[Senate Hearing 114-229]
[From the U.S. Government Publishing Office]
S. Hrg. 114-229
NOMINATIONS OF ANNE ELIZABETH WALL,
BRODI L. FONTENOT, AND RAFAEL J. LOPEZ
=======================================================================
HEARING
before the
COMMITTEE ON FINANCE
UNITED STATES SENATE
ONE HUNDRED FOURTEENTH CONGRESS
FIRST SESSION
on the
NOMINATIONS OF
ANNE ELIZABETH WALL, TO BE DEPUTY UNDER SECRETARY, DEPARTMENT OF THE
TREASURY; BRODI L. FONTENOT, TO BE CHIEF FINANCIAL OFFICER, DEPARTMENT
OF THE TREASURY; AND RAFAEL J. LOPEZ, TO BE COMMISSIONER,
ADMINISTRATION ON CHILDREN, YOUTH, AND FAMILIES, DEPARTMENT OF HEALTH
AND HUMAN SERVICES
__________
APRIL 23, 2015
__________
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Printed for the use of the Committee on Finance
______
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COMMITTEE ON FINANCE
ORRIN G. HATCH, Utah, Chairman
CHUCK GRASSLEY, Iowa RON WYDEN, Oregon
MIKE CRAPO, Idaho CHARLES E. SCHUMER, New York
PAT ROBERTS, Kansas DEBBIE STABENOW, Michigan
MICHAEL B. ENZI, Wyoming MARIA CANTWELL, Washington
JOHN CORNYN, Texas BILL NELSON, Florida
JOHN THUNE, South Dakota ROBERT MENENDEZ, New Jersey
RICHARD BURR, North Carolina THOMAS R. CARPER, Delaware
JOHNNY ISAKSON, Georgia BENJAMIN L. CARDIN, Maryland
ROB PORTMAN, Ohio SHERROD BROWN, Ohio
PATRICK J. TOOMEY, Pennsylvania MICHAEL F. BENNET, Colorado
DANIEL COATS, Indiana ROBERT P. CASEY, Jr., Pennsylvania
DEAN HELLER, Nevada MARK R. WARNER, Virginia
TIM SCOTT, South Carolina
Chris Campbell, Staff Director
Joshua Sheinkman, Democratic Staff Director
(ii)
C O N T E N T S
__________
OPENING STATEMENTS
Page
Hatch, Hon. Orrin G., a U.S. Senator from Utah, chairman,
Committee on Finance........................................... 1
Wyden, Hon. Ron, a U.S. Senator from Oregon...................... 3
ADMINISTRATION NOMINEES
Wall, Anne Elizabeth, nominated to be Deputy Under Secretary,
Department of the Treasury, Washington, DC..................... 6
Fontenot, Brodi L., nominated to be Chief Financial Officer,
Department of the Treasury, Washington, DC..................... 7
Lopez, Rafael J., nominated to be Commissioner, Administration on
Children, Youth, and Families, Department of Health and Human
Services, Washington, DC....................................... 8
ALPHABETICAL LISTING AND APPENDIX MATERIAL
Fontenot, Brodi L.:
Testimony.................................................... 7
Prepared statement........................................... 15
Biographical information..................................... 16
Hatch, Hon. Orrin G.:
Opening statement............................................ 1
Prepared statement........................................... 20
Lopez, Rafael J.:
Testimony.................................................... 8
Prepared statement........................................... 21
Biographical information..................................... 23
Responses to questions from committee members................ 31
Wall, Anne Elizabeth:
Testimony.................................................... 6
Prepared statement........................................... 36
Biographical information..................................... 37
Response to a question from Senator Cantwell................. 41
Wyden, Hon. Ron:
Opening statement............................................ 3
(iii)
NOMINATIONS OF ANNE ELIZABETH WALL, TO BE DEPUTY UNDER SECRETARY,
DEPARTMENT OF THE TREASURY; BRODI L. FONTENOT, TO BE CHIEF FINANCIAL
OFFICER, DEPARTMENT OF THE TREASURY; AND RAFAEL J. LOPEZ, TO BE
COMMISSIONER, ADMINISTRATION ON CHILDREN, YOUTH, AND FAMILIES,
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
----------
THURSDAY, APRIL 23, 2015
U.S. Senate,
Committee on Finance,
Washington, DC.
