[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 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 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. [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 of 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 you 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 10 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 another 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, employees, 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 designated 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 and Biographical and Financial Information and that the information provided therein is, to the best of my knowledge, current, accurate, and complete. This 10th day of November, 1987. FRANK C. CARLUCCI. STATEMENT OF FRANK C. CARLUCCI, ASSISTANT TO THE PRESIDENT FOR NATIONAL SECURITY AFFAIRS, AND NOMINEE TO BE SECRETARY OF DEFENSE Mr. CARLUCCI. Thank you very much, Mr. Chairman and Mr. Warner, for your kind and challenging remarks. And it is a pleasure to be back before this committee. I am deeply honored to have been nominated by the President to succeed Cap Weinberger as our Nation's 16th Secretary of Defense. As the President noted last week, the country owes a great debt to Secretary Weinberger for his contributions to our national security over the past 7 years. He has played a central role with the President and the Congress in rebuilding our defense capabilities, restoring pride in the Armed Forces, and in strengthening the respect for U.S. policies abroad. Though some occasionally complained about his tough-minded and persistent approach, those of us who have worked closely with Cap know that this is only a reflection of his steadiness of purpose and strong character, his loyalty to the President, and his abiding commitment to important principles. These are the qualities that have made him such an effective member of the President's cabinet. In the coming months, as you have indicated, Mr. Chairman, the Department of Defense will face many difficult issues. Continuing nuclear and conventional force modernization, while moving forward toward potential arms reduction agreements with the Soviet Union; sustaining our momentum in improvement of the defense acquisition process; ongoing implementation of the DOD Reorganization Act; the protection of our vital national interests in the Persian Gulf; charting the future course of the President's Strategic Defense Initiative; and developing and fielding weapons systems that will be responsive to dynamic and ever-more-capable threats. A common thread running through many of these issues, as you pointed out, Mr. Chairman, is the challenge of reconciling the Department's outyear budget plans with domestic, economic, and fiscal considerations. In this area, the Department has been focusing on future levels of spending, consistent with our defense requirements, but much higher than Congress seems likely to approve. Some in Congress, on the other hand, have focused more on what they think the country can afford. These are both legitimate points of view, and we must work together toward bridging this gap. Of course, there are many other issues that will have to be addressed. Some policy issues I am familiar with. Other programmatic issues I have not considered since I left the Department in December, 1982. In these specific programmatic and management areas, I look forward to coming back up to speed and discussing them with the committee in more depth early next year. These caveats aside, let me say that during the past several months I have had the opportunity to work with many members on both sides of the aisle, solving problems and resolving issues of great importance to the President and the Nation. This recent experience, as well as my 27 years in government, tells me that virtually all of the challenges ahead will be successfully met if we can focus on the common objective of doing what is best for the country. The key, of course, is for the executive branch and the Congress to work closely together, as you have stated. My style in the past has been to work closely with the Congress, and I intend to continue in that style in the future. We may differ, but you will never find me unwilling to state where I stand, nor unwilling to work toward constructive solutions. I have served in many exciting and demanding posts over my career in government. None of course will be more challenging than the one that I will soon undertake, if confirmed. Yet I am optimistic, secure in the knowledge that I will have the benefit of your counsel, the assistance of capable DOD civilians, and above all the support of our men and women in uniform-the finest and most dedicated public servants in government. I bring no agenda other than the President's: to provide efficiently and effectively for today's defense needs, and to build the bipartisan consensus necessary to provide for our Nation's future security. It will be hard work, Mr. Chairman; but well worth the effort. One final comment, Mr. Chairman. As the committee is aware, the President's national security advisor traditionally does not testify before the Congress. I therefore ask that the record reflect that I am before you today as the President's nominee to be Secretary of Defense, and I am happy to address any questions you may have for me in that capacity. Thank you, Mr. Chairman. [The prepared statement of Frank Carlucci follows:] PREPARED STATEMENT OF FRANK C. CARLUCCI Good afternoon, Mr. Chairman. I am deeply honored to have been nominated by the President to succeed Cap Weinberger as our Nation's sixteenth Secretary of Defense. As the President noted last week, the country owes a great debt to Secretary Weinberger for his contributions to our national security over the past 7 years. He has played a central role with the President and the Congress in rebuilding our defense capabilities, restoring pride in our armed forces, and in strengthening the respect for U.S. policies abroad. Though some occasionally complained about his tough-minded and persistent approach, those of us who have worked closely with Cap Weinberger know that this is only a reflection of his steadiness of purpose and strong character, his loyalty to the President, and an abiding commitment to important principles. These are the qualities that made him such an effective member of the President's cabinet. In the coming months the Department of Defense will face many difficult issues: continuing nuclear and conventional force modernization, while moving forward towards potential arms reduction agreements with the Soviet Union; sustaining our momentum in improvement of the Defense Acquisition Process; ongoing implementation of the DOD Reorganization Act; the protection of our vital national interests in the Persian Gulf; charting the future course of the President's Strategic Defense Initiative; and developing and fielding weapon systems that will be responsive to dynamic and ever more capable threats. A common thread running through many of these issues is the distinct challenge of reconciling the Department's outyear budget plans with domestic economic and fiscal considerations. In this area, the Department has been focusing on future levels of spending consistent with our defense requirements, but much higher than Congress seems inclined to approve. Some in Congress, on the other hand, have focused more on what they think the country can afford. These are both legitimate points of view, and we must work together toward bridging this gap. Of course, there are many other issues that will have to be addressed: Some policy issues I am familiar with; other programmatic issues I have not considered since I left the Department in December 1982. In these specific programmatic and management areas, I look forward to coming back up-to-speed and discussing them with the committee in more depth early next year. These caveats aside, let me say that during the past several months I have had the opportunity to work with many members on both sides of the aisle, solving problems and resolving issues of great importance to the President and the Nation. This recent experience, as well as my 27 years in government, tells me that virtually all of the challenges ahead will be successfully met if we can focus on the common objective of doing what's best for the country. The key, of course, is for the executive branch and Congress to work closely together. My style in the past has been to function in close collaboration with the Congress. That will continue to be my style in the future. We may differ, but you will never find me unwilling to state where I stand nor unwilling to work toward constructive solutions. I have served in many exciting and demanding positions in government, including my most recent post at the White House, but none will be as challenging as the one I will undertake if confirmed. Yet, I am optimistic; secure in the knowledge that I will have the benefit of your counsel, the assistance of capable DOD civilians and, above all, the support of our men and women in uniform-the finest and most dedicated public servants in government. I bring no agenda other than the President's: to provide efficiently and effectively for today's defense needs, and to build the bipartisan consensus necessary to provide for our Nation's future security. It will be hard work, Mr. Chairman; but well worth the effort. Chairman NUNN. Thank you very much. I know Senator Cohen has got an Intelligence Committee hearing, and I am supposed to be there as a member myself, but will not be able to attend. But I know, Senator Cohen, you may have a question or two you would like to ask. And I will defer to you. Senator COHEN. Thank you very much, Mr. Chairman. Mr. Carlucci, I want to welcome you here. I have had the pleasure of working with you in the past. I know that Senator Quayle, for example, has had a very sincere and dedicated interest in the field of procurement reform. Some of us may have forgotten that there is something called the Carlucci proposal, a few years ago, the Carlucci reforms. And we, I think, appreciate all of the efforts you put into that. |