reporting on communications regulation issues affecting the Internet). 

A Sword And A Shield: The Effect of New Standards on Lead Liability Litigation, in Conference Materials, Lead and the Law Conference presented by IAQ 

Publications, Washington, D.C., and conference presentation on Lead Exposure—A Critical Examination of Legal, Medical, and Bureaucratic Models 

(March 1997) (analysis of the impact of HUD and EPA regulations on liability 

standards in lead litigation). 

Playing The Odds in Lead Litigation, in Conference Materials, Lead Tech Conference presented by IAQ Publications in Arlington, Virginia , and conference 

presentation (Oct. 1996) (statistical analysis of verdicts). 

A Statistical Analysis of Lead Litigation Verdicts, Mealey’s Litigation Reports— 

Lead (July 3, 1996) (same). 

Lanigan’s Wake: Has a New Standard Emerged for Admitting Scientific Evidence in Massachusetts Court? 40 Boston Bar, J.8 (Jan.-Feb. 1996), with Andrew N. Nathanson (review and analysis of the SJC’s adoption of Daubert 

standards in Commonwealth v. Lanigan). 

Franchise Fees Enforcement Under The Cable Act: An FCC Responsibility, 39 

Fed. Communications Law, J. 53 (1985), with Frank W. Lloyd (analysis of Communications Act provisions and FCC authority relating to local cable television 

franchise fees). 

Principal author and editor, State and Municipal Regulation of Cable Television, and editor, Federal Regulation of The Content of Programming Originated by Cable Systems, in C. D. Ferris, F. W. Lloyd and T. Casey, Cable Television Law (Matthew Bender & Co., 1983 & Supps. 1984–96) (treatise chapters 

and periodic updates on title subjects). 

Regulation of Internal Union Affairs—Access to the Union Ballot Under the 

LMRDA: and Certification of a Discriminatory Bargaining Representative— 

Bekins Overruled: Handy Andy, Inc., in Annual Survey of Labor Relations and 

87 

Employment Discrimination Law, 18 Boston College L. Rev. 1045, 1090 (1977) 

(notes on NLRB decisions). 

Note, Advertising of Prescription Drug Prices as Protected Commercial 

Speech—Virginia State Board of Pharmacy v. Virginia Citizens Consumer Council, Inc., 18 Boston College L. Rev. 276 (1997) (a comment on First Amendment 

standards of review applicable to commercial speech). 

Professional Awards and Honors 

Fellow, American Bar Foundation. 

Listed in ‘‘Who’s Who in America.’’ 

Honored by Mass Vote voter engagement nonprofit as a ‘‘Champion of Democracy’’, (September 2008). 

Cited by the National Press Photographers Association in 1990 for ‘‘outstanding 

support in promoting and protecting the First Amendment freedoms for working 

photojournalists with legal action in America’s courtrooms.’’ 

Political Background 

Member, Obama for America National Finance Committee and New England 

Steering Committee; Chair, New England Jewish Community Leadership Committee; and Senior Adviser to Ohio Campaign for Change Voter Protection Team, 

2008. 

Member, Civic Engagement Working Group, Patrick-Murray Transition Committee. November 2006–January 2007. Conducted public meetings and developed policy proposals to expand citizen participation in state government and 

engagement in Massachusetts communities. 

Co-Chair, Massachusetts Victory 2006. 2006. Led successful joint campaign on 

behalf of Democratic ticket leading to election of Deval L. Patrick as Governor 

of Massachusetts. 

Prospective Candidate for Secretary of The Commonwealth of Massachusetts. 

2005. Assembled campaign for putatively open seat and terminated candidacy 

when incumbent chose to run for re-election. 

Senior Advisor, John Kerry for President. 2002–2004. Diverse roles as member 

of campaign leadership, traveling surrogate, and fundraiser. 

Senior Advisor, John Kerry for U.S. Senate, Boston, Massachusetts. 1984, 1990, 

1996 and 2002 campaigns. 

Campaign Manager, John Kerry for Lieutenant Governor, Boston, Massachusetts. January 1982–November 1982. 

Self-Employed Political Consultant, Cambridge, Massachusetts. January–October, 1975. Consulted on communications and fundraising for local political campaigns and organizations. 

Campaign Director, Paul Guzzi for Secretary of State, Newton, Massachusetts. 

November 1973–November 1974. 

Strategy Director, John Kerry for Congress, Lowell, Massachusetts. April–November, 1972. 

Field Director and Communications Director, Chester Atkins for State Representative, Concord, Massachusetts. July–November, 1970. 

Regional Coordinator, Joseph Bradley for Congress, Newton, Massachusetts. 

July–September, 1968. 

Full-Time Volunteer and Office Manager, The Vietnam Summer Project, Cambridge, Massachusetts. June–September, 1967. Local community organizing 

project on Vietnam War canvassing, local referendum signature drive. 

Other Employment 

Freelance Writer and Political Consultant, Cambridge, Massachusetts. January 

1973–November 1973. Articles published in Boston Phoenix; direct mail and display advertising. 

Taxi Driver, Cambridge Yellow Cab, Cambridge, Massachusetts. August 1973– 

January 1974 (part-time). 

Other Activities 

Council of Champions, Citizen Schools, 2006–present, member; Vice-Chair, National Jewish Democratic Council, 2008–present and Board Member, 2005– 

present: Chair, Boston College Law School Class of 1978 25th Reunion, 2002– 

04; New England Nordic Skiing Association, 1999–present, board member; Writing Coach. Citizen Schools 8th Grade Academy, 2001–03; Boston Police FoundaVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00091 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
88 

tion, 1995–2000, board member and Clerk; Brookline Soccer Club and Brookline 

Youth Soccer, 1993–2002, coach; Brookline Democratic Town Committee; competitor active in endurance sports (Gold Medalist, 2001 National Master’s 

Cross-Country Ski Championship, Men’s Relay, Age 50–55). 

Married to Kathy B. Weinman, 1983. Two children: Jessica (b. 1986) and Laura 

(b. 1990). 

ATTACHMENT B (QUESTION A–12) 

Organizational Memberships 

Organization Dates Positions 

American Bar Association 1998–present 

American Bar Foundation 2005–present Fellow 

American Cross-Country Skiers 1998–2001 

American Civil Liberties Union 1998–present 

Anti-Defamation League 2001–present 

Appalachian Mountain Club 1998–present 

Boston Bar Association 1998–present Section Steering Committee 2007–present 

Boston College Law School Alumni Association 1998–present Major Gifts Committee, 2002–2003 

Brookline Soccer Club 1999–2002 Coach 

Brookline Greenspace Alliance 1998–present 

Brookline Democratic Town Committee 1998–present 

Cambridge Sports Union 1998–present 

Charles River Wheelmen 2005–present 

Defense Research Institute 1997–2001 Co-Chair, Publications Subcommittee, 

Committee on Toxic Tort and Environmental Litigation 

Emerald Necklace Conversancy 2000–present 

Environmental League of MA 1998–present 

Federal Communications Bar Association 1998–present New England Chapter Co-Chair 2001–03; 

Steering Committee 2007–08 

Friends of the Arnold Arboretum 1998–present 

Friends of the Muddy River 1998–present 

High Street Hill Association 1998–present Board of Directors, 1995–96 

Massachusetts Audubon Society 2003–2007 

Massachusetts Bar Association 1998–present 

Massachusetts Horticultural Society 1999–2003 

National Jewish Democratic Council 2005–present Board of Directors, 2005–present; Executive Committee 2006–07; Vice-Chair 

2008–present 

New England Nordic Skiing Association 1998–present Board of Directors, 1999–present 

Supreme Court Historical Society 1999–2000 

Temple Israel, Boston 1998–present 

WBUR 1998–present 

WGBH 1998–present 

USA Track & Field 1998–2000 

ATTACHMENT C (QUESTION A–14) 

Political Contributions 

1998 

Harshbarger for Governor (MA) 1,500 

Lois Pines Election Committee (MA Attorney General) 500 

Shannon O’Brien for Treasurer (MA) 500 

Warren Tolman for Lt. Governor (MA) 500 

Friends of Harry Reid (NV, Federal) 500 

Schumer ’98 (NY, Federal) 1,000 

Tierney for Congress (MA, Federal) 500 

1999 

Kennedy for Senate (Federal) 500 

Friends of Wade Sanders (CA, Federal) 1,000 

2000 

Martha Coakley Committee (MA, District Attorney) 500 

Gore 2000, Inc. (Presidential) 1,000 

Gore-Lieberman GELAC (Federal) 500 

Licht 2000 Committee Senate (RI, Federal) 500 

Kennedy For Senate (MA, Federal) 1,000 

89 

Political Contributions—Continued 

2001 

Friends of Carl Levin (MI, Federal) 500 

John Kerry Committee (MA, Federal) 1,000 

The Markey Committee (MA, Federal) 500 

2002 

James Segel for Treasurer (MA) 500 

O’Brien for Governor (MA) 500 

Chris Gabrieli for Lt. Governor (MA) 500 

John Kerry for President, Inc. (Federal) 1,000 

New Hampshire Senate 2002 (Federal) 500 

2003 

John Kerry for President, Inc. (Federal) 1,000 

James Segel for Treasurer (MA) 500 

Leahy for U.S. Senator Committee (VT, Federal) 500 

Kennedy for Senate (MA, Federal) 1,250 

2005 

Kennedy for Senate (MA, Federal) 850 

Kathleen Sebelius Committee (KS, state) 500 

Harold Ford for Tennessee (TN, Federal) 500 

Allen for Congress (ME, Federal) 500 

Stabenow for U.S. Senate (MI, Federal) 500 

Chet Culver Committee (IA Governor) 500 

Bob Casey for PA (PA Senate, Federal) 500 

Friends of Chairman McAuliffe ( Federal) 500 

Friends of Hillary (NY, Federal) 1,000 

2006 

Granholm for Governor (MI, state) 1,000 

Tierney for Congress (MA, Federal) 500 

Keeping America’s Promise (Federal PAC) 2,000 

Kendrick Meek Campaign for Congress (FL, Federal) 500 

Perlmutter for Congress (CO, Federal) 500 

Klein for Congress (FL, Federal) 500 

Patrick Murray Victory Fund (MA) 2,500 

Cahill for Treasurer (MA) 500 

Paul Hodes for Congress (NH, Federal) 1,550 

Friends of Sherrod Brown (OH, Federal) 1,000 

Barney Frank for Congress (MA, Federal) 500 

Democratic Congressional Campaign Committee 2,500 

Tim Murray for Lt. Governor (MA) 500 

The Deval Patrick Committee (MA Governor) 500 

2007 

Powers for Congress 1,500 

Barney Frank for Congress (MA, Federal) 500 

Niki Tsongas Committee (MA, Federal) 2,300 

Footlik for Congress (IL, Federal) 1,000 

The Reed Committee (RI, Federal) 500 

Katherine Clark for State Rep (MA, state) 500 

John Kerry for Senate (MA, Federal) 2,300 

Paul Hodes for Congress (NH, Federal) 1,000 

The Martha Coakley Committee (MA Attorney General) 500 

Jeanne Shaheen for Senate (NH, Federal) 1,300 

Friends of Max Baucus (MT, Federal) 500 

Al Franken for Senate (MN, Federal) 500 

Tom Allen for Senate (ME, Federal) 1,500 

MA Democratic State Committee (State Account) 1,500 

Democratic Senate Campaign Committee 5,000 

Democratic National Committee 2,500 

The Deval Patrick Committee (MA Governor) 500 

2008 

We The People PAC (Federal) 500 

Obama for America (Federal) 2,300 

Udall for Us All (NM, Federal) 500 

Democratic National Committee 2,500 

90 

Political Contributions—Continued 

Courtney for Congress (CT, Federal) 500 

Patrick Murphy for Congress (PA, Federal) 500 

Tom Allen for Senate 500 

Al Franken for Senate (MN, Federal) 500 

Massachusetts Democratic Party (Federal) 500 

Obama Victory Fund (Federal) 7,500 

Jeanne Shaheen for Senate (NH, Federal) 1,500 

Jeff Merkley for Oregon (OR, Federal) 1,000 

Friends of Senator Carl Levin (MI, Federal) 500 

Musgrove for U.S. Senate (MS, Federal) 500 

The Coakley Committee (MA, AG) 500 

Cahill for Treasurer (MA) 500 

The Deval Patrick Committee (MA Governor) 500 

Franken Recount Fund (MN Federal) 500 

Katherine Clark for State Rep. (MA) 500 

The Cam Kerry Committee—2006 

Committee to Re-elect Governor Baldacci (ME, state) 500 

Massachusetts Victory ’06 (Federal account) 1,000 

Midwest Values PAC (MN, state) 1,000 

Paul Aronson for Congress (NJ, state) 1,000 

The Chet Culver Committee (IA, state) 500 

Democratic Congressional Campaign Committee 1,000 

Vote Vets (Federal PAC) 500 

New Hampshire Democratic Party (Federal account) 1,000 

Friends of Sherrod Brown (OH, Federal) 1,000 

Paul Hodes for Congress (NH, Federal) 1,000 

Friends of Jim Marshall (GA, Federal) 500 

Meeks for Congress (NY, Federal) 1,000 

The Cam Kerry Committee—2007 

Footlik for Congress (IL, Federal) 1,000 

Massachusetts Democratic Party (Federal account) 1,000 

Niki Tsongas Committee (MA, Federal) 1,000 

Re-Elect McGovern Committee (MA, Federal) 500 

Lautenberg for Senate (NJ, Federal) 1,000 

The Cam Kerry Committee—2008 

Klein for Congress (FL, Federal) 500 

Powers for Congress (NY, Federal) 1,000 

Hillary Clinton Debt Retirement Fund (Federal) 1,000 

Massachusetts Democratic Party (Federal account) 1,000 

Martin for Senate (GA, Federal) 500 

Shulman for Congress (NJ, Federal) 500 

Rural Votes (Federal PAC) 500 

STATEMENT OF HON. MARIA CANTWELL, 

U.S. SENATOR FROM WASHINGTON 

Senator CANTWELL [presiding]. Thank you, Mr. Kerry. Thank you 

for your testimony, and welcome to your wife. Thanks for coming 

back to Washington, D.C. Thanks to both of you for Mr. Kerry’s 

willingness to serve. 

So, Ms. Abbott, would you like to make a statement? 

STATEMENT OF SHERBURNE B. ABBOTT 

ASSOCIATE DIRECTOR OF ENVIRONMENT-DESIGNATE 

OFFICE OF SCIENCE AND TECHNOLOGY POLICY 

EXECUTIVE OFFICE OF THE PRESIDENT 

Ms. ABBOTT. Thank you, Madam Chairman. If the Committee 

will indulge me, I will introduce my family in waves because there 

are several here. 

Thank you, Senator Hutchison, for your kind remarks of introduction and other members of the Committee. 

91 

I am honored to appear before you as President Obama’s nominee for Associate Director for Environment of the Office of Science 

and Technology Policy within the Executive Office of the President. 

If confirmed, I look forward to working with all of you to support 

and improve our Nation’s environmental science and technology efforts. 

My presence here today represents a journey in science and the 

natural world that began with a little girl’s curiosity. It was guided 

by a crew of mentors and was shored up by the support of family 

and friends. Some of my fondest childhood memories were of walks 

with my brother in the woods of New England, discussions with my 

grandfather and father, both engineers, about the power of technology, and talks with my mother and grandmothers about the improbable women scientists who are nested in our family tree. I am 

grateful to introduce my father, my mother, my brother at this moment. 

Along the way to the present, I have been privileged to encounter 

some remarkable educators and practitioners who shaped my view 

of science and public service, from a high school physics teacher 

who danced on lab tables to show that science had a human side, 

to Nobel Laureates who used their celebrity to promote hands-on 

science teaching across the globe, and to many individuals all over 

the world who volunteer their time in pursuit of international scientific cooperation so the benefits of their knowledge accrue to everyone. 

For the final and central leg of the journey to this table, I have 

been accompanied by my husband whose intellect and integrity I 

admire more with each day and by my kids whose future on this 

planet and the planet of the future is what our work is about. Jim 

Steinberg and Emma and Jenna Steinberg. 

Senator CANTWELL. Welcome to all of you. 

Ms. ABBOTT. Thank you. 

I am hoping that if confirmed by the Senate, I can draw from 

these lessons of optimism and opportunity to refine our national 

strategy for environmental research and development with the primary goal of moving the Nation toward a clean energy economy 

and on a path toward sustainability. This is the vision President 

Obama and the Director of OSTP, Dr. John Holdren, have presented to the Nation and to you and one that I enthusiastically 

share. 