The hearing was convened, pursuant to notice, at 2:20 p.m.,
in room SD-215, Dirksen Senate Office Building, Hon. Orrin G.
Hatch (chairman of the committee) presiding.
Present: Senators Crapo, Wyden, Cantwell, and Brown.
Also present: Republican Staff: Chris Campbell, Staff
Director; Mark Prater, Deputy Staff Director and Chief Tax
Counsel; Becky Shipp, Health Policy Advisor; and Nicholas
Wyatt, Tax and Nominations Professional Staff Member.
Democratic Staff: Laura Berntsen, Senior Advisor for Health and
Human Services; and Anderson Heiman, International
Competitiveness and Innovation Advisor.
OPENING STATEMENT OF HON. ORRIN G. HATCH, A U.S. SENATOR FROM
UTAH, CHAIRMAN, COMMITTEE ON FINANCE
The Chairman. The committee will come to order.
The committee is considering three nominations for posts at
the Treasury Department and Department of Health and Human
Services. I apologize for being late; we had a very important
vote over in the Senate.
These positions are important, and I will discuss them
specifically in a few minutes. But since this is our first
nomination hearing in the 114th Congress, I want to reiterate
some information on how this committee processes nominations.
In this new Congress, the Finance Committee will continue
to use the same basic procedures for processing nominations
that we have followed in the past, a process that, except in
very rare circumstances, has always been bipartisan. I intend
to see that it continues that way.
Let me say that I believe the President is entitled to have
the people he wants working in this administration, so long as
there are no ethical or significant issues in their background.
And, by the way, that is why I am late, because I very strongly
supported the President's nominee for Attorney General of the
United States, who did pass 56 to 43.
While I respect the President's right to nominate people of
his choosing, the President also needs to respect the
constitutional advice and consent role of the U.S. Senate. It
is a very, very important part of our role up here, as well as
this committee's part in that overall process.
On that issue, I want to highlight some guidelines that
then-Majority Leader Reid put into the Congressional Record on
January 20, 2009. The document that he asked to be printed in
the Record was titled, ``Employment Guidelines for Potential
Presidential Appointments in Some Cabinet Positions.''
Now, I am not going to go through the full document here,
but it concerns the common practice of presidential nominees
being brought on as advisors or counselors in agencies where
they have been nominated to serve while their nominations are
being processed.
I refer to these guidelines because I want to make it clear
that, while a nominee may do certain activities in these
advisory positions, they may not take on responsibilities
related to policymaking or representing the administration. I
expect all nominees, and particularly those being processed
through this committee, to respect these boundaries and respect
the constitutional role of the Senate and this committee.
By most accounts, I am a pretty reasonable guy. I do not
think we have mistreated any of the nominees who have come
through the Finance Committee or subjected them to any
unnecessary delays. And like I said, while our procedures for
moving nominations through the committee may be rigorous, they
are bipartisan, and I believe them to be fair. So, I hope the
administration will acknowledge that and work within the proper
guidelines going forward.
With that out of the way, I want to thank the three
nominees for appearing here today. First, we will hear from
Anne Elizabeth Wall, who, if confirmed, will serve as Assistant
Secretary for Legislative Affairs at the Treasury Department.
The person in this position will deal with this committee on a
regular basis and has the important job of facilitating
communication between the Treasury Department and Congress.
On that topic, I would like to say up front that it is very
important to me that requests for information submitted to the
Treasury Department, whether they come from me or from any
other members, are responded to in a fulsome and timely manner.
