Navy Unit Commendation. Republic of Vietnam Cross of Gallantry (Bronze Star). U.S. Navy Pistol Expert Medal. 2. I was elected a Fellow in the International Society of Barristers on March 11, 1982. The requirements for Fellowship include among others, the following qualifications: (1) "Such advocate shall, by virtue of his resourcefulness, courage, and other professional and personal qualities, have distinguished himself as outstanding in the field of advocacy, rather than demonstrating mere competence or average skill as an advocate"; (2) "[The advocate] must possess an 'av' rating in Martindale-Hubbell Law Directory"; and (3) "Such advocate shall possess excellent character and integrity of the highest order." The express purposes of the Society are "to honor the greatest advocates of this era in our legal profession, . . . to bring about a recognition by the Bar and by the public of advocacy as a distinct specialty, with the creation of proper standards as a condition precedent to the granting of recognition to one purporting to possess special skills in such specialty," etc. 3. Who's Who in American Law. 4. Who's Who in Colorado, 1976. 5. Selected as an Outstanding Young Man of America for 1977 (U.S. Jaycees). 15. Published writings. List the titles, publishers, and dates of books, articles, reports or other published materials which you have written. 1. Author: "Recent Developments Affecting Securities Litigation in Colorado,” The Colorado Lawyer (the monthly journal of the Colorado Bar Association), July 1984. 2. Author: "Mighty Anachronism: The Brief But Pyrotechnic Life of IFS Division 93," Shipmate (the monthly magazine of the U.S. Naval Academy Alumni Association), November, 1983 (a copy is attached hereto). 3. Author: "Litigation and the Cash Tender Offer," The Colorado Lawyer, November, 1981. 4. Author: "Criminal Trespass on Military Reservations: Recent Developments in the Law of Entry and Re-Entry," JAG Journal (the semi-annual professional journal of the Office of the Judge Advocate General of the Navy, now entitled The Navy Law Review), Spring, 1975. 16. Speeches: Provide the committee with two copies of any formal speeches you have delivered during the last 5 years which you have copies of and are on topics relevant to the position for which you have been nominated. I have spoken several times over the years to various civic groups (e.g. Lions Club, Rotary Club, etc.) on general foreign and defense policy issues. I have also spoken to such groups on the federal (and Colorado) judicial systems. Formal copies of my remarks were not made and I do not recall any media reports about the talks. Usually, the talks were informational in nature and did not advocate particular positions. 17. Selection: (a) Do you know why you were chosen for this nomination by the President? I do not know with certainty. I assume and hope that I was chosen as the best qualified person interested in serving in this position. (b) What do you believe in your background or employment experience affirmatively qualifies you for this particular appointment? I am a graduate of the U.S. Naval Academy and I have received graduate degrees in both Government and Law. My military experience includes over 6 years of active duty as a Line Officer and almost 18 years of service as a drilling Reservist. I am a combat veteran of Vietnam and I have commanded two Reserve Units. My active duty for training as a Reservist has included joint duty assignments at the National Defense University and Lowry A.F.B. For two and one-half years I served as an instructor in a Reserve Officers Training Corps Unit. In my fifteen years of professional law practice I have developed good analytical skills and I believe that I have good judgment. I have great interest in, and I am informed about, the national security policies of the United States. 18. Commitment to testify before Senate committees: Do you agree, if confirmed, to respond to requests to appear and testify before any duly constituted committee of the Senate? Yes. COMMITTEE ON ARMED SERVICES FORM FINANCIAL AND OTHER INFORMATION REQUESTED OF NOMINEES INSTRUCTIONS TO THE NOMINEE: Information furnished in Parts B through F will be retained in the committee's executive files and will not be made available to the public unless specifically directed by the committee. NAME: Stephen M. Duncan. PART B-FUTURE EMPLOYMENT RELATIONSHIPS 1. Will you sever all business connections with your present employers, business firms, business associations or business organizations if you are confirmed by the Senate? [Note: Nominee responded and the information is contained in the committee's executive files.] 2. Do you have any plans, commitments or agreements to pursue outside employment, with or without compensation, during your service with the government? If so, explain. [Note: Nominee responded and the information is contained in the committee's executive files.] 3. Do you have any plans, commitments or agreements after completing government service to resume employment, affiliation or practice with your previous employer, business firm, association or organization? [Note: Nominee responded and the information is contained in the committee's executive files.] 4. Has anybody made a commitment to employ your services in any capacity after you leave government service? [Note: Nominee responded and the information is contained in the committee's executive files.] 5. Is your spouse employed and, if so, where? [Note: Nominee responded and the information is contained in the committee's executive files.] 