I am currently a faculty member and Director of the Center for 

Science and Practice of Sustainability at the University of Texas at 

Austin. I work with all departments and colleges to build university-wide research and education programs focused on sustainability issues. These efforts and others like it in higher education 

institutions are breaking down the barriers between the academic 

disciplines and between scholarship and practice. They are building 

new, integrative, and interdisciplinary problem-solving approaches 

to the complex concerns of environment and development. They call 

for rethinking the ways we teach, the ways we support research, 

and the ways we partner with the private sector and other stakeholders. 

Most important, they are revealing that we no longer have to 

choose between the economy and the environment. Providing enVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00095 Fmt 6633 Sfmt 6601 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
92 

ergy that is reliable, affordable, and clean will have the intended 

and added benefits of reducing the emissions that contribute to 

global climate change, as well as create jobs and reduce our dependence on foreign oil. 

Considering the challenges ahead on all fronts of the economy 

and environment where science matters, OSTP has an opportunity 

to help produce information and analysis that contributes both to 

the resolution of the environmental issues of today and to the better management of natural resources for future generations. 

Though climate change is at the center of these discussions, we 

cannot overlook the quality of our air and watersheds, the toxins 

in our soil and foods, the conditions of our forests and oceans, and 

the diversity of life that inhabits our planet. Tomorrow’s celebration of Earth Day provides a well-timed reminder of this. 

For the past 25 years, I have worked at the intersection of 

science and public policy on environmental issues ranging from 

global climate change to regional issues of high latitudes, to the 

health of marine mammal populations and fisheries. I believe that 

science should inform our decisions. Therefore, I believe we need 

strong and balanced Federal research programs that support the 

promising areas of R&D that contribute to understanding and solving these environmental concerns. There are substantial tools at 

our disposal and enormous talent across our Nation. We must find 

imaginative ways to better deploy the tools and bring new perspectives and experience to the challenges facing our Government. We 

also need to reach out to communicate findings and warnings in 

ways that build confidence in our ability to protect the health and 

the safety of the public, as well as preserve and restore the ecosystems on which their livelihoods depend. 

If confirmed by the Senate, I look forward to working with the 

exceptional science and environment team assembled by President 

Obama, with the Congress, and particularly with the members of 

this Committee on the environmental challenges and opportunities 

facing our Nation. I am grateful for the courtesy shown by your 

staff over the past several weeks and I look forward to continuing 

and deepening our discussions. 

I will be pleased to try to answer any questions that you may 

have. 

[The prepared statement and biographical information of Ms. Abbott follows:] 

PREPARED STATEMENT OF SHERBURNE B. ABBOTT, ASSOCIATE DIRECTOR-DESIGNATE

OF ENVIRONMENT, OFFICE OF SCIENCE AND TECHNOLOGY POLICY, 

EXECUTIVE OFFICE OF THE PRESIDENT

Mr. Chairman, Senator Hutchison, and distinguished Members of the Committee, 

I am honored to appear before you as President Obama’s nominee for Associate Director for Environment of the Office of Science and Technology Policy (OSTP) within 

the Executive Office of the President. If confirmed, I look forward to working with 

all of you to support and improve our Nation’s environmental science and technology 

efforts. 

My presence here today represents a journey in science and the natural world 

that began with a little girl’s curiosity. It was guided by a crew of mentors, and was 

shored up by the love and support of family and friends. Some of my fondest childhood memories are of walks with my brother in the woods and salt marshes of New 

England, discussions with my grandfather and father, both engineers, about the 

power of technology, and talks with my mother and grandmothers about women’s 

93 

roles and the improbable women scientists who are nested in our family tree. I am 

grateful that my family is here with me today. 

Along the way to the present, I have been privileged to encounter some remarkable educators and practitioners who shaped my view of science and public service— 

from researchers who took time from field studies to bestow their passion for nature 

on young children like myself (at the time) at a summer science school; to a high 

school physics teacher who danced on lab tables to show that science had a human 

side; to college professors who offered flexible labs so students, including myself, did 

not have to choose between majoring in biology and playing competitive sports; to 

Nobel laureates who used their celebrity to promote ‘‘hands on’’ science teaching 

across the globe; and to many individuals all over the world who volunteer their 

time in pursuit of international scientific cooperation so the benefits of their knowledge accrue to everyone. 

For the final and central leg of the journey to this table I’ve been accompanied 

by my husband whose intellect and integrity I admire more with each day, and by 

my kids whose future on this planet and the planet of the future is what our work 

is about. 

I am hoping that if confirmed by the Senate, I can draw from these lessons of 

optimism and opportunity to refine our national strategy for environmental research 

and development, with the primary goal of moving the Nation toward a clean energy 

economy and on a path toward sustainability. This is the vision President Obama 

and the Director of OSTP, Dr. John Holdren, have presented to the Nation and to 

you, and one that I enthusiastically share. 

I am currently a faculty member and director of the Center for Science and Practice of Sustainability at the University of Texas at Austin. I work with all departments and colleges to build university-wide research and education programs focused on sustainability issues. These efforts and others like it in higher education 

institutions are breaking down the barriers between the academic disciplines and 

between scholarship and practice. They are building new, integrative and interdisciplinary problem-solving approaches to the complex concerns of environment and 

development. They call for rethinking the ways we teach, the ways we support research, and the ways we partner with the private sector and other stakeholders. 

Most important, they are revealing that we no longer have to choose between the 

economy and the environment. Providing energy that is reliable, affordable, and 

‘‘clean’’ will have the intended and added benefits of reducing the emissions that 

contribute to global climate change, as well as create jobs and reduce our dependence on foreign oil. 

Considering the challenges ahead on all fronts of the economy and environment 

where science matters, OSTP has an opportunity to help produce information and 

analysis that contributes both to the resolution of the environmental issues of today 

and to the better management of natural resources for future generations. Though 

climate change is at the center of these discussions, we cannot overlook the quality 

of our air and water sheds, the toxins in our soil and foods, the conditions of our 

forests and oceans, and the diversity of life that inhabits our planet. Tomorrow’s 

celebration of Earth Day provides a well-timed reminder. 

For the past 25 years I have worked at the intersection of science and public policy on environmental issues ranging from global climate change, to regional issues 

of the high latitudes, to the health of marine mammal populations and fisheries. I 

believe science should inform our decisions. Therefore, I believe we need strong and 

balanced Federal research programs that support the promising areas of R&D that 

contribute to understanding and solving these environmental concerns. There are 

substantial tools at our disposal and enormous talent across our Nation. We must 

find imaginative ways to better deploy the tools, and bring new perspectives and 

experience to the challenges facing our government. We also need to reach out and 

communicate findings and warnings in ways that build confidence in our ability to 

protect the health and safety of the public, as well as preserve and restore the ecosystems on which their livelihoods depend. 

If confirmed by the Senate, I look forward to working with the exceptional science 

and environment team assembled by President Obama, with the Congress, and particularly with the members of this Committee on the environmental challenges and 

opportunities facing our Nation. I am grateful for the courtesy shown by your staff 

over the past several weeks, and I look forward to continuing and deepening our 

discussions. 

I will be pleased to try to answer any questions you may have. 

94 

A. BIOGRAPHICAL INFORMATION

1. Name (include any former name or nicknames used): 

Sherburne Bradstreet Abbott. 

2. Position to which nominated: Associate Director for Environment, Office of 

Science and Technology Policy. 

3. Date of Nomination: March 10, 2009. 

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

Residence: Information not released to the public. 

Office: University of Texas at Austin, 1 University Station, Austin, TX 78712. 

5. Date and Place of Birth: December 8, 1955; Brookline, MA. 

6. Provide the name, position, and place of employment for your spouse (if married) and the names and ages of your children (including stepchildren and children 

by a previous marriage). 

Spouse: James Braidy Steinberg, Dean, University of Texas at Austin; children: 

Jenna Yuanye Steinberg (age 6); Emma Lingling Steinberg (age 4). 

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

Yale University, School of Forestry and Environmental Studies, August 1982 to 

June 1984, Master of Forest Science. 

Goucher College, September 1973 to June 1977, Bachelor of Arts. 

8. List all post-undergraduate employment, and highlight all management-level 

jobs held and any non-managerial jobs that relate to the position for which you are 

nominated. 

January 2006 to Present—Director, Center for Science and Practice of Sustainability, Office of the Executive VP and Provost, University of Texas at Austin, Austin, TX. 

Established center to build university-wide research and education programs focused on sustainability issues, and managed administrative research, and graduate research staff members. Co-chair UT President’s Task Force on Sustainability, which develops university policies to promote environmental stewardship and sustainability. 

March 2003 to December 2005—Chief International Officer, American Association 

for the Advancement of Science, Washington, D.C. 

Managed programs to reflect the professional society’s international interests in 

science and technology policy and managed administrative and research staff. 

Established an interdisciplinary center to advance science and innovation for 

sustainability. 

April 2000 to November 2007—Consultant. Worked with the World Bank (2001– 

2002; 2007) the Environmental Defense Fund (2002–2003), The Brookings Institution (2002), the John D. and Catherine C. Rockefeller Foundation (2001), the David 

and Lucille Packard Foundation (2000–2001), and The National Academies’ National Research Council (2000–2001). 

Provided advice on environmental research, science and technology policy, and 

educational programs. 

January 1998 to July 2000—Executive Director, Board on Sustainable Development, The National Academies’ National Research Council, Washington, D.C. 

Led advisory committees that reviewed and made recommendations on science 

and technology programs for sustainable development and a decadal research 

plan for the U.S. Global Change Research Program. 

August 1992 to December 1996—Director, Committee on International Organizations and Programs, The National Academies’ National Research Council, Washington, D.C. 

Managed the U.S. program to support scientific planning and coordination efforts of the International Council for Science and other international scientific 

and engineering organizations, focusing on S&T policies, environmental research and science education. 

May 1989 to August 1992—Director, Polar Research Board, The National Academies’ National Research Council, Washington, D.C. 

Supervised a wide-ranging advisory structure for Arctic and Antarctic S&T policy 

and research, including international committees. 

95 

December 1986 to April 1989—Assistant Scientific Program Director, U.S. Marine 

Mammal Commission, Washington, D.C. 

Oversaw research program and provided analyses of science and policy issues 

bearing on the conservation and protection of marine mammals and their marine and coastal habitat. 

June 1984 to December 1986—Program Officer, Polar Research Board, The National Academies’ National Research Council. 

Managed projects on Antarctic environmental research issues and Arctic science 

and technology policy. 

September 1980 to June 1982—Science Teacher, Buckingham Brown and Nichols 

Upper School, Cambridge, MA. 

Designed and taught a course on environmental science and taught biology. 

September 1977 to August 1980—Laboratory Assistant, Tufts University School 

of Medicine, Boston, MA. 

9. Attach a copy of your resume. A copy is attached. 

10. List any advisory, consultative, honorary, or other part-time service or positions with Federal, State, or local governments, other than those listed above, within the last 5 years. 

City of Austin, Community Advisory Committee, Austin Climate Protection Program (2008–2009). 

11. List all positions held as an officer, director, trustee, partner, proprietor, 

agent, representative, or consultant of any corporation, company, firm, partnership, 

or other business, enterprise, educational, or other institution within the last 5 

years. 

2006 to Present—Director, Center for Science and Practice of Sustainability, 

University of Texas at Austin. 

May 2007 to November 2007—Consultant, The World Bank. 

2003 to 2005—Chief International Officer, American Association for the Advancement of Science. 

2005—Treasurer, Leonard Rieser Interciencia Endowment Fund. 

12. Please list each membership you have had during the past 10 years or currently hold with any civic, social, charitable, educational, political, professional, fraternal, benevolent or religious organization, private club, or other membership organization. Include dates of membership and any positions you have held with any organization. Please note whether any such club or organization restricts membership 

on the basis of sex, race, color, religion, national origin, age, or handicap. 

Member, American Association for the Advancement of Science (2003–Present). 

Contributing Editor, Environment, Heldref Publications (2001–Present) (unpaid). 

Member, Priority Area Assessment Panel on Capacity Building in Science, 

International Council for Science (2004–2005). 

Member, Lady Bird Johnson Wildlife Center (2006–Present). 

Member, Austin Children’s Museum (2006–Present). 

Member, Austin Historical Society (2006–Present). 

None of these organizations restricts membership on the basis of sex, race, 

color, religion, national origin, age, or handicap. 

13. Have you ever been a candidate for and/or held a public office (elected, nonelected, or appointed)? If so, indicate whether any campaign has any outstanding 

debt, the amount, and whether you are personally liable for that debt: No. 

14. Itemize all political contributions to any individual, campaign organization, 

political party, political action committee, or similar entity of $500 or more for the 

past 10 years. Also list all offices you have held with, and services rendered to, a 

state or national political party or election committee during the same period: None. 

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

achievements. 

Dodge Fellow in Human-Animal Ecology (1983–1984). 

W. Alton Jones Foundation Fellowship (Summer 1983). 

96 

Cash Award for Exceptional Service, U.S. Marine Mammal Commission (December 1988). 

16. Please list each book, article, column, or publication you have authored, individually or with others. Also list any speeches that you have given on topics relevant to the position for which you have been nominated. Do not attach copies of 

these publications unless otherwise instructed. 

Publications: 

‘‘The Dawn of an Urban Millennium,’’ Review article, Editor’s Picks, Environment (September/October 2008). 

‘‘A Contract with the Earth,’’ by Newt Gingrich and Terry L. Maple, Johns Hopkins University Press, Baltimore, MD, 2007, 256 pp. Book review, Books of 

Note, Environment (July/August 2008). 

Abbott, S.B. and W.S. Benninghoff, 1990. Orientation of environmental change 

studies to the conservation of Antarctic ecosystems. In: Antarctic Ecosystems, 

K.R. Kerry and G. Hempel (eds), Springer-Verlag, Berlin, Germany. 

National Academies’ Publications (authored with others): 

Board on Sustainable Development, 1999. Our Common Journey: A Transition 

Toward Sustainability. National Academy Press, Washington, D.C. 

Committee on Global Change Research, 1999. Global Environmental Change: 

Research Pathways for the Next Decade. National Academy Press, Washington, 

D.C. 

Committee on Global Change Research, 1998. Global Environmental Change: 

Research Pathways for the Next Decade: Overview. National Academy Press, 

Washington, D.C. 

Polar Research Board, 1993. Arctic Contributions to Social Science and Public 

Policy. National Academy Press, Washington, D.C. 

Polar Research Board, 1991. Opportunities and Priorities in Arctic Geoscience. 

National Academy Press, Washington, D.C. 

Polar Research Board, 1986. Recommendations for a U.S. Ice Coring Program. 

National Academy Press, Washington, D.C. 

Polar Research Board, 1986. Antarctic Treaty System: An Assessment. Proceedings of a Workshop Held at Beardmore South Field Camp, Antarctica, January 7–13, 1985. National Academy Press, Washington, D.C. 

Polar Research Board, 1985. National Issues and Research Priorities in the Arctic. National Academy Press, Washington, D.C. 

U.S. Antarctic Report to the Scientific Committee on Antarctic Research (Numbers 32, 31, 30, 27, 26) 1989–1991, 1985–1987. National Academy Press, Washington, D.C. 

Speeches: 

‘‘Environmental Trends and Sustainability Challenges,’’ November 18, 2008, 

Fire Protection Research Foundation, Washington, D.C. 

‘‘Sustainability: To Lead or LEED?,’’ September 9, 2008, Compass 2008, University of Texas at Austin. 

The Buzz and the Biz of Sustainability,’’ October 29, 2008, Houston State Community College, Houston, Texas. 

‘‘The Buzz and the Biz of Sustainability,’’ May 27, 2008, National Institute for 

Staff and Organizational Development, Austin, Texas. 

‘‘University Sustainability: From Ideas to Actions,’’ April 29, 2008, Texas Association of Physical Plant Administrators, Austin, Texas. 

‘‘The Promise and Practice of Sustainability Science,’’ February 27, 2008, University of Texas Mexican Universities’ North American Conference, Mexico City, 

Mexico. 

‘‘The Challenge of Institutionalizing Sustainability Research and Education Programs in Higher Education,’’ September 1, 2007, Engineers Workshop, Austin, 

Texas. 

‘‘Science and Technology in the Americas,’’ March 24, 2006, S&T Policy in the 

Americas Conference, UT Mexican Center, Austin, Texas. 