Too often, the responses we receive from the Treasury are
not all that informative, and that is if we receive responses
at all. For example, Secretary Lew testified on the President's
budget request on February 5th, more than 2 months ago, and the
committee still has not received answers to questions we
submitted to the Secretary in writing. The same is true for IRS
Commissioner Koskinen, who testified on February 3rd.
My hope, Ms. Wall--and we will talk about this more today--
is that you will commit to improving the lines of communication
between Treasury and this committee.
Next, we will hear from Brodi L. Fontenot. That is a pretty
fancy name, I will tell you. [Laughter.]
He has been nominated to be Chief Financial Officer of the
Treasury Department. This is an especially important position
in an environment of scarce resources and short-term continuing
resolutions. Mr. Fontenot brings a wealth of experience,
including time at the Department of Transportation, with
managing a large Federal workforce and balancing multiple
critical priorities.
The committee will also hear from Rafael J. Lopez, nominee
for Commissioner on Children, Youth, and Families in the
Department of Health and Human Services. Now, this is a
critical position, as I view it, that oversees programs dealing
with the most vulnerable among us. The Senate Finance Committee
has been extremely productive in crafting bipartisan, bicameral
legislation aimed at improving outcomes for vulnerable children
and families.
In my time as a senior Republican on this committee, we
have produced two major bills that were enacted into law,
making improvements to foster care and adoption assistance.
When Senator Grassley was chairman and ranking member, the
committee reported several bipartisan bills as well that made
improvements to child welfare.
I am committed to continuing this bipartisan effort to
improve the lives of vulnerable children, youth, and families.
I hope that, if confirmed, Mr. Lopez, you will be an active and
engaged partner in these endeavors. I am serious about that,
and I hope that we can really work together in the best
interests of our young people and children in this society.
I want to thank you all for being here today and for your
willingness to serve.
I am very grateful to have Ron Wyden as my counterpart here
on the Finance Committee, and we will turn to him at this time.
[The prepared statement of Chairman Hatch appears in the
appendix.]
OPENING STATEMENT OF HON. RON WYDEN,
A U.S. SENATOR FROM OREGON
Senator Wyden. Thank you, Mr. Chairman. It feels like we
have not been away from the committee for much longer than
about 15 minutes, given the fact that we were here well into
the evening. I want to commend you again for that bipartisan
mark-up.
The Chairman. Likewise, you.
Senator Wyden. Thank you.
Senator Cantwell. Senator Wyden, I want to commend you as
well. I wonder why Treasury would send anyone here today after
Mr. Daws had to sit here last night and answer all our
questions. [Laughter.]
Sorry to interrupt, but last night got cut off short, and I
did want to thank both of you and the staff for your tremendous
leadership on getting that legislation out. We did not have the
normal closing process, so a lot of us did not have a chance to
give accolades on the hard work and perseverance. So I just
want to say ``thank you very much'' to both of you.
The Chairman. Thank you.
Senator Wyden. Well, thank you, Senator Cantwell. Everyone
on this committee understands that nobody knows more about what
it is going to take to strengthen America's place in the global
economy than Senator Cantwell, and I thank you for those very,
very kind words.
Let me also say, while we are on the subject of bouquets:
Chairman Hatch, thank you for the excellent work on Loretta
Lynch. There is no question that there were votes that she won
today because of your leadership, and I just want to thank you
for that as well.
The Chairman. Thank you. Thank you so much.
Senator Wyden. This afternoon, the Finance Committee is
going to consider three nominees for key posts in the
administration: Anne Wall, Brodi Fontenot, and Rafael Lopez.
All of them, in my view, are at the top of their class and top
of their fields, and they are going to be needed to help the
administration take on a range of pressing issues.
The first is Anne Wall. She is nominated to be Deputy Under
Secretary for Legislative Affairs at the Treasury Department.