6. If confirmed, do you expect to serve out your full term or until the next Presidential election, whichever is applicable? [Note: Nominee responded and the information is contained in the committee's executive files.] PART C-POTENTIAL CONFLICTS OF INTEREST 1. Describe all financial arrangements, deferred compensation agreements, and other continuing dealings with business associates, clients or customers. [Note: Nominee responded and the information is contained in the committee's executive files.] 2. Indicate any investments, obligations, liabilities, or other relationships which could involve potential conflicts of interest in the position to which you have been nominated. [Note: Nominee responded and the information is contained in the committee's executive files.] 3. Describe any business relationship, dealing or financial transaction which you have had during the last 10 years, whether for yourself, on behalf of a client, or acting as an agent, that could in any way constitute or result in a possible conflict of interest in the position to which you have been nominated. [Note: Nominee responded and the information is contained in the committee's executive files.] 4. Describe any activity during the past 10 years in which you have engaged for the purpose of directly or indirectly influencing the passage, defeat or modification of any legislation or affecting the administration and execution of law or public policy. [Note: Nominee responded and the information is contained in the committee's executive files.] 5. Explain how you will resolve any potential conflict of interest, including any that may be disclosed by your responses to the above items. (Please provide a copy of any trust or other agreements.) [Note: Nominee responded and the information is contained in the committee's executive files.] 6. Do you agree to provide to the committee any written opinions provided by the General Counsel of the agency to which you are nominated and by the Attorney General's office concerning potential conflicts of interest or any legal impediments to your serving in this position? [Note: Nominee responded and the information is contained in the committee's executive files.] PART D-LEGAL MATTERS 1. Have you ever been disciplined or cited for a breach of ethics for unprofessional conduct by, or been the subject of a complaint to any court, administrative agency, professional association, disciplinary committee, or other professional group? If so, provide details. [Note: Nominee responded and the information is contained in the committee's executive files.] 2. Have you ever been investigated, arrested, charged or held by any Federal, State, or other law enforcement authority for violation of any Federal, State, county or municipal law, regulation or ordinance, other than a minor traffic offense? If so, provide details. [Note: Nominee responded and the information is contained in the committee's executive files.] 3. Have you or any business of which you are or were an officer ever been involved as a party in interest in any administrative agency proceeding or civil litigation? If so, provide details. [Note: Nominee responded and the information is contained in the committee's executive files.] 4. Have you ever been convicted (including a plea of guilty or nolo contendere) of any criminal violation other than a minor traffic offense? [Note: Nominee responded and the information is contained in the committee's executive files.] 5. Please advise the committee of any additional information, favorable or unfavorable, which you feel should be considered in connection with your nomination. [Note: Nominee responded and the information is contained in the committee's executive files.] PART E-FOREIGN AFFILIATIONS 1. Have you or your spouse ever represented in any capacity (e.g., employee, attorney, business, or political adviser or consultant), with or without compensation, a foreign government or an entity controlled by a foreign government? If so, please fully describe such relationship. [Note: Nominee responded and the information is contained in the committee's executive files.] 2. If you or your spouse has ever been formally associated with a law, accounting, public relations firm or other service organization, have any of your or your spouse's associates represented, in any capacity, with or without compensation, a foreign government or an entity controlled by a foreign government? If so, please fully describe such relationship. [Note: Nominee responded and the information is contained in the committee's executive files.] 3. During the past ten years have you or your spouse received any compensation from, or been involved in any financial or business transactions with, a foreign government or an entity controlled by a foreign government? If so, please furnish details. [Note: Nominee responded and the information is contained in the committee's executive files.] 4. Have you or your spouse ever registered under the foreign Agents Registration Act? If so, please furnish details. [Note: Nominee responded and the information is contained in the committee's executive files.] PART F-FINANCIAL DATA All information requested under this heading must be provided for yourself, your spouse, and your dependents. 1. Describe the terms of any beneficial trust or blind trust of which you, your spouse, or your dependents may be a beneficiary. In the case of a blind trust, provide the name of the trustee(s) and a copy of the trust agreement. [Note: Nominee responded and the information is contained in the committee's executive files.] 