‘‘Scientist-Practitioner Dialogue: Lessons for the Arab Region,’’ April 16, 2005, 

Arab Region Roundtable on Harnessing Science, Technology, and Innovation for 

Sustainability, Dubai, UAE. 

97 

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

before Congress in a governmental or non-governmental capacity and specify the 

date and subject matter of each testimony: None. 

18. Given the current mission, major programs, and major operational objectives 

of the department/agency to which you have been nominated, what in your background or employment experience do you believe affirmatively qualifies you for appointment to the position for which you have been nominated, and why do you wish 

to serve in that position? 

Our Nation confronts great challenges of economic and national security, environmental quality, and health that also present opportunities where science and technology can and will play an essential role. The White House Office of Science and 

Technology Policy’s (OSTP) mission is to ensure that policies, budgets and partnerships advance the full capabilities of science, technology and innovation across all 

sectors, both public and private, to confront these challenges and seize the opportunities. The OSTP advises the President on the effects of science and technology on 

domestic and international affairs and coordinates the research and development 

necessary to harness the power of science and technology to improve the quality of 

life for the American people. With respect to the environment, the OSTP ensures 

a sound scientific and technical underpinning for policy formulation and an interagency research and development strategy for environment and natural resource 

issues. 

I have spent most of my professional life at the crossroads of science and policy 

that intersects with OSTP’s mission, with an emphasis on efforts that reach across 

the boundaries of knowledge to solve problems of environment and development. I 

have worked on environmental issues, ranging from global concerns about climate 

change and sustainability, to regional issues of the high latitudes or marine mammals and fisheries, to local considerations of ecosystem management and biodiversity protection. Over the past 25 years, I have held executive or senior positions in 

higher education (the University of Texas at Austin), non-profit scientific institutions (the National Academies and the American Association for the Advancement 

of Science), and government (the U.S. Marine Mammal Commission). Most of this 

work involved interdisciplinary environmental research planning and education. 

While working at the National Academies, I directed studies that advised the government on science and technology for sustainability, global environmental change, 

polar research, and international science and organizations. These studies produced 

consensus reports and other documents on setting priorities for research. While 

serving as Chief International Officer of the American Association for the Advancement of Science, I forged relationships not only across the scientific disciplines, but 

across the continents to develop new approaches to environmental research focused 

on the challenges of sustainability. These efforts required extensive knowledge of 

Federal environmental R&D programs and coordination and communication with 

Federal agencies, the scientific community and the private sector. In addition, my 

academic background in environmental science, with a master’s degree from Yale 

University, and an undergraduate degree in biological sciences from Goucher College, along with my more recent appointment at the University of Texas at Austin, 

provides the scholarly tools and substantive context to address the broad range of 

environmental issues that hinge on strong environmental R&D programs. 

I feel that serving as the Associate Director for Environment of the Office of 

Science and Technology Policy would be a tremendous opportunity to work with the 

science community, the agencies and the Congress to improve Federal environmental science and technology programs. Considering the challenges ahead on all 

fronts of the economy and environment where science matters, the OSTP has an opportunity to help produce scientific information and knowledge for the Congress and 

other decisionmakers in the public and private sectors that contribute both to the 

resolution of the complex environmental issues of today and the better management 

of natural resources for future generations. 

19. What do you believe are your responsibilities, if confirmed, to ensure that the 

department/agency has proper management and accounting controls, and what experience do you have in managing a large organization? 

The OSTP works on behalf of the American people to advise the President, and 

therefore, must establish management and accounting controls that uphold public 

scrutiny. First and foremost, if confirmed by the Senate, I will do this by working 

with the OSTP Director to attract a first-class professional staff with expertise and 

experience appropriate to the priorities of the office, whether they come from outside 

the government or are detailed from other government departments. Second, I will 

assure that we establish effective procedures for personnel management and accounting, and respond to all reporting requirements in a timely manner. 

98 

I have managed professional and administrative staff in almost every position I 

have held for the past 25 years, and I have always established clear lines of communication and authority to assure that there is full understanding of the responsibilities of each employee to fulfill their duties and to adhere to all rules and regulations of the parent organization. As a principal officer of the National Academies 

and the American Association for the Advancement of Science, I had fiduciary responsibility for my office or department and developed accounting procedures and 

conducted business audits to carry out that responsibility. I also served as the principal investigator on several million-dollar Federal agency contracts and grants over 

this period. I assured that the work was performed within the terms of the award 

and within budget. 

20. What do you believe to be the top three challenges facing the department/ 

agency, and why? 

The most important task facing the Office of Science and Technology Policy is to 

help the Administration, the Congress and the public get the best outcomes from 

the wise use of science and technology. This requires policies that deploy science 

and technology to its full extent for the health and security of the Nation’s economy, 

its environment and its citizens. It also requires policies for security, economy, 

health and the environment that are built on sound scientific foundations. 

The first challenge that the Office of Science and Technology faces is how to meet 

the diverse and extensive responsibilities in assisting the development of these policies without adequate resources. The most important lever will be human capital— 

recruiting talented personnel to work with the Administration and Congress on priority areas and developing an efficient and outcome-driven interagency process for 

guiding policy development. Beyond sharing personnel, a strong interagency mechanism has the advantage of leveraging resources for developing joint initiatives to address priorities. 

The second challenge is establishing effective networks across the White House— 

especially with the Office of Management and Budget, the National Security Council, and the National Economic Council—and across the agencies and the Congress 

to address the priority issues. Without productive working relationships that engage 

all stakeholders across the government and the Congress, the Office of Science and 

Technology Policy cannot do its job of establishing policies for science and technology or helping to build the base of science and technology knowledge with which 

to shape national policy. 

The third challenge is how best to use science and technology to promote human 

well-being and security while protecting the environment—the challenge of sustainability. The pursuit of human well-being is no longer a choice between economic 

prosperity or environmental protection. Science and technology are engines of economic prosperity, tools for peace, and implements for advancing environmental 

knowledge. The challenge the Office of Science and Technology Policy faces is to find 

new ways of addressing all three issues (economy, security and environment) simultaneously to promote sustainability. This will require working across fields, across 

sectors, and across departments, and with the Congress to develop policies and programs for advancing our understanding of problems of the environment and sustainability and to find solutions. 

B. POTENTIAL CONFLICTS OF INTEREST

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

other continuing dealings with business associates, clients, or customers. Please include information related to retirement accounts. 

None, consistent with my SF–278 and ethics agreement. I have the following (defined contribution) retirement accounts: 

TIAA—Traditional Annuity 

Vanguard 500 Index 

TIAA–CREF Global Equities 

TIAA–CREF International Equity 

TIAA–CREF International Equity Index 

TIAA–CREF Stock 

TIAA–CREF Growth 

TIAA–CREF Equity Index 

University of Texas Saver TSA 403(b) Fidelity Balanced 

University of Texas Saver DCP–457(b) Fidelity Balanced 

99 

2. Do you have any commitments or agreements, formal or informal, to maintain 

employment, affiliation, or practice with any business, association or other organization during your appointment? If so, please explain. 

None. Per my ethics agreement, I will take a leave of absence from the University 

of Texas at Austin and am resigning my unpaid position with Heldref Publications. 

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

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

nominated. 

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Office of Science and Technology Policy’s designated 

agency ethics official to identify potential conflicts of interest. Any potential conflicts 

of interest will be resolved in accordance with the terms of an ethics agreement that 

I have entered into with the Office’s designated agency ethics official. 

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

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

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

of interest in the position to which you have been nominated. 

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Office of Science and Technology Policy’s designated 

agency ethics official to identify potential conflicts of interest. Any potential conflicts 

of interest will be resolved in accordance with the terms of an ethics agreement that 

I have entered into with the Office’s designated agency ethics official. 

5. Describe any activity during the past 10 years in which you have been engaged 

for the purpose of directly or indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public 

policy. 

I have not personally been engaged in any activity for the purpose of directly or 

indirectly influencing the passage, defeat, or modification of any legislation or affecting the administration and execution of law or public policy. However, I was associated with the American Association for the Advancement of Science, which did work 

on behalf of unfettered climate and health research, enhancing the United States’ 

innovation potential, and Federal R&D budget issues. While I was employed by the 

organization, I did not personally advocate any positions on these or other issues 

of science and technology policy. 

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

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

In connection with the nomination process, I have consulted with the Office of 

Government Ethics and the Office of Science and Technology Policy’s designated 

agency ethics official to identify potential conflicts of interest. Any potential conflicts 

of interest will be resolved in accordance with the terms of an ethics agreement that 

I have entered into with the Office’s designated agency ethics official. 

C. LEGAL MATTERS

1. Have you ever been disciplined or cited for a breach of ethics by, or been the 

subject of a complaint to any court, administrative agency, professional association, 

disciplinary committee, or other professional group? If so, please explain: No. 

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

State, or other law enforcement authority of any Federal, State, county, or municipal entity, other than for a minor traffic offense? If so, please explain: No. 

3. Have you or any business of which you are or were an officer ever been involved as a party in an administrative agency proceeding or civil litigation? If so, 

please explain: No. 

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

any criminal violation other than a minor traffic offense? If so, please explain: No. 

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

discrimination on the basis of sex, race, religion, or any other basis? If so, please 

explain: No. 

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

I am not aware of any additional information that should he disclosed in connection with my nomination. 

D. RELATIONSHIP WITH COMMITTEE

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

Yes, I will ensure that all deadlines are met. 

100 

2. Will you ensure that your department/agency does whatever it can to protect 

Congressional witnesses and whistleblowers from reprisal for their testimony and 

disclosures? 

Yes, I will ensure that OSTP protects Congressional witnesses and whistleblowers 

from reprisal for their testimony and disclosures. 

3. Will you cooperate in providing the Committee with requested witnesses, including technical experts and career employees, with firsthand knowledge of matters 

of interest to the Committee? 

Yes, I will cooperate fully with the Committee in providing witnesses, technical 

experts, and career employees. 

4. Are you willing to appear and testify before any duly constituted committee of 

the Congress on such occasions as you may be reasonably requested to do so? 

Yes, I am willing to appear and testify before any duly constituted committee of 

Congress if requested. 

RESUME OF SHERBURNE BRADSTREET ABBOTT

Environmental scientist with 25 years of experience in research planning, assessment, education, and policy related to, and communicating about, human development and the environment. Held senior positions in higher education, non-profit institutions and government and developed an extensive network of high-level scientists and officials within the national and international community. Directed studies of science and technology for sustainability, global environmental change, polar 

research, and international science and organizations that produced consensus reports and documents on setting priorities for research and on building the capacity 

of international organizations to link scientific and technical knowledge with decision-making. Routinely invited to make presentations at major national and international conferences and events to promote the flow of innovative ideas and solutions to problems of globalization, sustainability and conservation of planetary resources. 

Professional Experience 

(January 2006–Present) Director, Center for Science and Practice of Sustainability, 

Office of the Executive VP and Provost; Faculty, College of Liberal Arts, University 

of Texas at Austin. Austin, TX. Direct program on sustainability science and policy 

that builds university-wide multidisciplinary approaches to problems of environment 

and development. The Center is developing a 2050 Initiative to promote research 

and innovation related to sustainability within the state, the Nation and the global 

community. Co-chair the President’s Task Force on Sustainability, which was established to recommend policies and actions recognizing the university’s commitment 

to sustainability and environmental stewardship. Additional activities include: lecturer in the Liberal Arts Honors Program, faculty panel member, Bridging Disciplines Program on Environment; Faculty Cluster on Science, Technology and Development Policy, Teresa Lozano Long Institute for Latin American Studies. 

(March 2003–December 2005) Chief International Officer, American Association 

for the Advancement of Science, Washington, D.C.—the largest general science organization in the world, with over 120,000 members in 130 countries, and publisher 

of Science magazine. Directed the AAAS Office of International Initiatives (approximately $1.3 million of activity and small staff), and designed and established the 

AAAS Center for Science, Innovation and Sustainability. Served as senior manager 

responsible for promoting AAAS leadership internationally, providing the central 

point of contact with senior representatives of international scientific and technical 

organizations and programs; developing and coordinating international programs to 

advance concerns of science education and careers, science and technology policy, 

and scientific communication, including promoting international participation in 

Science magazine; performing internal management functions, and working with 

other senior managers to implement overall goals of the professional society. 

Established new center to advance science and technology for sustainability, 

build scientific capacities of developing countries to address the challenges of 

sustainable development and strengthen the links between science, engineering 

and development. Awarded $350K grant hunt the National Science Foundation 

for a review of an international research institute promoting regionally and policy relevant research on global environmental change in the Americas. 

Developed a 5-year strategic plan to improve international scientific cooperation 

and build global work forces to respond to the challenges of sustainable development, and secured funding for new projects. Managed approximately $2M NaVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00104 Fmt 6633 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
101 

tional Science Foundation-supported program on Women’s International Scientific Cooperation that provided some 400 grants to increase the participation 

of U.S. women scientists in international scientific collaboration. 

Raised the profile of AAAS at major international meetings and events in Europe, Japan, China and the Middle East through speaking engagements, media 

interviews and proposed collaborative projects. 

1999–Present Consultant. 

Contributed to the World Bank’s 2007 Global Forum: Building Science, Technology and Innovation Capacity for Sustainable Growth and Poverty Reduction, 

and wrote summary of session on gender and development for the proceedings 

volume. 

Assisted the President of the Brookings Institution (Washington, D.C.) in developing an initiative on science and technology policy for economic and national 

security. 

Evaluated the Environmental Science Program of the Environmental Defense 

Fund (New York, NY). 

Conducted research, analysis and writing for the World Bank in preparation of 

its World Development Report 2003 on Transforming Growth: Neighbor, Nature, Future. 

Carried out research and analysis on the governance of science in service of the 

poor and excluded for the Rockefeller Foundation’s Global Inclusion Program. 

Conducted research for the David and Lucile Packard Foundation, suggesting 

a rationale and grantmaking strategy for an initiative in conservation and sustainability science, and assessing research needs to meet objectives for 

grantmaking in fisheries, land management and energy. 

Assisted the National Academies’ Coordinating Committee for a Sustainability 

Transition in developing a long-term program of work and governance structure 

for the Academies in science, engineering and health for sustainable development. 

(1996–2000) Executive Director, Board on Sustainable Development, National 

Academies (National Academy of Sciences, National Academy of Engineering and Institute of Medicine), Washington, D.C. Managed oversight board of 25 members 

(leading scholars in natural and social sciences, former CEOs of Fortune 500 companies, former cabinet secretary and senior government officials, directors of research 

and policy institutions, university president) and subcommittees in conducting studies for U.S. Government agencies and private foundations. Directed the Sustainability Transition Study, Private Sector Initiatives in sustainable development and 

the Global Change Research Program. 

Sustainability Transition Study assessed trends in social development and environmental change, threats to global sustainability and methods for analysis of 

possible future development pathways and their implications for sustainability. 

Undertaken over 4 years, involved the integration of commissioned research, 

workshop findings and summer studies. Produced the path-breaking report Our 

Common Journey: A Transition Toward Sustainability, which proposes a strategy for using scientific and technical knowledge to better inform future action 

in the areas of energy and materials use, fertility reduction, urban systems, agricultural production, ecosystem restoration and biodiversity conservation, including a research agenda for sustainability science and an action agenda to 

link science and technical innovation with internationally sanctioned goals for 

meeting human needs, preserving the planet and reducing hunger and poverty. 

Report used as framework for symposium on challenges for science and humanity in the 21st Century; an institution-wide focus on the transition to sustainability announced by the presidents of the National Academy Sciences, Institute 

of Medicine, and National Academy of Engineering; an international conference 

and consensus statement of 63 academies of science on the transition to sustainability; and an emerging international initiative that aims to clarify concepts of 

sustainability science, assist capacity building of science and technology in developing countries and connect the results and outcomes to international programs and consultations. 

Private Sector Initiatives, supported by the Turner Foundation, proposed to establish a dialogue among representatives of industry and the scientific and technical community to help inform business incentives and best practices with the 

latest scientific knowledge and information on sustainability, and explore common interests in technical innovation. 

102 

Global Change Research Program provided guidance to $2 billion, multi-agency 

U.S. Global Change Research Program. Coordinated overall program (synthesis 

committee and study committees on climate, human dimensions, ecosystems, 

and data), directed synthesis committee staff, negotiated and managed multiyear contracts, and provided link with international programs. Oversaw review 

of global change research that produced the report Global Environmental 

Change: Research Pathways for the Next Decade and an overview volume of 

findings and recommendations which were used in formulating a Federal Government 10-year plan for global change research, developing new foci for international programs and guiding development of a summary report on global and 

regional change issues for the new U.S. Federal administration. 