She is going to play a critical role in ensuring that the
Congress and the Treasury are able to communicate and work
together effectively on an array of issues. I want it
understood at the outset, and I probably have to leave here
fairly shortly, I think Anne Wall is going to do a first-rate
job there.
She is clearly ideally suited for the position, having
served in a number of roles with our colleague Senator Durbin
and as a congressional liaison for the White House. She knows
her way around both ends of Pennsylvania Avenue and how to help
find common ground.
Next is Brodi Fontenot, nominated to be the Chief Financial
Officer for the Treasury Department. As CFO, he is going to
manage the Department to ensure that it maximizes its
efficiency in several areas, and that is a tall order for a
department of 100,000 men and women. He has already
demonstrated that he is up to the task in a similar role at the
Department of Transportation, where he is currently the
Assistant Secretary.
Prior to joining the Department of Transportation, he
served on the Senate Budget Committee and at the Government
Accountability Office. Our former colleague, Senator Conrad,
has very high praise for the nominee's work. If you are getting
Kent Conrad around here to sing your praises, you are, so to
speak, running with the right crowd, and we commend you for it.
The Chairman. He is a good guy.
Senator Wyden. And I also want to note, Mr. Fontenot is
married to a Finance Committee Health Staff alum, Yvette
Fontenot. So we have----
The Chairman. Well, I do not know if we can allow that.
Senator Wyden. You are going to pull the brake? I retract
the statement. [Laughter.]
It is obvious the committee has a history of being fans of
the Fontenot family, and we are very pleased that you are here.
Now, in addition to the Treasury nominees, we will be
considering the nomination of Rafael Lopez. He is nominated to
be the Commissioner on Children, Youth, and Families at the
Department of Health and Human Services. He has a very
extensive background in the nonprofit and public sectors, with
a special focus on children and families.
If confirmed for this new role, Mr. Lopez would oversee a
number of critical programs to ensure that kids have the
services and protection they need for a safe and stable
childhood. Mr. Lopez has his work cut out for him, given the
ongoing implementation of a bill that Senator Hatch and I
authored that was signed into law in September, the Preventing
Sex Trafficking and Strengthening Families Act. That new law
focuses on ensuring that kids in foster care are given the same
support and ability to make permanent, positive connections as
all kids. I am very interested in working with Chairman Hatch
to follow up in that regard.
Mr. Lopez, what I was struck by as we got into this is
that, for example, if a youngster runs away or gets lost in an
affluent neighborhood, it seems like the whole neighborhood is
out en masse, literally hundreds of people in a matter of
hours, trying to find that youngster. We know that if we lose a
youngster in the foster care system, nobody is going to know,
or perhaps hardly anybody is even going to care for a long,
long time. You are charged with ending that kind of double
standard for America's youngsters, and Chairman Hatch and I are
very much committed to working with you in that regard.
So, Chairman Hatch, thank you. I look forward to our
nominees.
The Chairman. Well, thank you. Thank you, Senator. I
appreciate it.
Before each of you gives your testimony, I want to give
each of you the opportunity to introduce friends or family who
are in the audience today. Ms. Wall, let us start with you and
then work down the panel.
Ms. Wall. Thank you, Mr. Chairman. My parents, Mike and
Liz, are here with me today----
The Chairman. Welcome.
Ms. Wall [continuing]. And my DC family, the Smith family.
The Chairman. Well, that is great. We are really happy to
have you all here with us.
Mr. Fontenot?
Mr. Fontenot. Thank you, sir. My wife Yvette is here, and
my three children, Hazel, August, and Evangeline. And also my
mother-in-law is here, Dr. Shenouda.
The Chairman. That is great. Mom, you have to watch over
him, I can see that. [Laughter.]
That is just great.
Senator Wyden. They are better behaved than my children.
[Laughter.]
The Chairman. Or mine. Of course, mine are now in their
50s. [Laughter.] Almost all of them.