2. Provide a description of any fiduciary responsibility or power of attorney which you hold for or on behalf of any other person. [Note: Nominee responded and the information is contained in the committee's executive files.] 3. List sources, amounts and dates of all anticipated receipts from deferred income arrangements, stock options, executory contracts and other future benefits which you expect to derive from current or previous business relationships, professional services and firm memberships, employers, clients and customers. [Note: Nominee responded and the information is contained in the committee's executive files.] 4. Have you filed a Federal income tax return for each of the past 10 years? If not, please explain. [Note: Nominee responded and the information is contained in the committee's executive files.] 5. Have your taxes always been paid on time? [Note: Nominee responded and the information is contained in the committee's executive files.] 6. Were all your taxes, Federal, State, and local, current (filed and paid) as of the date of your nomination? [Note: Nominee responded and the information is contained in the committee's executive files.] 7. Has the Internal Revenue Service ever audited your Federal tax return? If so, what resulted from the audit? [Note: Nominee responded and the information is contained in the committee's executive files.] 8. Have any tax liens, either Federal, State, or local, been filed against you or against any real property or personal property which you own either individually, jointly, or in partnership? [Note: Nominee responded and the information is contained in the committee's executive files.] (The committee may require that copies of your Federal income tax returns be provided to the committee. These documents will be made available only to Senators and the staff designed by the chairman. They will not be available for public inspection.) SIGNATURE AND DATE I hereby state that I have read and signed the foregoing Statement on Biographical and Financial Information and that the information provided therein is, to the best of my knowledge, current, accurate, and complete. This eighth day of September, 1987. STEPHEN M. DUNCAN. Senator GLENN. I want to note that in reviewing your biographical sketch and other material that you have provided the committee, I believe you are professionally very well qualified for the position to which you are nominated, and I expect to support your confirmation. You follow in the path of the Secretary of the Navy, Jim Webb, who previously held your position as the first Assistant Secretary of Defense for Reserve Affairs. I think Jim set a very ambitious and purposeful direction for the Office, and I look forward to working with you and continuing the oversight this committee has over the many Reserve forces issues that have a very important effect on the combat readiness of our total force. I have a number of questions that I want to go through with you. But before we go through them, I would like to ask any members of the committee who are present if they have any opening comments they would like to make. Senator Thurmond, do you have any comments? Senator THURMOND. Thank you, Mr. Chairman. Mr. Chairman, I think Mr. Duncan has a very fine record. I think he is especially well qualified to fill this position and I will be glad to support him. Senator GLENN. Thank you very much. Senator Exon. Senator EXON. I have no opening statement. But I will have some questions and a brief discussion with Mr. Duncan after he has finished his statement, Mr. Chairman. Senator GLENN. Fine. Thank you. Mr. Duncan, we would welcome any statement that you may have, either in its entirety or abridged, whatever your choice is. In either event, your entire statement will be included in the record. STATEMENT OF STEPHEN M. DUNCAN, TO BE ASSISTANT Mr. DUNCAN. Thank you very much, Senator. I hope I do not sound too conventional when I say with all sincerity this morning that I am honored and humbled to appear before this committee as the President's nominee to serve as Assistant Secretary of Defense for Reserve Affairs. Having served with both the Active Forces and the Reserve Forces since I took the oath of office as a Midshipman at Annapolis in the summer of 1959, I recognize fully the responsibilities that I have been asked to assume. I also understand the critically important position that the Guard and the Reserve occupy today in our national security policies and warfighting capability, and the very strong support which this committee has given to the Guard and Reserve. When my predecessor appeared before the committee for his confirmation in April 1984, the Office of Assistant Secretary for Reserve Affairs had, of course, just been created. Concern was expressed at that time by some members of the committee that the Guard and the Reserve simply did not have an effective voice at major policymaking levels within the Department of Defense. My predecessor achieved that goal, and the Assistant Secretary for Reserve Affairs has been serving as an active member, as you know, of both the Defense Resources Board and many other senior policy groups within the Department. As I see it, the first phase of development of the Office is over. Issues involving the Guard and the Reserve have been raised to new levels of attention in policy debates. During the course of the last 3 years, problems in the Guard and Reserve have been identi |