(1992–1996) Director, Committee on International Organizations and Programs, 

National Academies. Managed committee (2 Nobel Laureates, CEO of Global Environment Facility, former director of the U.S. National Science Foundation, foreign 

secretaries of National Academies, leaders of professional societies) to advise on 

international scientific affairs and U.S. participation in international scientific and 

engineering organizations. Directed program to strengthen U.S. participation in disciplinary unions and interdisciplinary programs of the Paris-based International 

Council for Science (ICSU). Staffed international review of the goals, structure and 

programs of ICSU to meet the changing needs of society and public policy; helped 

establish new international Program for Capacity Building in Science, focusing on 

primary and secondary science education in developing countries; and organized and 

hosted the 25th General Assembly of ICSU in the United States to increase the visibility of international science to Federal officials and expose U.S. academic and government scientists to new international partners and programs. Managed grants 

program for U.S. contributions to scientific and engineering programs of the U.N. 

Educational, Scientific, and Cultural Organization. Programs led to renewed interest of U.S. funding agencies in international science cooperation, as well as 

strengthening and reform of international organizations. 

(1989–1992) Director, Polar Research Board, National Academies. Led projects in 

science and technology affecting public policy on environmental quality, natural resources, indigenous communities, and other issues in the polar regions. Produced reports on scientific priorities to advance national interests and meet international obligations and helped found an international organization for arctic scientific cooperation to serve regional needs for human and industrial development. 

(1986–1989) Assistant Scientific Program Director, U.S. Marine Mammal Commission, Washington, D.C. Managed the research and arctic programs, reviewed environmental impact statements on offshore oil and gas activities, and formulated 

agency positions on issues bearing on marine conservation. Co-authored paper on 

environmental research and monitoring that served as a model for meeting requirements of a protocol to the Antarctic Treaty to monitor the environmental effects of 

scientific and other activities undertaken in Antarctica. 

(1984–1986) Program Officer, Polar Research Board, National Academies. Managed studies of interdisciplinary polar science and resource policy, with emphasis on 

innovative tools for conservation and arctic research priorities. Helped develop a 

framework linking research priorities with national needs in the Arctic for the interagency committee of the U.S. Government charged with formulating arctic research 

policy for the Nation. 

(1979–1982) Science Teacher, Buckingham, Browne and Nichols Upper School, 

Cambridge, MA. Taught environmental science and biology, coached 3 varsity sports 

teams and served on Admissions Committee, with responsibility for ninth grade admissions. Designed environmental science curriculum to build environmental awareness and community responsibility in student body. 

Education 

M.F.S., 1984, Yale University, School of Forestry and Environmental Studies, 

ecology and natural resource policy. 

A.B., 1977, Goucher College, biological sciences. 

Fellowships and Awards 

Senior Research Fellow, J.F. Kennedy School of Government, Harvard University, 2000 (appointment only). 

Dodge Fellow in Human-Animal Ecology, 1983–1984. 

College Athlete of America, 1977. 

103 

Professional Activities 

Contributing Editor, Environment magazine (December 1999–present). 

Editor, AAAS/ISTS Forum on Science and Technology for Sustainable Development (2005–2008). 

Member, Priority Area Assessment Panel, Capacity Building in Science, International Council for Science (2004–2005). 

Treasurer, Leonard Rieser Endowment Fund for the Interciencia Association 

(2005). 

Selection Committees: 

Environment, Health and Services Director Selection Committee, University of 

Texas-Austin (2007). 

Facilities Services Director Selection Committee, University of Texas-Austin 

(2007). 

Harry S. Truman Fellowship Selection Committee, University of Texas-Austin 

(2007). 

AAAS Diplomacy Fellowship Program (2004, 2005). 

AAAS Roger Revelle Fellowship in Global Stewardship (1998; 1999; Chairman, 

2000). 

Guest editor, March 2000 Issues in Science and Technology, ‘‘A Delicate Balance: 

Environment, Economics, Development.’’ 

Group of Specialists on Environmental Affairs and Conservation, (1990–1993), Finance Committee (1989–1992), Subcommittee on Conservation (1984–1988) of the 

Scientific Committee for Antarctic Research, International Council for Science. 

Publications 

Abbott, S.B. and W.S. Benninghoff, 1990. Orientation of environmental change 

studies to the conservation of Antarctic ecosystems. In: Antarctic Ecosystems, K.R. 

Kerry and G. Hempel (eds.), Springer-Verlag, Berlin, Germany. 

Articles in the Antarctic Journal of the United States, the Arctic Journal of the 

United States, and Science International, the newsletter of the International Council 

for Science, and Environment. 

Lead staff contributor and editor of National Research Council reports, including: 

Board on Sustainable Development, 1999. Our Common Journey: A Transition 

Toward Sustainability. National Academy Press, Washington, D.C. 

Committee on Global Change Research, 1999. Global Environmental Change: 

Research Pathways for the Next Decade. National Academy Press, Washington. 

D.C. 

Committee on Global Change Research, 1998. Global Environmental Change: 

Research Pathways for the Next Decade: Overview. National Academy Press, 

Washington, D.C. 

Polar Research Board, 1993, Arctic Contributions to Social Science and Public 

Policy. National Academy Press, Washington. D.C. 

Polar Research Board, 1991. Opportunities and Priorities in Arctic Geoscience. 

National Academy Press, Washington, D.C. 

Polar Research Board, 1986. Recommendations for a U.S. Ice Coring Program. 

National Academy Press, Washington, D.C. 

Polar Research Board, 1986. Antarctic Treaty System: An Assessment. Proceedings of a Workshop Held at Beardmore South Field Camp, Antarctica, January 7–13, 1985. National Academy Press, Washington, D.C. 

Polar Research Board, 1985. National Issues and Research Priorities in the Arctic. National Academy Press, Washington, D.C. 

U.S. Antarctic Report to the Scientific Committee on Antarctic Research (Numbers 32, 31, 30, 27, 26), 1989–1991, 1985–1987. National Academy Press, Washington, D.C. 

References available upon request. 

Senator CANTWELL. Thank you, Ms. Abbott. I am going to start 

with you. Thank you for your willingness to serve, and it is a pleasVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00107 Fmt 6633 Sfmt 6601 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
104 

ure to have your family with you here at the hearing. So thank you 

for attending this hearing. 

I wanted to ask specifically about NOAA and your role with 

NOAA in our efforts to make sure that oceans policy and particularly coastal science programs. What are your thoughts on how we 

improve those to work better with local governments? My main 

concern is that we talk a lot about climate mitigation and we have 

had legislation through this Committee to talk about adaptation 

and what we need to do to better plan for climate change. I do not 

know if you want to comment on how you think that we can provide better science and information through your agency and office 

to work with local governments. 

Ms. ABBOTT. Thank you for that question, Senator Cantwell. 

President Obama has made it very clear that the cornerstone of his 

activity is a robust strategy for research dealing with climate 

change. And I see that the Office of Science and Technology Policy, 

together with the OMB, will provide a very strong and helpful, coordinated research program across the budgets and across the 

agencies. And I look forward, if confirmed, to helping that process. 

NOAA is a very strong element of those agencies, and one of the 

great opportunities that we have ahead of us is that many of us, 

including myself—and I have known Dr. Lubchenko for some 20- 

odd years or longer than I care to admit, as well as other members 

of the team. And I think we will work very strongly together so 

that the coordination function across the agencies, I would assume, 

would be quite substantial and I think that there is a long way 

that we can go in that direction. 

Senator CANTWELL. What do you think are some of the mistakes 

that we will make if we do not focus on the right kind of adaptation and climate information and how that information is shared? 

Ms. ABBOTT. I think your point is well taken. I think adaptation 

research has been one of the overlooked or at least one of the lessfunded efforts of the climate science program, and I think, going 

forward, we need to look at the various strategies that have been 

put forward to try to get the best out of our research activity, including an adaptation research strategy. We need to look at the national assessment that is mandated by the U.S. Global Change Research Act looking across the sectors and across the regions, and 

we also need to look at a strategy for addressing the climate services that all of our communities are going to depend upon to make 

decisions about their going forward. 

Senator CANTWELL. You would agree that it is impossible for 

them to do that kind of research—the local communities. 

Ms. ABBOTT. It is impossible for them to do it alone without help 

from the Federal Government. 

Senator CANTWELL. Thank you. 

Mr. Kerry, obviously, as General Counsel, part of your activities 

is lowering barriers to trade opportunities for U.S. companies as 

they look for market opportunities abroad. One of the issues is a 

lack of infrastructure of commercial law in those countries. My understanding is that the General Counsel’s office provides commercial law assistance to those foreign officials. How do you think we 

should enhance that or change that or grow that function to better 

serve the United States? 

105 

Mr. KERRY. Well that, Senator, is part of one piece in an overall 

review that the Administration has undertaken of trade policy and 

all of its various components about the market access, the countervailing duties, and antidumping aspects, and review of the trade 

agreements. Certainly one of the functions that I look forward to, 

if confirmed, is the opportunity to work on the commercial law development program to try to promote transparency in other countries and to promote transparency in market access. 

Senator CANTWELL. Would you say that the program could grow 

in our efforts on the international basis to support more activities? 

Mr. KERRY. Well, I think, Senator, the role that that program is 

going to play in the overall trade strategy is something that will 

emerge from that review. I certainly look forward to a discussion 

with you and with your very capable staff of ways that that program can help advance the choices that we need to make in the 

area of trade. 

Senator CANTWELL. Thank you. I see my time is up. 

Senator Hutchison? 

Senator HUTCHISON. Thank you, Madam Chairman. 

I want to ask each of you to answer the same question that I 

asked of the first panel, and that is, would each of you work with 

committee members on both sides of the aisle and give information 

and any answers to requests that are made so that we can do our 

job of oversight of your agencies? Ms. Boyd? 

Ms. BOYD. Yes, Senator Hutchison, absolutely. I would see that 

as the primary function of my office. I would also like to note that 

I think our Federal Government works best when it has a healthy 

relationship with Congress. So I would absolutely do my part to ensure that. 

Senator HUTCHISON. Thank you. 

Mr. Kerry? 

Mr. KERRY. Senator Hutchison, I took notes during your introductory comments when you said the Committee cannot perform its 

functions without information from the legislative and legal staff. 

So my answer to that question is yes. 

Senator HUTCHISON. Ms. Abbott? 

Ms. ABBOTT. And yes, Senator Hutchison, along with my fellow 

nominees, I share their view. Also, with respect to the fact that the 

President has made openness a very strong commitment on the 

part of the Government. So yes, I would. 

Senator HUTCHISON. Thank you. 

My only other question I have is for you, Ms. Abbott. The OSTP 

really is an office that can be whatever you make of it. It can be 

very active and productive and give the kind of guidance in science 

that we really need, and it would be a wonderful service if you do. 

But many times we never hear much from OSTP. So it would be 

very helpful for you all to be active because I think there are some 

areas where your input would move the ball forward. 

One of those areas concerns a bill that I introduced in the last 

two Congresses to do more research in weather patterns and mitigation to determine how mitigation works, how it affects not only 

the area where it might be occurring, but other areas around it. 

For instance, cloud seeding—does it affect areas in the north, 

south, east, or west of the area where clouds would be seeded? 

106 

There are really no records that have been kept in the last few 

years. They used to keep them at OSHA and the Weather Service, 

but—not OSTP. NOAA and the National Weather Service used to 

do some of this record keeping, but they do not anymore. 

I talked to the head of OSTP when he was here, and he was interested in participating and working with us on this bill. I have 

the bill’s directives now housed at the National Science Foundation, but I would be pleased to work with OSTP on moving it forward so that we could get data to determine if the changes in 

weather and the violence of the weather that we have seen in the 

last few years can in any way be mitigated or let us look at the 

patterns and see if there is something that they might tell us. 

So my question is, would you work with me on that and maybe 

help us push something through that would be helpful in gathering 

data in the beginning and then seeing if that leads us somewhere? 

Ms. ABBOTT. Yes, Senator Hutchison, I would be pleased to work 

with you as we go forward. 

The intensity of storms and frequency is obviously a very important problem and something that we have to address both from its 

impact on public welfare, as well as on the economy. About a third 

of our GDP comes from coastal communities and clearly any impact 

from hurricanes on coastal communities is felt across the Nation. 

So our understanding of the dynamics of these storms, together 

with their consequences, and also looking at the various strategies 

for mitigation and adaptation has to be a very strong part of the 

portfolio of research that we work with you in an effort to produce 

for the Nation. 

Senator HUTCHISON. Well, thank you. I know that you have now 

lived in Texas, you have seen—— 

Ms. ABBOTT. We have experienced it firsthand. 

Senator HUTCHISON.—and the surges. You know, Katrina. The 

big damage was from surge, not from the hurricane. Then, of 

course, Hurricane Ike, we saw it in Galveston just last year. So it 

is something that I think is high time we look at, study, see what 

the patterns are, if any, and then see if there is something we 

ought to be doing. But we cannot take that step until we know 

what the patterns are and if we can do something with that information. 

So I thank you and I look forward to working with all of you in 

your capacities. Thank you. 

Senator CANTWELL. Thank you and thank you, Senator 

Hutchison for being here today and allowing the hearing to go forward on these confirmations so that we can get the agency the personnel that it needs to do its job and to work with us here in Congress. 

I want to remind my colleagues that the Committee does want 

to move on these nominees very quickly, so if they have questions 

for the nominees, to have them in by noon tomorrow so that they 

can get a response. And obviously, if members who were not here 

today have questions, you do not have to wait until noon tomorrow, 

you can start getting them to the Committee to get to these individuals sooner than that. The sooner you get them, the sooner the 

answers can come back. 

107 

So with that, again thank you all for being here and for your testimony and for willingness to serve. 

This hearing is adjourned. 

[Whereupon, at 4:21 p .m., the hearing was adjourned.] 

(109) 

A P P E N D I X 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN D. ROCKEFELLER IV 

TO PETER H. APPEL

Question 1. As RITA’s strategic plan comes to an end in Fiscal Year 2010, what 

are the priorities you envision for the agency? 

Answer. If confirmed, I plan to work closely with Secretary LaHood to advance 

the goals of safety, mobility, livability, sustainability, and economic growth. The Research and Innovative Technology Administration (RITA) is well-positioned to provide Departmental leadership on these priorities. If confirmed, I would charge 

RITA’s Research, Development and Technology program with coordinating forwardthinking research priorities, including those on climate change, for the Department. 

Further, I would work with the Intelligent Transportation Systems (ITS) program 

to research cutting-edge technologies for deployment into our transportation system 

to help ensure that our infrastructure investments make the best use of the taxpayers’ dollars. I would also look forward to working with the Bureau of Transportation Statistics to produce sound data upon which policy decisions could be made. 

There is an opportunity for RITA to bring together first-rate transportation research, technologies, and data to ensure a safe, efficient, sustainable and robust 

transportation network across every mode. 

Question 2. How will you coordinate RITA’s efforts between modal administrators 

to incorporate technological solutions to transportation problems? 

Answer. I firmly believe that RITA can do a better job providing coordinated research and analytical results to Departmental decisionmakers, to support Administration and Secretarial policy initiatives. If confirmed, I will seek to reach across 

the modal administrations, and to outside research and technology organizations, to 

identify technology readiness; to promote those which may be commercialized; and 

to further develop those with the best chance of improving intermodal connectivity. 

This effort may only be successful if we have a full partnership with all modal administrations and their stakeholder partners. 

Question 3. What is your assessment of the FAA efforts to use technology to address environmental issues, particularly through the NextGen, CLEEN and CAFFI 

programs? 

Answer. I have not had an opportunity to assess these programs. If confirmed, 

I will work with the FAA to assist in any way I can to address aviation environmental issues, and bring the knowledge of the Volpe National Transportation Systems Center to bear on this topic. As you may know, the Volpe Center already provides significant support to the FAA in air traffic system design and research, and 

in aviation environmental assessment and modeling. 

Question 4. What role do you believe RITA can play in supporting the FAA’s environmental efforts? 

Answer. Aviation emissions, noise and fuel use are three significant issues in 

which FAA is working to fulfill, or even lead, International Civil Aviation Organization (ICAO) environmental standards, as well as being an important part of the 

transportation environmental equation. If confirmed, I look forward to working with 

the FAA, through the DOT Center for Climate Change, through RITA’s leadership 

in alternative fuel technology and standards, and in other ways to ensure that the 

work that FAA is doing both supports and is supported by what RITA does across 

all modes on this critical topic. 