Mr. Lopez?
Mr. Lopez. Yes. Thank you, Senator Hatch. I have with me
today my mother, Maria Lopez, my wife, Rosa Ramirez-Lopez, and
my two sons, Adan Miguel and Mateo Gabriel. Some of our chosen
family members, Steven Shapiro and Sandy Starr, are here as
well.
The Chairman. Great. Well, we are happy to welcome all of
you to this hearing here today. We are grateful that you would
take time from your schedules to be here. Thank you.
Your prepared statements will be printed in the hearing
record, but each of you will have 5 minutes to summarize.
Ms. Wall, let us have you go ahead and give your testimony,
then we will turn to Mr. Fontenot, then finally Mr. Lopez.
STATEMENT OF ANNE ELIZABETH WALL, NOMINATED TO BE DEPUTY UNDER
SECRETARY, DEPARTMENT OF THE TREASURY, WASHINGTON, DC
Ms. Wall. Thank you, Chairman Hatch, Ranking Member Wyden,
Senator Cantwell, members of the committee. I appreciate the
opportunity to be here in the Senate and to appear before the
Senate Finance Committee. It is always nice to come back to a
place that feels like a second home, and a humbling honor to be
seated at this table before you after several years sitting
alongside the hardworking staff behind you.
I especially want to thank you and your staff for
considering my nomination. I am sincerely grateful to President
Obama for nominating me to serve as Assistant Secretary for
Legislative Affairs at the Department of the Treasury, and for
Secretary Lew for recommending me to this position.
I have had the privilege of serving as counselor to
Secretary Lew and cannot be more excited to continue to work in
this new role, if confirmed, with the talented, professional,
intelligent, and dynamic staff of the Treasury Department.
I cannot tell you how meaningful it is to have my parents,
Michael and Liz, here with me today, and I would like to
recognize my brother Jonathan, who is at home in Chicago. Mr.
Chairman, like you, he is a musician, so he had music lessons
to teach back home.
Their encouragement empowered me as I began what I thought
would be a brief adventure as a Senate staffer in DC, and
almost a decade later it is only because of that encouragement,
as well as their love and support, that I have been able to
serve in what has already been the professional experience of a
lifetime.
As my family and friends know, I try not to stray too far
from my Chicago roots and strive to live by the values my
parents instilled in me, and I am thankful they are here today.
I will also always be grateful to my home State Senator,
Dick Durbin, who, as Majority Whip, took a chance on a young
practicing lawyer who moved to Washington without a job but a
strong desire to learn how government really works. He gave me
the honor of being part of his remarkable and dedicated staff
for 5\1/2\ wonderful years.
It was in that role as part of the leadership staff that I
spent countless hours on the Senate floor. I learned firsthand
that, in the U.S. Senate, the U.S. Senate is a place where your
word is your bond. It is a place where strong friendships and
relationships can develop, even when you do not agree on
policy, politics, or process. It is also a place where a sense
of humor is as valuable as the sense of duty, and I certainly
try to keep a sense of humor working with offices on Whip
questions and conversations about Senate procedure.
I carried my Senate floor experience with me when I joined
the White House Office of Legislative Affairs, first as Special
Assistant to the President for Legislative Affairs, and later
as Deputy Assistant to the President for Legislative Affairs
and Senate Liaison. Serving President Obama and working with
his team for 3 years was one of the most special times of my
life. Contributing to the daily work of the country from the
other side of Pennsylvania Avenue was uniquely rewarding, and,
as in the Senate, it is a place where relationships matter.
In my role as the White House liaison to the Senate, I
built strong ties with both Republicans and Democrats.
Together, we kept an open line of communication between the
legislative and executive branches, a relationship that is
essential to getting things done.