Question 5. How do you anticipate the Office of Intermodalism working to coordinate the development of a national intermodal transportation system? 

Answer. RITA activities, cutting across all modes, need to provide an intermodal 

perspective. If confirmed, I plan to examine all RITA programs in terms of how they 

can promote intermodal thinking in the agency and within the Department. As part 

of that examination, I will look into the status and potential for the Office of Intermodalism to help coordinate the development of a national intermodal transporVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00113 Fmt 6601 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
110 

tation system. As intermodalism involves all of the Department’s Operating Administrations, I anticipate working closely with the Office of the Secretary. 

Question 6. What will you do to advance the development and use of new technologies to improve the efficiency of freight flow through the marine transportations 

system and its intermodal connectors? 

Answer. The conduct of applied research through nationally renowned institutions 

such as the National Academies is critical to the identification and development of 

ways to increase operational efficiency and throughput of the marine transportation 

system. If I am confirmed, RITA will continue to pursue and conduct such applied 

research opportunities to develop new reliable data, tools, and technologies through 

the National Cooperative Freight Research Program. 

For example, one NCFRP project entitled Preserving and Protecting Freight Infrastructure and Routes will specifically address the state of maritime infrastructure 

including truck routes connections between manufacturers and ports and the state 

of intercity highway and rail networks around ports. The objective of this research 

project is to provide state and local officials, land use planners, etc. with state-ofthe-practice review of current activities and best practices for use in planning and 

development of facilities in proximity to freight, port, and rail operations. RITA will 

continue to support the critical efforts of the Committee on Maritime Transportation 

System (CMTS) through the involvement of the Bureau of Transportation Statistics. 

RITA, through BTS, will continue to sponsor the Maritime Data Working Group 

which produces analytical and technical reports on maritime trade and transportation. 

In addition, RITA will conduct the validation of the use of new technologies 

through deployment of proof-of-concept projects in several areas of freight transportation management ranging from applied technologies in intelligent transportation 

systems, remote sensing technologies to spatial information-based decision support 

systems to enhance the overall freight system performance. The Intelligent Transportation System Program also has technological developments which I will look at 

for applicability to intermodal connectivity. All of these efforts will be coordinated 

with the Federal Highway Administration’s programs in intermodal connectors and 

freight management. 

Question 7. What do you see as the greatest gap or deficiency in scientific research 

that your office can fill to address vehicle safety and transportation issues? 

Answer. Today, when we drive, we are limited by human capabilities regarding 

what is happening on the roadway around us. In the future, we can greatly improve 

safety if our vehicles are smarter and aware of other cars on the roadway and potential hazards that drivers may not see. These capabilities require vehicles to be 

able to communicate with one another and with signals and other roadway features. 

Thus, technology offers the potential to transform vehicle safety. 

Specifically, RITA’s Intelligent Transportation Systems Joint Program Office, is 

working hand-in-hand with the National Highway Traffic Safety Administration 

(NHTSA) to research and develop vehicle-to-vehicle and vehicle-to-infrastructure 

communication technologies for safety applications. This suite of technologies, collectively referred to as IntelliDrive(SM), holds the potential to transform vehicle safety 

by giving the vehicle 360-degree awareness to warn the driver of hazards and, as 

technology advances, to ultimately take limited control to avoid a crash. 

While research progress is being made, the business model that will provide a 

funding approach to equip vehicles and to deploy roadside infrastructure must be 

found. In addition, several key issues, such as privacy and security, must be addressed to bring this ground-breaking technology to fruition. However, the potential 

benefits of this technology fully justify the investment. 

Question 8. In your opinion, what challenges do scientists face when attempting 

to produce vehicle safety research that is useful to the automotive industry? 

Answer. The most recent challenge is to sustain the automotive industry’s focus 

on research in the current business climate. Their attention is diverted and their 

resources are strained. Despite these challenges, the automotive industry must be 

a full partner in the technical and non-technical research. It is essential that 

USDOT nurture and maintain strong relationships with the automotive industry. 

Through that relationship, research can be cooperatively developed that will meet 

the needs of the industry. To this end, USDOT enabled the creation of the Vehicle 

Infrastructure Integration Consortium (VIIC) as a venue for the automotive industry to work with each other and with USDOT in a non-competitive environment to 

conduct research pertinent to the automotive industry. The research identified 

above must be designed with the support of the automotive industry so that it satisfies their needs for ultimate implementation. 

111 

Question 9. As the administrator of RITA, what approach will you take to addressing these challenges? 

Answer. If confirmed as Administrator, I would use this leadership position to 

strengthen and sustain the relationship with the automotive industry. RITA can do 

much to reassure the industry of the government’s commitment to this research and 

its belief in the potential to substantially improve safety. Further, RITA, as an 

agency with a multi-modal mission, can and will continue our strong relationship 

with the National Highway Traffic Safety Administration (NHTSA) in the development and execution of this research program. NHTSA has a long-standing relationship with the automotive industry and they are a key partner in the research. 

Question 10. How will you adequately provide current and thorough reporting of 

your statistical research and analysis? 

Answer. RITA, through the Bureau of Transportation Statistics (BTS), regularly 

communicates with stakeholders and customers in providing statistical products and 

services that meet priority needs of policy leaders and decisionmakers and ensures 

that decisionmakers have access to the relevant, accurate, timely, and reliable information and analyses needed to make informed decisions and improve safety and livability, reduce congestion, and boost overall transportation system performance. To 

achieve this goal, BTS engages in three central activities: creating, managing, and 

sharing transportation statistical knowledge. 

BTS has already scheduled updates and online releases of airline data, international data, the Transportation Services Index and other key transportation indicators. BTS produces analytical reports on key transportation trends including passenger intermodal connectivity and national and state transportation statistics. BTS 

will continue to develop statistical products and services that enhance knowledge regarding other pressing domestic and international transportation topics as they 

evolve. BTS actively contributes to the Nation’s geospatial knowledge by developing 

software to improve the estimation of travel routes and by collaborating with Federal agencies and stakeholders to advance geographic data efforts. The BTS also administers the National Transportation Library. The National Transportation Library maintains a substantial presence in both digital and traditional library environments. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. MARK BEGICH TO

PETER H. APPEL

Question 1. What role do you see the University Transportation Centers (UTC) 

playing in the formulation of national transportation policy? 

Answer. The University Transportation Centers continue to play an increasing 

role in forming national transportation policy, as evidence by several UTC directors 

testifying recently before the Congress on topics as diverse as livability, infrastructure maintainability, and rural transportation issues. It is becoming increasingly 

known that the UTCs house thoughtful knowledge creation and analysis capabilities 

upon which state Departments of Transportation, Metropolitan Planning Organizations, and private logistics firms are drawing increasingly. I am a firm believer in 

the value of the UTCs, and if confirmed, will seek to draw the UTCs, their research 

results and policy analysis skills, more into the national policy debate through the 

Department. 

Question 2. More specifically, what role do you see the Alaska University Transportation Center playing in the formulation of the Nation’s transportation policy 

and arctic policy? 

Answer. The Alaska University Transportation Center is addressing extreme environment transportation issues in a way that few others can, yet is doing so in a 

collaborative manner with others who work in the field. Bringing this specific 

knowledge together will be useful in informing national transportation policy as it 

affects arctic environmental and transportation issues. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN D. ROCKEFELLER IV 

TO JOSEPH C. SZABO

Question 1. While changes to the regulatory structure governing railroad rates 

matters are generally handled by the Surface Transportation Board, as Administrator of the Federal Railroad Administration, your actions will have a tremendous 

effect on the role that both freight and passenger railroads play in our surface 

transportation system. Are you willing to work with me to expand competition and 

112 

improve service in the rail industry while ensuring that railroads have the resources 

they need to serve the nation? 

Answer. The economic regulatory structure governing railroads faces the difficult 

challenge of balancing the often conflicting needs of the railroads, shippers and communities. Adequate financial returns for the railroads are necessary to encourage 

investment in additional capacity and new technologies that will provide the safe, 

efficient and growing rail system we need for both freight and passenger service. 

Reasonable rates and reliable service are critical for the economic development of 

our communities. The impact on communities from changes in railroad service must 

also be considered. As you note, the responsibility for balancing these needs has 

been placed principally with the Surface Transportation Board (STB). FRA, in cooperation with the General Counsel (OST) and other DOT modes, participates in 

proceedings before the STB and this provides an opportunity for the agency to influence policy on these issues. I believe the Department’s filings before the STB should 

continue to urge the STB to balance the needs of the railroads for adequate financial 

returns with the needs of shippers for reasonable rates and reliable service. If confirmed as FRA Administrator, I would be pleased to work with you and the Committee to consider ways to better achieve the goal of expanding competition and improving service. 

Question 2. What will you do to make sure that the Federal Railroad Administration is an active participant in the Department of Transportation’s (DOT) Office of 

Climate Change to make sure that rail is adequately represented in the Department’s climate change efforts? What will you do at the Federal Railroad Administration to promote rail as an environmentally friendly transportation option? 

Answer. If confirmed, I will work to assure that FRA is an active participant in 

the DOT Office of Climate Change to make sure that rail is adequately represented 

in the Department’s efforts on this issue. I understand that FRA has been an active 

participant with that office in the past. With respect to efforts to promote rail as 

environmentally friendly transportation option, there are a number of initiatives 

currently planned or underway that I fully support. On April 16, the Department 

of Transportation released Vision for High-Speed Rail in America, its strategic plan 

for the use of the high-speed rail and intercity passenger rail funding provided 

through the American Recovery and Reinvestment Act of 2009. This Strategic Plan 

is just the first of several steps intended to further refine and elaborate on this 

high-speed rail corridor vision—including the program guidance, the President’s detailed Fiscal Year 2010 budget request, the National Rail Plan called for by Congress, and discussions over upcoming surface transportation legislation. I believe 

that enhanced passenger rail can play an important role in our Nation’s overall climate change strategy. 

Question 3. How will you as Administrator help the Federal Railroad Administration meet the deadline for the new hours of service regime enacted in the Rail Safety Improvement Act of 2008? And the implementation of positive train control? 

Answer. Mr. Chairman, I’m informed that FRA has already completed work within the Railroad Safety Advisory Committee toward issuance of a final rule on Hours 

of Service Record Keeping and Reporting and that they are finalizing partial agreements on Positive Train Control, as well. If confirmed, it would be my responsibility 

to work with FRA’s safety staff and counsel to make sure that initial policy decisions on work such as this are made early in the process of regulatory development 

and that my colleagues in the Administration are kept fully briefed so that we do 

not lose time in ‘‘review and clearance’’ that could be spent implementing safety 

rules in the field. I know the FRA staff is working to be part of the solution here 

and to ensure that the detail work that Congress directed the agency to do is completed as quickly as possible. Nothing that I could do as Administrator could be 

more important than pushing to resolution the work the agency must do to implement the Rail Safety Improvement Act of 2008. 

Question 4. The American Recovery and Reinvestment Act of 2009 provides funding to the several grant programs that the Federal Railroad Administration administers, such as the Amtrak capital grant program and the State Intercity Passenger 

Rail Grant program. How will you make sure projects that are selected to receive 

funds are the ones that are best suited to contribute to a national rail system? Similarly, how will you make sure that funds provided to these programs will be distributed quickly and efficiently so that projects can begin to be constructed as soon as 

possible? 

Answer. On April 16, the Department of Transportation released Vision for HighSpeed Rail in America, its strategic plan for the use of the high-speed rail and intercity passenger rail funding provided through the American Recovery and Reinvestment Act of 2009. As outlined in that strategic plan, and as specified by President 

113 

Obama’s March 20 memorandum on the use of Recovery Act funds, projects will be 

selected based on transparent, merit based criteria, including projects’ ability to 

produce economic stimulus, achieve the goals for high-speed rail and intercity passenger rail development specified in the Passenger Rail Investment and Improvement Act of 2008, and mitigate financial and implementation risks. It is my understanding that FRA will be providing addition details on these merit-based criteria 

as part of the interim guidance it will issue by June 17. If confirmed as Administrator, I look forward to working to develop and implement these merit-based criteria. 

The expeditious management of the grant-making and construction processes will 

unquestionably be one of the greatest challenges facing FRA. I hope that the interim 

guidance, which will establish the exact procedures and standards to be applied 

under these programs, will serve as a first step to ensuring that projects move forward without delay, and are completed as quickly as is prudently possible. 

Question 5. The Passenger Rail Investment and Improvement Act of 2008 included a requirement for the Federal Railroad Administration and Amtrak in consultation with other specified parties to develop metrics and standards for the performance and service of train operations. As Administrator, will you be committed 

to fully establishing fair metrics and standards for performance and service of train 

operations, including measurements of on-time performance and delays of intercity 

passenger rail on rail carrier’s lines? 

Answer. I understand that FRA has been working diligently with Amtrak to develop the required metrics and standards, and I look forward to reviewing the 

progress made in these efforts. Intercity passenger rail service can only be successful if the trains operate reliably, and the standards and metrics called for under the 

Passenger Rail Investment and Improvement Act of 2008 represent a key component of the efforts that are necessary to ensure improved intercity passenger rail 

reliability. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. BYRON L. DORGAN TO

JOSEPH C. SZABO

Question 1. While freight railroad rates and practices are generally handled by 

the Surface Transportation Board, as Administrator of the FRA, your actions will 

impact the role that both freight and passenger railroads play in our surface transportation system. How can you help us to expand competition and improve service 

in the freight rail industry? 

Answer. The FRA, in cooperation with the General Counsel (OST) and other DOT 

modes, participates in proceedings before the Surface Transportation Board (STB). 

I believe the Department’s filings before the STB should continue to urge the STB 

to balance the needs of the railroads for adequate financial returns with the needs 

of shippers for reasonable rates and reliable service. 

Adequate financial returns for the railroads are necessary to encourage investment in additional capacity and new technologies that will provide the safe, efficient 

and growing rail system we need for both freight and passenger service. Reasonable 

rates and reliable service are critical for the economic development of our communities. I believe the Department should also continue to urge the STB to consider 

the impact on communities from changes in railroad service. 

Question 2. How will you make sure projects that are selected to receive funds 

from the American Recovery and Reinvestment Act of 2009 are the ones that are 

best suited to contribute to a national rail system? 

Answer. On April 16, the Department of Transportation released Vision for HighSpeed Rail in America, its strategic plan for the use of the high-speed rail and intercity passenger rail funding provided through the American Recovery and Reinvestment Act of 2009. As outlined in that strategic plan, and as specified by President 

Obama’s March 20 memorandum on the use of Recovery Act funds, projects are to 

be selected based on transparent, merit based criteria, including projects’ ability to 

produce economic stimulus, achieve the goals for high-speed rail and intercity passenger rail development specified in the Passenger Rail Investment and Improvement Act of 2008, and mitigate financial and implementation risks. It is my understanding that FRA will be providing addition details on these merit-based criteria 

as part of the interim guidance it will issue by June 17. 

114 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN KERRY TO

JOSEPH C. SZABO

Question 1. Last Congress, Senator Specter and I introduced the High-Speed Rail 

for America Act of 2008 which provides tax exempt bonds and tax credit bonds for 

high-speed rail. The American Recovery and Reinvestment Act of 2009 included $8 

billion for high-speed rail projects. I believe that more than $8 billion is necessary 

to create a high-speed rail system and that tax exempt bonds and tax credit bonds 

would provide a constant source of funding that would complement the initial investment of $8 billion. Would you support such a program? 

Answer. As stated in Vision for High-Speed Rail in America, and emphasized in 

President Obama’s April 16 remarks at the release of that strategic plan, the Administration views the $8 billion provided under the Recovery Act and the $1 billion 

per year funding proposal contained in the President’s Fiscal Year 2010 budget as 

a down payment to jump-start the development of high speed rail in America, recognizing that additional funding will be required to realize the full potential of a nationwide high-speed rail system. As such, if confirmed, I would look forward to 

working with others in the Administration and with Congress to identify the precise 

sources and mechanisms for providing additional funding. 

Question 2. I have proposed creating an Office of High-Speed Rail within the Federal Rail Administration to focus solely on developing high-speed rail. Do you think 

such an office is needed? 

Answer. Faced with an unprecedented increase in grant funding and policy responsibilities, there is no question that FRA will require additional resources to 

guide the development of the Nation’s high-speed rail system and oversee the use 

of Federal funding in that effort. If I am confirmed, I would look forward to working 

with Department of Transportation officials and the Congress to determine what organizational structure will best suit these needs. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. FRANK R. LAUTENBERG TO

JOSEPH C. SZABO

Question 1. There has been little Federal investment in our freight rail infrastructure, even as we face a significant increase in freight traffic. What should be the 

Federal Government’s role in maintaining and enhancing freight-related infrastructure? 

Answer. The Federal Government provides limited financial assistance for investment in our freight rail infrastructure, most prominently through the loans and loan 

guarantees available in FRA’s Railroad Rehabilitation and Improvement Financing 

Program (RRIF) and in Fiscal Years 2008 and 2009 the Rail Line Relocation and 

Improvement Program. The freight railroads are best positioned to determine their 

investment needs to meet anticipated demands on the freight rail system. The critical Federal role is to continue to support a rail regulatory environment that permits the freight railroads to earn an adequate return on their investment, thereby 

permitting and encouraging the freight railroads to invest in needed infrastructure. 

The Federal Government may have a role in providing additional support to foster 

capacity growth beyond what private investment provides in certain areas, for example, to support passenger rail, or in providing funding to accelerate the adoption 

of new technologies with safety or environmental benefits. However, no additional 

specific Federal funding role for freight rail has been identified at this point. 

Question 2. In the Passenger Rail Investment and Improvement Act of 2008, we 

required that the Northeast Corridor be brought into a state-of-good-repair by 2018. 

As Administrator of the FRA, how will you implement this law to meet this deadline 

and ensure the Northeast Corridor can meet the increased demand for rail travel? 

Answer. I understand that FRA works closely with Amtrak as part of its administration of the railroad’s Federal capital grants to ensure that the funding provided 

to Amtrak is used to further the railroad’s key strategic goals, including the bringing of the Northeast Corridor to a state-of-good-repair. As you know, Amtrak is also 

required under section 211 of the Passenger Rail Investment and Improvement Act 

of 2008 to prepare a capital spending plan identifying the capital projects required 

to achieve this important goal. If I am confirmed as Administrator I would like to 

see the final state-of-good-repair plan serve as a cornerstone in the process of identifying capital projects to be included future Federal capital grants to Amtrak. 

Question 3. Last year, I worked to enact the Clean Railroads Act of 2008 in response to the proliferation of companies abusing a Federal loophole that prevented 

New Jersey from enforcing important public health, safety, and environmental 

standards at rail sites. As Administrator of the FRA, how will you ensure that rail 

115 

operators abide by Federal and State requirements preventing pollution, protecting 

the environment, and protecting the public health, especially laws governing solid 

waste? 

Answer. If I am confirmed, I look forward to learning more about the Clean Railroads Act of 2008 and how FRA in carrying out its railroad safety responsibilities 

might assist the Surface Transportation Board as it implements the Clean Railroads 

Act and the Environmental Protection Agency in its role in preventing pollution, 

protecting the environment, and protecting the public health, especially with respect 

to laws governing solid waste. 

Question 4. The Act to reauthorize the FRA signed into law last year included a 

number of important provisions to improve rail safety. One of these is the implementation of positive train control systems, which will help reduce collisions and 

derailments. What will you do as FRA Administrator to ensure this requirement is 

implemented effectively and on time? 

Answer. I look forward to seeing that FRA finishes developing proposed performance-based regulations to govern the implementation and use of mandatory PTC 

systems. Under the law, each applicable railroad will have to submit a PTC implementation plan for approval by April 16, 2010. If confirmed, I will do everything I 

can to carry forward FRA’s objective of issuing a final rule providing requirements 

for such plans no later than October 2009. I am aware that FRA is asking for plans 

describing the technology that the railroads will use by next April, as well; and I 

believe that this is necessary if we are going to ensure completion of these systems 

by the statutory deadline of December 31, 2015. 

RESPONSE TO WRITTEN QUESTION SUBMITTED BY HON. MARK BEGICH TO

JOSEPH C. SZABO

Question. The Department of Defense has identified the Alaska Railroad as a part 

of the Strategic Rail Corridor Network (STRACNET) as a Defense Connector Line. 

You may be aware that the Alaska Railroad is proposing an expansion, the Northern Rail Corridor Extension Project, which may be relevant to the DOD, and is supported by many Alaskans. Can you explain to the committee what, if any, judgments you may have made about of the viability of the Alaska Railroad’s Northern 

Rail Corridor Extension Project, as well as the STRACNET designation of this rail 

corridor by the DOD? 

Answer. I have not as yet made any judgments about the viability of the Alaska 

Railroad’s Northern Rail Corridor Extension Project but would be interested in 

learning more about the project if I am confirmed as FRA Administrator. It do understand that the FRA is a cooperating agency on the draft environmental impact 

statement (EIS) prepared by the Surface Transportation Board and published in December 2008 and that FRA has provided grant funds to the Alaska Railroad Corporation to advance the planning, design, and environmental review of the project. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. TOM UDALL TO

JOSEPH C. SZABO

Question 1. In my state, safety at railroad crossings is an important issue since 

we have had several fatal accidents. These accidents have taken place with cars at 

grade crossings and with people walking along tracks when they should not be. The 

Railroad Safety Enhancement Act of 2008 included grants to states for grade crossing safety and the ‘‘Operation Life Saver’’ program to raise public awareness of railroad safety hazards. Will you aggressively implement these programs to prevent rail 

crossing accidents? Will you work to introduce new technologies to improve rail safety, especially for tracks that cross roads and pass through populated areas? 

Answer. Yes. Highway-rail grade crossing safety would be a priority for me as Administrator of FRA. If confirmed, I would continue FRA’s longstanding partnership 

with Operation Lifesaver and countless other outreach efforts with the rail industry, 

State and local governments, and transportation organizations in schools, in workplaces, and in communities all across our Nation to raise public awareness about 

highway-rail grade crossing safety. As I have testified, given my railroad background it would be a special honor for me to help implement the measures in the 

Rail Safety Improvement Act of 2008 to improve railroad safety, including all measures to promote highway grade-crossing safety. If confirmed, I would indeed work 

with FRA staff to explore additional ways to improve highway-rail grade safety, taking advantage of new technologies that hold promise for reducing the risks posed 

to both highway and rail users in high traffic areas. Improving high-rail grade crossVerDate Nov 24 2008 13:04 May 18, 2010 Jkt 052165 PO 00000 Frm 00119 Fmt 6601 Sfmt 6621 S:\WPSHR\GPO\DOCS\52165.TXT SCOM1 PsN: JACKIE
116 

ing safety simply improves safety for all of us, and it would be a key focus for me 

as Administrator. 

Question 2. Mr. Szabo, relocating freight rail out of congested urban areas is an 

issue across the country, including in the Chicago area where you are from. In the 

border areas of Texas and New Mexico, several proposed rail relocation projects 

could potentially reduce congestion, improve border security, and increase safety. 

My understanding is that the Federal Railroad Administration does assist with such 

rail relocation projects, primarily through loans and loan guarantees. Would you 

support increased FRA funding for rail relocation projects? Through what programs? 

Answer. FRA currently administers the Rail Line Relocation and Improvement 

program, the purpose of which is to provide financial assistance through grants for 

exactly the type of projects highlighted in your question. FRA also manages the 

Railroad Rehabilitation and Improvement Finance program, which provides loans 

and loan guarantees to help finance a variety of railroad projects, including those 

involving railroad relocations. I understand that interest and participation in both 

of these programs has been very high, and in the case of the Rail Line Relocation 

and Improvement program, that demand has far outstripped the supply of available 

funding. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. SAM BROWNBACK TO

JOSEPH C. SZABO

Question 1. In the past the U.S. DOT appears to have opposed the use of RRIF 

financing for refinancing. Refinancing is a stated eligibility under the statute and 

can be enormously helpful to short line railroads that generally have difficulty securing reasonably priced financing in the private market. What assurances can you 

give that this bias against refinancing will not resurface in the new Administration? 

Answer. I am cognizant of the financing needs of the short line railroads, including the need to refinance various kinds of debt that are eligible under the RRIF program. I understand that in the past this program has not been implemented as 

widely as Congress would have liked. If confirmed, I will work within this Administration to make sure that RRIF is one of the many tools available to address the 

investment needs of the railroad industry. 

Question 2. My next two questions for you are more of a statement, but I would 

appreciate your response. I know that your past work has allowed you to become 

very familiar with the Class I railroad industry and this experience and knowledge 

will no doubt be important as you make decisions concerning the industry. If you 

are not as familiar with the short line railroad industry, I want to encourage you 

to become so as quickly as possible. These small businesses are preserving rail service and rail jobs in areas of the country that the Class I no longer serves. In my 

own state of Kansas short lines operate 42 percent of the state’s total rail network 

and are absolutely critical in moving grain for a huge number of area farmers. I 

want to make sure that you have a real appreciation for what short lines mean for 

vast areas of rural and small town America. In that regard, I commend for your 

reading file recent Congressional testimony given by Rick Webb, CEO of Watco 

Companies which own and operates 19 short lines across the country. The testimony 

was given on January 28 before the House Railroad Subcommittee and it does a 

good job of explaining why short lines are such an important part of the Nation’s 

transportation network. 

Answer. I and the Federal Railroad Administration (FRA) are well aware of the 

importance of the short line railroads. While the Class I railroads generate far more 

ton-miles of traffic, a significant portion of that traffic either originates or terminates on short line railroads. They form a critical link to the national economic system for many communities while reducing wear and tear on rural roads not designed for heavy truck traffic. The ability of short lines to provide local ‘‘retail’’ service, vital to small communities, assembling small shipments into larger blocks of 

cars that are then interchanged with the Class I’s allows many smaller communities 

to receive good quality rail service despite their smaller size and gives them access 

to the world’s markets. I am also aware of some of the unique challenges short line 

railroads face, including the lack of financing. The RRIF program was created to 

help address these needs. Funding the track and other improvements needed by 

short line railroads not only improves safety and service, it reduces pollution and 

puts people to work. 

Question 3. In that same regard, I want to make sure that you are committed to 

working with the short lines with regard to implementing the recently passed Rail 

Safety Legislation. That legislation was aimed primarily at safety issues on the 

Class I railroads. While many of the provisions are relevant to all rail operations, 

117 

there are a number of rules regarding hours of service and the installation of Positive Train Control systems where the short lines are going to have to engage in very 

expensive compliance measures in areas where their operating characteristics do not 

match the Class I characteristics and where there is no safety benefit associated 

with the action. I hope you intend to pay close attention to this issue and to make 

regulatory adjustments where that is appropriate. 

Answer. I certainly appreciate the fact that one size doesn’t always fit all. Although FRA has an obligation to ensure that the law is enforced and that safety 

needs are met, the agency also has a responsibility to ensure that small entities, 

including small railroads, are not subject to requirements that are unnecessary. As 

a safety stakeholder in my current job, I have watched the FRA work closely with 

the American Short Line and Regional Railroad Association through the Railroad 

Safety Advisory Committee and in other forums. I know many short line and regional railroaders, and I respect the role that they play in the national rail system. 

If confirmed, I will welcome the chance to work closely with smaller railroads to ensure that the Rail Safety Improvement Act of 2008 is implemented in an effective 

but rational way which takes into account real differences in safety exposure. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN D. ROCKEFELLER IV 

TO DANA G. GRESHAM

Question 1. How do you plan to facilitate open, honest, and timely communication 

between the Department of Transportation and Congress? What process will you establish to make certain that the Administration consults with this Committee in a 

timely fashion before implementing major policy shifts? 

Answer. I recognize the facilitation of open, honest, and timely communication between the Departments of the Executive Branch and Congress, conducted in a bipartisan manner as emphasized by Ranking Member Hutchison at the Committee 

hearings on my nomination, to be a primary function of the Office of Governmental 

Affairs. Timely communications would be a focus of my management of the Office 

should I be confirmed, including notice to Congress of impending policy shifts. To 

make that happen, I would expect to work closely with the senior policy staffs of 

the Secretary, Deputy Secretary, and Under Secretary, as well as the Administrators, to remain cognizant of developing policy and to make clear the need for consultation, as appropriate, with the appropriate Senate and House committee leaderships. 

Question 2. The Administration’s FY 2010 budget is expected to be received by 

Congress in the coming weeks. Can we depend on more aggressive support of critical rural air service programs, both Essential Air Service (EAS) and the Small 

Community Air Service Development program, from the Obama Administration? 

Answer. The President signaled his strong support for, and recognition of the 

value of, the Essential Air Service Program in his preliminary Budget message in 

February. From all that I have learned about the objectives of the EAS program and 

Small Community Air Service Development program since being nominated, I am 

convinced that these two programs can play a valuable role in maintaining a network of air service in areas that have historically been underserved. 

Question 3. How will you work to improve relationships, communications and understanding between your Department and the Department of Homeland Security 

to ensure the DHS is well informed about the operational impacts to their security 

regulations? 

Answer. I understand that DOT and DHS have developed a productive working 

relationship and coordinate often on matters that are relevant to or affect both Departments. For example, DOT coordinates frequently with DHS via quarterly stafflevel meetings, and the Secretaries of Transportation and Homeland Security are 

in agreement on continuing the routine of quarterly meetings established by their 

predecessors. Any issues concerning security regulations are addressed at the appropriate coordination level, whether that is the working group level or Secretarial 

level. I commit to emphasizing the continued need for nurturing these close working 

relationships. 

Question 4. How will you work to ensure efficient coordination between the Maritime Administration and Department of Homeland Security’s Customs and Border 

Protection to ensure strong enforcement of the Jones Act? 

Answer. I am told that the Department of Transportation’s Maritime Administration is in regular, close contact with the Department of Homeland Security’s United 

States Customs and Border Protection (CBP) element to assure vigorous enforcement. If confirmed, I will work to ensure that the relationship remains strong. 

118 

Question 5. Last fall, a 5-year Amtrak reauthorization was signed into law, which 

set an aggressive plan for improving Amtrak’s network and operations. President 

Obama and Secretary LaHood have indicated that they are very supportive of development of high speed rail in the United States, as indicated by their $1 billion per 

year budget request for high-speed rail development. Can we expect that the Secretary will also be supportive of fully funding Amtrak at the authorized levels? 

Answer. Secretary LaHood has expressed his support for a vital Amtrak and I am 

convinced would press for the level of funding that permits the Corporation to fulfill 

the robust role Congress envisioned for it in last October’s enactment. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN D. ROCKEFELLER IV 

TO ROBERT S. RIVKIN

Question 1. What steps would you take to bolster the DOT’s efforts to enforce passenger rights under existing statutes in order to address the consumer protection 

concerns that have arisen over the past several years? 

Answer. The protection of airline consumers is the responsibility of the Office of 

the General Counsel and would be one of my priorities. Accordingly, I would ensure 

that the Department completes in a timely fashion its pending consumer protection 

rulemaking that proposes to enhance passenger protections in the following ways: 

by requiring carriers to adopt contingency plans for lengthy tarmac delays; by requiring air carriers to respond to consumer problems; by deeming the continued operation of a flight that is chronically delayed to be an unfair and deceptive practice; 

by requiring carriers to publish information on flight delays on their websites; and 

by requiring carriers to adopt customer service plans, and to audit their own compliance with their plans. I would also ensure that the Department takes into account 

the views of Congress and stakeholders on the appropriate definitions of tarmac 

delays and chronically delayed flights. It is important to recognize that we cannot 

rely solely on existing regulations, or in the sometimes lengthy process of enacting 

new regulations, to protect consumers in an industry as dynamic as the airline industry. If confirmed, I would work to ensure that the Department is vigilant in reviewing carriers’ evolving practices to prevent unfair and deceptive practices or unfair methods of competition. I advocate strong enforcement action, as well, to provide air travelers the level of protection they deserve. 

Question 2. Under the Bush Administration’s leadership, the NHTSA has included 

language in rules stating that Federal safety regulations preempted state common 

law. Many of us on the Committee felt that it was highly improper for the Administration to include preemption in safety rules that are addressed once every two decades. When the Administration included language that removed private rights of action, it also eliminated incentives to push industry to innovate and improve safety 

standards outside of the requirements of the rules. Do you agree that safety rules 

should be floors, not ceilings? 