If confirmed, I would look forward to ensuring that there
is an honest dialogue between the Treasury Department and the
Congress. You can count on me to be responsive and respectful,
to be candid and clear, and to do my best to accurately
represent the views of the Department of Treasury and the
administration to this committee and to Congress. And in turn
you can count on me to make sure that your views are shared and
respected at the Department of Treasury.
Thank you again for your consideration, and I look forward
to responding to your questions.
The Chairman. Thank you, Ms. Wall.
[The prepared statement of Ms. Wall appears in the
appendix.]
The Chairman. Mr. Fontenot?
STATEMENT OF BRODI L. FONTENOT, NOMINATED TO BE CHIEF FINANCIAL
OFFICER, DEPARTMENT OF THE TREASURY, WASHINGTON, DC
Mr. Fontenot. Chairman Hatch, Ranking Member Wyden,
distinguished members of the committee, I am honored to have my
nomination come before you today. I am grateful to President
Obama and Secretary Lew for asking me to serve the Department
of the Treasury.
I also want to thank your staff for meeting with me to
discuss management issues and my qualifications for this
position. I also want to acknowledge, in addition to my wife
and my family, my brother and my sister-in-law, Nigel and Becca
Fontenot, as well.
I was raised in Baton Rouge, LA and pursued my bachelor's
degree in Houston, TX. My public service began after college in
AmeriCorps, serving those affected by various disasters. After
finishing my master's in public administration at the
University of North Carolina, I came to Washington and began my
career as an analyst at the now-Government Accountability
Office.
For 5 years at GAO, I worked on a variety of issues,
reviews of government programs for different congressional
components, and learned the true value of analysis, assessment,
and accountability when it comes to public programs funded by
the American taxpayer.
I left GAO for an opportunity to work for your former
colleague, Senator Kent Conrad, on the Senate Budget Committee.
I spent the next 3 years gaining a true appreciation for the
intricacies and importance of the Federal budget process and a
reverence for this institution and the role it plays. It was a
privilege to be able to spend time on the Senate floor and
experience first-hand the deliberations of its members.
For more than 5 years now I have served President Obama,
first at the Department of Transportation as the Deputy
Assistant Secretary for Management and Budget in the Office of
the Chief Financial Officer, and as Assistant Secretary for
Administration. For the past 3 months, I have served the
Department of Treasury as the Assistant Secretary for
Management.
Throughout all these varied roles, I have learned the
significant role government can play in people's lives. I
strive to properly and efficiently manage government operations
and resources and to enhance the quality of service provided to
the American people.
As part of that effort, I introduced the concept of using
performance and management information at the highest levels of
the Department of Transportation to guide its actions. In
addition, as Senior Sustainability Officer at the Department of
Transportation, I introduced and executed strategies that
reduced the Department's petroleum usage and increased the use
of alternative fuels. In all cases, I led teams of career
senior executives and talented staff and marveled at their
ability to achieve results under the challenging courses we
set.
At the Department of the Treasury, I will continue to
engage our career leaders and ensure that they have the tools
and resources they need to successfully serve the public and to
be responsive to our many stakeholders.
I am humbled and honored to have the possibility of serving
the Nation in this new capacity, should I be confirmed. If you
and your colleagues in the Senate give me the opportunity to
serve as Chief Financial Officer, I will apply myself fully to
the best of my ability to justify your trust and confidence.
Thank you for allowing me to appear before you today, and I
would be pleased to answer your questions.
The Chairman. Well, thank you very much.
[The prepared statement of Mr. Fontenot appears in the
appendix.]
The Chairman. Mr. Lopez?
STATEMENT OF RAFAEL J. LOPEZ, NOMINATED TO BE COMMISSIONER,
ADMINISTRATION ON CHILDREN, YOUTH, AND FAMILIES, DEPARTMENT OF
HEALTH AND HUMAN SERVICES, WASHINGTON, DC
Mr. Lopez. Chairman Hatch, Ranking Member Wyden, and
honorable members of the committee, thank you for inviting me
to discuss my nomination. It is an honor to have been nominated
by President Obama and to be considered by the Senate Committee
on Finance.
This committee has done extraordinary things for the
American people, from expanding health insurance coverage to
children through the Children's Health Insurance Program, to
seeking normalcy for children in foster care. If confirmed, I
look forward to working with each of you and your staffs toward
our shared goals of protecting and empowering the Nation's most
vulnerable children, youth, and families.
I have already had the opportunity to introduce family
members present here in the chambers with us, but I would like
to take a moment to thank family and friends who are unable to
be here today and join us from afar. Their love and support
means the world to me.
Now I would like to tell you a piece of my own family's
history. My mother never finished the second grade in her rural
town near Poncitlan, Jalisco, Mexico. She left school as a
little girl to help support her family, cooking, sewing, and
cleaning in another family's home. She eventually followed her
dad to the United States as a migrant farm worker and cannery
worker, finally settling in Watsonville, CA, where I was born
and raised.
If you have ever eaten a Driscoll's strawberry or raspberry
or blackberry, it is likely that it came from Watsonville. If
you have ever sipped Martinelli's apple cider, then you have
tasted my home town. Leafy greens, vegetables, flowers, and
fruits are all grown and picked by the hands of farm workers
just like my mother's.
But my mother wanted a different life for me, my sister,
and my two brothers. Whether in the fields or in the canneries,
as a nanny, house cleaner, dishwasher, or cook, my mother
taught us the value of hard work. She taught us to sacrifice
and to believe in yourself. She is a survivor of a tough life
and our abusive father, whom she eventually left behind.
As a family, we struggled to make ends meet, even though we
all worked so hard. There were nights when things became so
violent that we would run to the homes of neighbors willing to
take us in. For years I was embarrassed and ashamed at the
thought of strangers finding out just how much our family
struggled. It took me years to realize that our family was not
alone, and that is why I share part of our family's story with
you here today.
Alcoholism, abuse, mental health, violence, and poverty are
not private matters. They are public matters that cross
geographic, class, racial, and cultural boundaries. They are
matters that require our best thinking, collective action, and
willingness to work together.
Even in our darkest hours, my mother focused our attention
on the future, and, thanks to her unconquerable spirit and work
ethic, she helped me become the first in our immediate family
to graduate from high school. I became the first in our family
to graduate from college, the first to earn a graduate degree,
the first to work for the President of the United States, and
the first to testify before the U.S. Senate Committee on
Finance.
I share all this with you to honor my mother as the true
hero that she is and to enter a piece of our history into the
public record. I tell you all this because we did not do it on
our own. Neighbors, public school teachers, librarians, social
workers, counselors, mentors, and more--they all helped.
My commitment to public service was shaped by my early
experiences and has remained rooted in the belief that every
child and every family deserves a fair opportunity to reach
their God-given potential, regardless of the life or
circumstances into which they are born. I was once a client of
programs administered by HHS, and, while no one program is
perfect, I know they change lives because they changed my
family's.
As a Senior Policy Advisor in the White House Office of
Science and Technology and the Domestic Policy Council, I
worked to improve relationships between the administration and
nonprofit and philanthropic organizations to strengthen
domestic policies and social programs. We rely on the best
available data, science, technology, and evidence-based
interventions to promote the social and emotional well-being of
children, youth, and families.
With the Annie E. Casey Foundation, a private national
philanthropy, I had the honor and opportunity to help develop a
brighter future for millions of children at risk of poor
education, economic, social, and health outcomes in the United
States, and, as President and CEO of the Family League of
Baltimore City, a nonprofit organization there, I helped launch
several programs, including the B'More for Healthy Babies
Initiative, which led to a 19-percent reduction in infant
mortality in the first year.
We worked with Maryland's Juvenile Court and negotiated the
State of Maryland contract commitment to expand a family
recovery program, where we helped families reunify with their
court-removed children by providing substance abuse treatment,
mental health services, and supportive housing. As a founding
Executive Director of First Five in Santa Cruz County, we
launched the first-ever universal health care program to serve
all children in the county.