Answer. I am aware that various NHTSA rules promulgated during the previous 

Administration contained language, in the preamble of the relevant rule, announcing that the rule was intended to preempt State regulatory authority and State common law remedies. Some NHTSA regulations can have a preemptive effect on a 

State’s ability to provide for its own standards or remedies, and guidance as to the 

preemptive effect of DOT regulations in those limited areas can be helpful in explaining the reach of a Federal regulation. However, it is my belief that, as a general matter, NHTSA’s safety rules should be viewed, consistent with NHTSA’s statutory authority, as minimum standards. It is my understanding that the Administration is currently reviewing the prior Administration’s expansive approach to the 

preemption of State regulations and common law remedies by Federal regulations. 

Question 3. In light of the Supreme Court’s decision in Massachusetts. v EPA that 

gave the Environmental Protection Agency the authority to regulate greenhouse gas 

emissions, how do you view the NHTSA’s legal authority to regulate fuel economy? 

Answer. Under the Energy Policy and Conservation Act of 1975 and the Energy 

Independence and Security Act of 2007, NHTSA retains independent statutory authority to set fuel economy standards for passenger cars and light trucks, with the 

requirement to achieve a minimum fleet-wide average of 35 miles per gallon by 

model year 2020. The Supreme Court decision recognized the Environmental Protection Agency’s authority to regulate greenhouse gas emissions, but did not alter 

NHTSA’s legal authority to regulate fuel economy. Because of the relationship between fuel use and greenhouse gas emissions, NHTSA is working closely with the 

Environmental Protection Agency in this area. 

119 

Question 4. Do you plan to advocate for the Department’s continued leadership in 

regulating national fuel economy programs? 

Answer. The Department plays an important role in regulating both the fuel economy and the safety of motor vehicles. These issues are intertwined and both require 

careful consideration. This is a challenging and evolving area, and we look forward 

to working with our colleagues across Government and in the Congress. 

Question 5. As the Department of Transportation’s General Counsel how do you 

intend to ensure that all modes and offices within the Department are compliant 

with our cargo preference laws? 

Answer. If confirmed as General Counsel, I would work with the Maritime Administration (MARAD) as it uses new enforcement authority enacted in 2008 (P.L. 110– 

417) to ensure compliance by the Department of Transportation and all other government agencies or their subcontractors with cargo preference regulations. Under 

the new authority, MARAD may levy a fine of $25,000 per day per violation for persons who violate the laws, as well as direct agencies who violate the laws to ship 

make-up cargoes. Specifically, I would work to ensure that 100 percent of military 

and Export-Import Bank cargoes, 75 percent of agricultural food aid cargoes, and 

50 percent of all other impelled cargoes are shipped on U.S.-flag merchant fleet vessels crewed by American citizens. 

RESPONSE TO WRITTEN QUESTION SUBMITTED BY HON. FRANK R. LAUTENBERG TO

ROBERT S. RIVKIN

Question. Air traffic controllers have been without a collective-bargaining contract 

since 2005. How do you recommend DOT move forward with air traffic controllers 

and other FAA unions to negotiate a collective bargaining agreement on pay and 

working conditions? If confirmed, will you make this a priority? 

Answer. I can assure you that resolving the contract issues with the air traffic 

controllers is a top priority for this Administration. The President and the Secretary 

have made that very clear. If confirmed, I will work closely with the Secretary and 

the FAA to resolve disputes with the National Air Traffic Controllers Association 

(NATCA), which represents the controllers, and with other FAA unions so that 

going forward we are in the best possible position to meet the important challenges 

facing the FAA. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN D. ROCKEFELLER IV 

TO ROY W. KIENITZ

Question 1. What is the current status of the second stage of the E.U.-U.S. Open 

Skies negotiations? What are the primary goals of the Administration for the second-stage negotiations? 

Answer. Negotiating teams from the United States and the European Union are 

continuing to explore issues of priority interest to both sides, and a third round of 

negotiations on a second-stage U.S.-E.U. aviation agreement has been scheduled 

during the week of June 22 in Brussels. The Administration is still in the process 

of developing its position for these negotiations and will be coordinating with aviation stakeholders as part of this process. 

Question 2. U.S. ports are the key modal connector for more than 95 percent of 

all overseas trade and currently have no national level strategy for development or 

funding. What do you plan to do to adequately prepare the Nation’s ports, marine 

transportation system, and intermodal connectors to meet their current needs, to reduce congestion, decrease emissions, and to support the doubling of freight traffic 

in the coming decade? 

Answer. There are likely to be shifts in the kinds of transportation demands that 

we will face. It is no secret that the economy is becoming increasingly dependent 

upon global sources of supplies, but exports have grown as well. Since 1970, exports 

as a percentage of GDP have almost doubled, and imports have tripled. Moreover, 

the U.S. manufacturing base is increasingly shifting to high-value, high-tech products like pharmaceuticals and instruments, in which we retain a comparative advantage. These high-value products require an expedited transportation system that 

relies increasingly on overnight truck and air freight delivery. Our increasing reliance on imports of lower-value manufactured goods (and parts for domestic manufacturers) places a growing reliance on key ports of entry, such as the San Pedro 

Bay ports of Los Angeles and Long Beach, and the Puget Sound ports of Seattle and 

Tacoma. Landside connections to these ports, linked to an efficient domestic intermodal rail and truck freight transportation system, will be important to keeping the 

120 

delivery costs of these commodities low. Overall, the shift in GDP from goods production to services production will cause freight vehicle-miles traveled (VMT) to 

grow more slowly than GDP, but the growth will still be large. 

Question 3. In the past, the Department of Transportation’s stove-piped nature 

has made it difficult for the modal administrations to coordinate on cross-cutting 

policy issues. What will you do to improve coordination between the modes on crosscutting policy issues? What is your plan for coordinating the Secretary’s Office of 

Policy’s efforts with the modal administrations’ policy offices on going work? 

Answer. I recognize that the role of Under Secretary for Policy is inherently 

tasked with improving the communication and efficiency among the modes in the 

interests of multi-modal policy solutions. In that regard, I have been struck with 

the success the Secretary has engendered in the so-called ‘‘TIGER Team’’ effort to 

rapidly implement the terms of the American Recovery and Reinvestment Act of 

2009. The combination of new IT technology and cross-modal teams has had remarkable success in making available in a mere 9 weeks $37 billion of the overall 

$48.1 billion appropriated to the Department. I would like to make that a model 

going forward for multi-modal initiatives. 

Question 4. Do you support the Jones Act and how will you work to ensure strong 

enforcement of it? 

Answer. If confirmed, I would work with the Maritime Administration (MARAD) 

as it uses new enforcement authority enacted in 2008 (PL110–417) to ensure compliance by the Department of Transportation and all other government agencies or 

their subcontractors with cargo preference regulations. Under the new authority, 

MARAD may levy a fine of $25,000 per day per violation for persons who violate 

the laws, as well as direct agencies who violate the laws to ship make-up cargoes. 

Specifically, I would work to ensure that 100 percent of military and Export-Import 

Bank cargoes, 75 percent of agricultural food aid cargoes, and 50 percent of all other 

impelled cargoes are shipped on U.S.-flag merchant fleet vessels crewed by American citizens. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. BYRON L. DORGAN TO

ROY W. KIENITZ

Question 1. What key steps does the FAA need to take to speed up Air Traffic 

Control modernization? 

Answer. Modernizing the Air Traffic Control system—or moving to NextGen as 

quickly as possible—is a top priority for the President and the Secretary. If confirmed, I will work with the Secretary to ensure the FAA has the highest level of 

support in implementing NextGen capabilities. To accelerate NextGen, the FAA 

must work to maximize the use of capabilities already resident in today’s aircraft 

and throughout the infrastructure. FAA must also work collaboratively with industry to encourage equipage to support new aircraft capabilities. 

Question 2. What specific programs should the FAA pursue over the next 3–5 

years to achieve modernization benefits in the near-term? 

Answer. The FAA should focus on programs that immediately improve safety, increase efficiency, and reduce emissions and noise—this means accelerating movement toward performance based navigation and surveillance, and I believe that 

those efforts should be the FAA’s focus over the next 3–5 years. If confirmed, I look 

forward to working with the Secretary and the FAA to support NextGen implementation. 

Question 3. What specific steps can Congress take to help the FAA accelerate the 

date of a complete transition to NextGen? 

Answer. If confirmed, I will work closely with the Secretary and the FAA to quickly identify the challenges or obstacles to full implementation of NextGen. I believe 

that working closely with Congress, we can identify areas where Congress can help 

to facilitate acceleration. I understand that the FAA has been operating under a series of short-term authorizations since October 2007. An immediate step that Congress could take to support NextGen is to pass a multi-year FAA authorization bill, 

which is needed to clarify the funding for NextGen and provide stability over the 

next few years. 

Question 4. What will you do to improve communication and efficiency across the 

modal administrations in order to create multi-modal policy solutions? 

Answer. I recognize that the role of Under Secretary for Policy is inherently 

tasked with improving the communication and efficiency among the modes in the 

interests of multi-modal policy solutions. In that regard, I have been struck with 

the success the Secretary has engendered in the so-called ‘‘TIGER Team’’ effort to 

121 

rapidly implement the terms of the American Recovery and Reinvestment Act of 

2009. The combination of new IT technology and cross-modal teams has had remarkable success in making available in a mere 9 weeks $37 billion of the overall 

$48.1 billion appropriated to the Department. I would like to make that a model 

going forward for multi-modal initiatives. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. TOM UDALL TO

ROY W. KIENITZ

Question 1. The Essential Air Service program currently ensures that there is 

commercial air service for five small communities in my state. While I agree that 

the program could probably be more efficient, could you tell me more about what 

changes DOT proposes for Essential Air Service? What steps would you take to provide a better foundation for the Essential Air Service program and otherwise ensure 

that small communities depending on it continue to benefit from airline transportation? 

Answer. The Essential Air Service program provides a vital link to the national 

air transportation system for many communities across the country. Nonetheless, 

communities’ eligibility for inclusion in the EAS program has never been based on 

individual needs, but, rather, only on whether the community was receiving scheduled air service at the time of airline deregulation in 1978. The EAS program has 

remained fundamentally unchanged since its inception while the aviation landscape 

has changed dramatically with the spread of the hub-and-spoke system, regional 

jets, and low-fare carriers. In order to ensure that the program remains responsive 

to the needs of rural America, we intend to review the challenges facing EAS and 

we look forward to working with Congress in an effort to develop a more efficient 

and sustainable program. 

Question 2. In 2006, a man who was drinking before and during his flight to Albuquerque later killed a family of six while driving the wrong way down the highway. 

Although current Federal regulations prohibit an intoxicated person from boarding 

a flight, or from being served more alcohol, it is not mandatory for airlines to provide training to ensure that these important safety regulations are obeyed. 

I have introduced legislation (S. 743)—supported by unions representing flight attendants and Federal air marshals, as well as Mothers Against Drunk Driving— 

that would require that airlines provide flight attendants and gate attendants training for identifying intoxicated passengers, serving alcohol, and managing drunk or 

belligerent passengers onboard. Do you agree that flight attendants and gate attendants should receive such training to help ensure passenger safety in the air and 

protect public safety on the ground? 

Answer. While I am not familiar with the particulars of this safety issue, it is only 

reasonable that flight attendants and gate attendants should receive training in 

matters that affect the safety of the public in the air and on the ground. 

Question 3. The State of New Mexico is aggressively addressing the problem of 

drunk driving through a combination of enforcement and education efforts. Yet in 

2007 alone, there were still 133 fatalities involving alcohol impaired drivers in my 

state. Although the last highway bill provided grant programs to help states tackle 

the problem of drunk driving, it is a still a problem of great concern. What would 

you do as Under Secretary for Transportation Policy to further efforts to reduce 

drunk driving? 

Answer. I commend the State of New Mexico for its steady progress over recent 

years in reducing drunk driving. I am aware of Governor Richardson’s announcement in February that the number of DWI-related deaths in your State has decreased 35 percent since 2002. Yet I fully agree that 133 drunk driving deaths is 

far too many and we need to continue looking for every possible remedy for this 

problem, in New Mexico and across the Nation. 

If confirmed as Under Secretary for Transportation Policy, I will work with the 

Secretary and Congress to maintain the Department’s traditional leadership role in 

providing research, strategies, guidance and resources that States need to address 

the drunk driving problem. I will work with NHTSA and the Department to develop 

evidence-based programs that can address recidivist drunk driving behavior as well 

as first time offenders. I also believe the Department must continue its partnership 

with States and communities as laboratories of change and innovation to insure that 

we can evolve our countermeasure strategies to meet changes in the highway safety 

environment. 

122 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN THUNE TO

ROY W. KIENITZ

Question 1. Mr. Kienitz, I would be interested to know your views concerning the 

current shortfall in the Highway Trust Fund and how you envision the Obama Administration will address the significant funding needs that exist across the country 

when it comes to highway and bridge infrastructure which is critical to our Nation’s 

economy? 

As a follow up to that question, I would be interested in knowing your thoughts 

when it comes to innovative funding proposals, such as the Build America Bonds 

Act that Senator Wyden and I have advocated, which would supplement the funding 

that States currently receive via the Highway Trust Fund, by providing $50 billion 

in infrastructure funding to address critical needs when it comes to highway, bridge, 

transit, rail and waterway infrastructure? 

Answer. There is no doubt that the condition of the Nation’s roads and bridges 

is not what it should be. The funding sources that have supported investment, 

mainly the gasoline tax, are less able every year to carry the load. If conditions are 

to improve a change is needed. Options for how to handle this challenge are being 

reviewed within the administration, and recommendations may be forthcoming soon. 

In my personal capacity I have worked extensively on innovative financing plans 

over the last several years, including the Better America Bonds proposal. President 

Obama has proposed an infrastructure bank as part of his FY2010 budget and hopefully this proposal could be part of a broad and inclusive conversation of how to finance infrastructure. 

Question 2. Mr. Kienitz, while there was widespread support among Democrats 

and Republicans for infrastructure investment in the economic recovery bill, some 

outside interests attempted to inject a ‘‘no new capacity’’ policy with respect to the 

stimulus bill’s highway funds. That perspective was widely rejected by Congress, 

but it appears we will be dealing with this again in the surface transportation reauthorization debate. Since roughly 85 percent of Federal highway funds are spent on 

maintenance activities, this seems to be a solution in search of a problem. Can you 

explain why on one hand some want increased flexibility for state and local government transportation decisions and on the other hand want that flexibility constrained to only certain activities? 

Answer. The Obama Administration has not yet made specific proposals for the 

2009 surface transportation reauthorization bill so I cannot comment on administration policy. For my own part, none of the transportation authorizations I have 

worked on—at the Federal and state levels going back more than 20 years—have 

included or even seriously contemplated such a limitation. 

Secretary LaHood has spoken publicly about his desire to modernize Federal 

transportation investments, in part by choosing investments based on which projects 

best serve important national goals. In such a system, new capacity projects would 

compete for funding with other types of projects as they do now based on their ability to achieve agreed to goals. 

Finally, given the current funding constraints affecting the Highway Trust Fund 

it will be increasingly hard to fund major transportation investments of all kinds, 

and so addressing this issue creatively can pay dividends in many areas. 

Question 3. Mr. Kienitz, it has been estimated transportation contributes somewhere in the neighborhood of 30 percent of the Nation’s total greenhouse gas emissions. One of the leading causes of these emissions is not necessarily transportation 

itself, but traffic congestion. Vehicles caught in stop-and-go traffic emit far more of 

these pollutants than they do operating without frequent braking and acceleration. 

To date, climate change initiatives have focused on getting people out of their cars 

as the primary way to reduce traffic congestion. Should efforts to reduce greenhouse 

gas emissions focus both on transportation alternatives and direct initiatives to relieve traffic congestion? 

Answer. President Obama has said on many occasions that combating climate 

change will be a principal policy focus of his administration, and this will no doubt 

have consequences for the transportation sector. This will certainly begin with efforts to make motor vehicles more fuel efficient. When it comes to capital projects, 

investment decisions intended to reduce CO2 emissions should be chosen based on 

the best available science as to what will be effective over the time-frame identified 

for reducing the country’s CO2 emissions. 

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1http://www.transact.org/report.asp?id=64 (Accessed April 20, 2009). 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. DAVID VITTER TO

ROY W. KIENITZ

Question 1. As Gov. Rendell’s chief advisor for Transportation, you advocated leasing a Federal highway to a foreign entity and allowing that foreign entity to charge 

tolls. You also advocated adding tolls to another U.S. Highway, I–80. The Pennsylvania legislature did not approve the lease, and the U.S. Department of Transportation rejected this scheme. In your new position would you be inclined to support 

approval of these arrangements that you have previously advocated? Do you believe 

Americans should be required to pay a toll to a foreign business to drive on a Federal highway? Do you see any problem with entrusting our transportation infrastructure to foreign-based companies? 

Answer. The policies advocated by Governor Rendell regarding tolls and toll roads 

in Pennsylvania were chosen by the Governor personally, not by me. He is a very 

hands-on manager. 

The plan to add tolls to I–80 eventually turned down by USDOT did not originate 

with the Governor. However, the plan approved by the legislature included new tolls 

on I–80, and he chose to sign that legislation because the billions in road, bridge 

and transit funding it would provide was sorely needed. On the day he announced 

his intention to sign the bill he expressed that it was not his preferred course of 

action. The Governor was not an advocate of this plan in the legislative process and 

as a result neither was I. 

If confirmed, I will follow the direction of the Secretary and Congress on tolling 

policy. Current law allows new tolls on the Interstate system in very limited circumstances, and if confirmed I will enforce the law as written. 

The proposal to lease the Pennsylvania Turnpike was strongly supported by Governor Rendell. As his agent, my role was to help carry out his vision. The eventual 

winning bidder was a consortium that included both CitiBank and the Spanish company Abertis. Indeed, each of the bidding teams included both U.S. and foreign companies. The Pennsylvania DOT and the Office of General Counsel analyzed whether 

foreign companies could be held fully accountable to the terms of a lease contract, 

and once it was determined they could the Governor chose to allow bidding to be 

open to U.S. and foreign companies. As long as he could be assured that all rules 

on toll rates and road maintenance would be followed regardless of which bidder 

was successful, he was comfortable selecting the high bidder. 

On this point, if confirmed it will be my duty to follow the laws of the United 

States, which as of now do not differentiate between bidders based on their country 

of origin. Congress will have the opportunity to debate this issue in the reauthorization process, and if the law should change I will faithfully implement any new requirements if confirmed. 

Question 2. From the policies you advocated throughout your career in public policy and public service, which generally fall under what some call ‘‘Smart Growth,’’ 

you seem to think that Americans need to drive less, in favor of other means of 

transportation. In your new position would you show greater favor to alternate 

means of transportation, when driving is still the means of transportation favored 

by most Americans? 

In a paper on road congestion put out by the Surface Transportation Policy 

Project under your direction, the claim is made that road construction does not solve 

traffic congestion problems.1 As Under Secretary for Policy, would you be inclined 

to recommend that funds be shifted away from road repair and expansion, and if 

so, to what would you shift those funds? 

Answer. If I am confirmed my primary role will be to follow the policy direction 

provided by the President, Secretary LaHood and Congress. At this point the Administration has not made policy proposals for the reauthorization of surface transportation programs so I cannot speak directly to those issues. 

For my own part, I believe investment in roads and bridges is vital to the country’s future and will continue to support high levels of investment just as I did 

working for Governor Rendell. The condition of major roads and bridges steadily improved during the years I was in Pennsylvania because a sustained effort was made 

to invest at very high levels where needs were the greatest. 

Driving is America’s dominant form of transportation and will remain so for the 

foreseeable future. Secretary LaHood has said on many occasions that he supports 

highway investment. He also supports more attention to other types of investment, 

from high speed rail to transit to walking and biking. 

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RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN D. ROCKEFELLER IV 

TO CAMERON F. KERRY

Question 1. As General Counsel, your primary job is to provide legal counsel to 

the Secretary of Commerce and senior Department leadership. As an active member 

of U.S. trade policy negotiations, how do you foresee your role in counseling Secretary Locke and the Agency in this role? 

Answer. The Commerce Department is part of President Obama’s interagency 

team that is reviewing strategic and programmatic choices for trade policy. As General Counsel, I would work with Secretary Locke, Commerce’s Under Secretary for 

International Trade, Ambassador Kirk, and our other interagency colleagues to support their review with the best possible legal advice and ensure that we are using 

all available tools to address the economic crisis, including achieving access to new 

markets for American businesses large and small. 

Question 2. What is your perspective on the effectiveness of Commerce’s monitoring and enforcement of current trade agreements? 

Answer. President Obama is determined to aggressively defend our rights and 

benefits under the rules-based trading system. The ongoing review of trade policy 

will include a careful review of existing trade agreements with this policy goal in 

mind. 

Question 3. What would you do differently regarding these agreements and how 

they are monitored and enforced? 

Answer. I have not yet had the opportunity to review how Commerce is monitoring and enforcing trade agreements, but Secretary Locke and I are committed to 

enforcement of these agreements. As Secretary Locke testified, ‘‘it is pointless to negotiate complex trade agreements if we don’t intend to enforce them.’’ I intend to 

support him and the Department’s tradeofficers in this important work and to advise them of enforcement opportunities in existing trade agreements. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. JOHN D. ROCKEFELLER IV 

TO SHERBURNE B. ABBOTT

Question 1. As the Associate Director for Environment for the Office of Science 

and Technology Policy, what role do you see yourself playing regarding the research, 

development, and adoption of Carbon Capture and Sequestration technologies? 

Answer. OSTP plays a vital role in helping to facilitate and coordinate across the 

Executive Branch departments and agencies involved in shaping and implementing 

Federal research and development activities on climate technologies, including carbon capture and sequestration (CCS) technologies. There are a number of sciencerelated challenges that must be overcome to enable wide-scale deployment of CCS, 

including development of more cost-effective carbon capture systems; monitoring, 

verification, and accounting systems for permanent CO2 storage sites; a legal framework for CO2 storage permitting and liability; public support; and a CO2 pipeline 

infrastructure. OSTP has a vital role to facilitate interagency coordination on scientific aspects of these issues through the Climate Change Technology Program, 

which was created under the Global Change Research Act, and the National Science 

and Technology Council (NSTC), which is co-chaired by the Director of OSTP. For 

example, the NSTC Subcommittee on Water Availability and Quality, under OSTP’s 

guidance, is investigating the impacts that geologic sequestration might have on 

drinking water and aquatic ecosystems now and into the future. 

Question 2. The Joint Ocean Commission Initiative recently released a report that 

outlines twenty priority actions needed for improving ocean and coastal policy and 

management, strengthening ocean science, and funding ocean and coastal policies 

and programs. In the area of ocean science, the Commission recommended the Federal Government: (1) more closely align ocean and coastal science priorities with the 

needs of policymakers and managers; (2) integrate ocean and coastal science into 

the broader climate initiative; (3) improve the availability of ocean-related information, products, and services critical to the operations of key sectors of the U.S. economy; (4) develop a comprehensive strategy to guide marine-related, ecosystem-focused research, assessment, and management under the guidance of the Office of 

Science and Technology Policy; and (5) initiate an effort among governmental, academic, and private stakeholders engaged in ocean science to prioritize competing demands within the ocean and coastal science community. 

How do you see the Office of Science and Technology Policy coordinating with the 

National Oceanic and Atmospheric Administration to strengthen ocean science programs within the Federal Government, prioritize ocean and coastal research efforts, 

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and make sure the ocean and coastal science programs meet the needs of managers 

at the local, state, and regional levels? 

Answer. Oceans are crucial to our well-being because they play a central role in 

global weather and climate, are a major source of protein for much of the world’s 

population, provide employment in fisheries and recreation, serve as home to much 

of the planet’s biodiversity, and more. Given this, OSTP will be very active in promulgating policies that propel the United States into a leadership position in marine 

stewardship. Included among the Obama Administration ocean priorities are to reauthorize the Coastal Zone Management Act in ways that strengthen the collaboration between Federal agencies and state and local organizations, and strengthen 

and reauthorize the National Marine Sanctuaries and the Oceans and Human 

Health Acts. 

If confirmed, I will work with NOAA and other relevant agencies, as well as with 

the Congress, to complete and implement the strong, integrated, well-managed program of ocean research and stewardship that is essential to sustain a healthy and 

productive marine environment and the local, state and regional communities that 

depend upon it. 

As a general overview, the OSTP works with NOAA (and other Federal agencies 

and Executive Office of the President entities) through both the NSTC Joint Subcommittee on Ocean Science and Technology (JSOST) and the U.S. Group on Earth 

Observations (US GEO) to address a number of science and technology research 

issues pertaining to oceans. Reporting to the JSOST are a number of functional 

working groups that exist to develop the research and operational priorities for national missions. For example, the Interagency Working group on Ocean Observing 

monitors the progress of the U.S. Integrated Ocean Observing System (IOOS) and 

the Oceans Observatory Initiative (OOI) which spans the domain from global to the 

coastal and Great Lakes and functionally from research to operations within the 

ocean observing, monitoring and management of information. Additional working 

groups focus on specific functions, such as oceans and human health. The members 

for these structures also participate in the U.S. GEO to ensure that the ocean and 

coastal information is then included in the larger framework of observations from 

land and atmosphere. 

The Ocean Research Priorities Plan and Implementation Strategy developed by 

the NSTC’s Joint Subcommittee on Ocean Science and Technology in the last administration appears to provide a useful framework for analyzing research needs 

and moving ahead with meeting them. A process to refine and update it is underway and I will study it closely and seek input from the relevant Executive Branch 

agencies and committees of Congress before reaching any conclusions about what revisions in it might be warranted. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. TOM UDALL TO

SHERBURNE B. ABBOTT

Question 1. New Mexico is home to Los Alamos and Sandia National Laboratories. 

Our National Labs are crown jewels of our Federal science assets, and they play 

an essential role for national security. Their original mission of safeguarding the 

Nation’s nuclear weapons assets is well known, but these labs are also at the forefront of energy and environmental science which also has very real and direct links 

to our national security. I would appreciate learning your thoughts on your role in 

working with our National Labs. How would OSTP support and leverage these scientific and national security assets in the fields of energy and the environment? 

Answer. OSTP recognizes that Sandia, Los Alamos, and other national laboratories are leaders in the critical research that our Nation needs in the areas of energy and the environment. OSTP also recognizes that many sensors, analysis, and 

modeling capabilities developed for nuclear weapons and other national security requirements have energy and environmental applications. 

Sandia and Los Alamos are leaders in the areas of measurements and sensors, 

data-gathering and analysis; natural system modeling; climate modeling and analysis with applications to regional prediction and sea-level rise; social, economic and 

political modeling with applications to economic impact of greenhouse gas policies, 

and dynamics of forced migration; energy and infrastructure with applications to energy demand and growth, and technology insertion. OSTP, through its leadership 

of the interagency process, will ensure that these valuable assets are fully utilized. 

Question 2. Ms. Abbott, One of the key missions for the Office of Science and 

Technology Policy, as set out by Congress in its authorizing legislation, is to ‘‘work 

with the private sector to ensure Federal investments in science and technology contribute to economic prosperity, environmental quality, and national security.’’ 

126 

A major component of President’s Obama’s recovery strategy is to promote the development of ‘‘green jobs.’’ It appears that there’s a clear role that the Federal Government can play to create jobs to get technology out of the laboratories and into 

the marketplace. How will your office promote the commercialization of technologies 

that will improve our energy independence and reduce the harmful effects of global 

warming? 

Answer. Active U.S. Government leadership and coordination is necessary to help 

transition the Nation toward a clean energy economy that promotes our security 

through increasing independence from foreign oil and reduces our emissions of 

greenhouse gases. This transition also requires robust Federal support for energy 

R&D and a framework of energy policy that enables commercially attractive solutions. Federal investments in energy R&D are essential to ensure that the United 

States is on the cutting edge of clean-energy technologies, giving birth to new industries and opportunities that will create jobs. OSTP will work closely with the Federal agencies, OMB, and the Congress. to identify effective R&D investments and 

ensure that these investments produce results. 

In his FY 2010 budget, the President has proposed a significant increase in R&D funding for clean energy technologies, including an investment of $150 billion over 

10 years using a portion of the auction revenues from a greenhouse gas cap-andtrade system. A significant fraction of these funds should support transformational 

research that could dramatically reduce cost and increase performance of energy 

technologies, such as solar cells, biofuels, batteries, and buildings. In addition, the 

Recovery and Reinvestment Act provides $6 billion for loan guarantees, more than 

$13 billion in tax credits and grants leveraging an estimated $100 billion in private 

sector investment in clean energy and job creation, $2 billion for advanced battery 

manufacturing, and $4.5 billion for modernizing the electric grid. Transitioning to 

the clean economy requires the work of many Federal agencies in collaboration with 

the private sector, National laboratories, universities, and international partners. 

OSTP organizes interagency cooperation, with outreach to academia and industry, 

through the National Science and Technology Council (NSTC). Dr. Holdren has expressed his intention to revitalize the NSTC, including a greater focus on developing 

and commercializing technologies to address our dependence on oil and to reduce 

greenhouse gas emissions. 

Another priority for OSTP is to educate the next generation of scientists and engineers. Increased investment in science, technology, engineering and mathematics 

(STEM) education at all levels is critical for building the workforce that will lead 

the way to a green energy economy. 

RESPONSE TO WRITTEN QUESTIONS SUBMITTED BY HON. MARK BEGICH TO

SHERBURNE B. ABBOTT

Question 1. Are you aware of the work being done to create sustainable northern 

communities at the Cold Climate Housing Research Center (CCHRC)? How can the 

research at the CCHRC be applied to address the energy and sustainability challenges facing our country? 

Answer. The applied research of the CCHRC in developing, advancing and promoting the efficient, safe, durable, and sustainable shelter for circumpolar people is 

an excellent example of how technology and the natural and social sciences need to 

come together to respond to societal needs for clean energy and concerns about sustainable development. The CCHRC and its partnership with the Arctic University 

of the University of Alaska, provides a model for promoting the integration of community needs and stakeholders with the research and development on sustainability 

issues. 

Question 2. In what capacity will cold climate research and arctic policy play a 

role in the Office of Science and Technology Policy? What deficiencies exist in the 

current field of knowledge on these subjects? 

Answer. The Arctic Research and Policy Act of 1984 provides for a comprehensive 

national policy dealing with national research needs and objectives in the Arctic, for 

a National Critical Materials Council, for development of a continuing and comprehensive national materials policy, for programs necessary to carry out that policy, including Federal programs of advanced materials research and technology, and 

for innovation in basic materials industries, and for other purposes. Cold climate research is an integral part of this R&D effort and OSTP plays a role in facilitating 

coordination among the agencies involved in arctic research. 

OSTP is also involved in the interagency coordination of climate research and efforts to use observations and models to understand and quantify the rate and magnitude of the contributions of ice on land (Greenland and Antarctica) to sea-level 

127 

rise, what controls the rate of ice loss from Greenland and Antarctica, and other 

highly uncertain issues, such as carbon feedbacks at high latitudes and the likelihood of large releases of carbon from the heating of northern soils. 

In her remarks to the recent (April 6) meeting of the Arctic Council, Secretary 

of State Clinton noted her strong intent to work with the Council to continue the 

international cooperation in research that was fostered during the recent International Polar Year. She noted that much remains to be learned about the cold regions. OSTP will assist in developing a coordinated inter-agency response to addressing the research needs, including deficiencies in current programs, related to 

strong U.S. participation in Arctic research related to the U.S. interests in the 

Council. 

RESPONSE TO WRITTEN QUESTION SUBMITTED BY HON. JOHN THUNE TO

SHERBURNE B. ABBOTT

Question. Ms. Abbott, Do you believe investment in research of ‘‘high Energy 

Physics’’ should play a role in the Administration’s scientific agenda? Do you believe 

a deep underground science laboratory would benefit our knowledge of physics, geosciences, engineering and biology? 

Answer. President Obama has expressed his strong belief that the pursuit of basic 

scientific research is essential to expand human knowledge, and demonstrated his 

commitment to research through his interest in doubling the Federal R&D effort 

and through $21 billion in R&D investments in the Recovery Act. High energy physics research is key to expanding the frontiers. It describes the fundamental particles 

and interactions that govern the natural world. It tries to explain how the universe 

was formed, how it evolves, and how it functions at the most basic level. These are 

the kinds of questions that inspire the next generation. 

The High Energy Physics community has recently recommended a long-range 

strategic plan that includes increased investments in the ‘‘Intensity Frontier.’’ A 

core component of that plan is a neutrino program with a large and sensitive detector in a deep underground laboratory. OSTP supports this program, and sees in it 

great discovery potential. The Deep Underground Science and Engineering Laboratory (DUSEL) is currently planned to support this experiment. The DUSEL facility 

could also enable a wider range of research areas including Geoscience, engineering, 

and microbiology, all of which would benefit from the unique underground conditions. 

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