Public service has been my life, and I have worked hard to
develop the skills, relationships, and experiences I need to be
the most able champion of children, youth, and families in
need, regardless of the challenges they face.
At every step along the way, the use of data, science, and
results has driven my strategy. I have worked to build teams
that value excellence, transparency, and accountability.
Whether engaging diverse partners to improve educational
outcomes for our Nation's foster children or using tech
solutions to hack our way to more efficient services for young
people by using smartphones, I plan to bring whatever
innovative tools and resources we can rally.
Whether helping the Nation's LGBTQ runaways and homeless
youth find loving homes who respect and accept them for who
they are, or working to ensure that families receive the
emergency shelter they deserve when fleeing from domestic
violence, I will work tirelessly to engage the partners we
need.
This month is National Child Abuse Prevention Month. The
work of raising our children and youth is the most important
job in our country, and it will take every one of us to renew
our commitment to protect the safety and well-being of our
children and youth and the families who care for them.
As a father of two boys, I can attest to the fact that it
is the single hardest and most glorious job I have ever had.
Our children, youth, and families are our greatest renewable
resources, and when we respect, honor, and invest in them, we
invest in us.
Mr. Chairman, Ranking Member Wyden, and honorable members
of the committee, thank you again for the invitation to speak
with you today. I have never shied away from hard work, and, if
confirmed, I am ready to roll up my sleeves and work with you.
American's children, youth, and families deserve nothing less.
With that, I would be pleased to answer your questions.
Thank you.
The Chairman. Well, thank you so much.
[The prepared statement of Mr. Lopez appears in the
appendix.]
The Chairman. First, I have some obligatory questions I am
going to ask all the nominees.
Is there anything that you are aware of in your background
that might present a conflict of interest with the duties of
the office to which you have been nominated? Ms. Wall?
Ms. Wall. No.
The Chairman. No. Mr. Fontenot, no?
Mr. Fontenot. No.
Mr. Lopez. No.
The Chairman. Do you know of any reason, personal or
otherwise, that would in any way prevent you from fully and
honorably discharging the responsibilities of the office to
which you have been nominated?
Ms. Wall. No.
Mr. Fontenot. No.
Mr. Lopez. No.
The Chairman. All right.
Do you agree, without reservation, to respond to any
reasonable summons to appear and testify before any duly
constituted committee of Congress, if you are confirmed?
Ms. Wall. Yes.
Mr. Fontenot. Yes.
Mr. Lopez. Yes.
The Chairman. All right.
Finally, do you commit to provide a prompt response, in
writing, to any questions addressed to you by any Senator of
this committee?
Ms. Wall. Yes.
Mr. Fontenot. Yes.
Mr. Lopez. Yes.
The Chairman. I hope you will, because you will be
exceptions to the rule. Do not take that too seriously now, but
we would like you all to be responsive to the committee. This
committee has always been run very well, but we are going to
make sure that we follow up on these things.
Ms. Wall, this is a common complaint, but it definitely
bears repeating. It is very important that this committee's
requests to the Treasury Department are responded to quickly
and fully. It seems that we only get information when there is
some sort of pressure point, such as a nomination hearing.
In February, both Secretary Lew and Commissioner Koskinen
testified before this committee on the President's fiscal year
2016 budget. Now it is more than 2 months later, and we have
not received any responses to written questions. These are
written questions sent after that hearing.
Aside from being frustrating, this lack of responsiveness
ensured we would not use this additional input from the
administration when the Senate considered a budget resolution.
Assuming you are confirmed, how are you going to change
this pattern of some sort of pressure being necessary to get
information from the Treasury Department?
Ms. Wall. Mr. Chairman, if confirmed, I want you to know
that I take very seriously the need to be responsive to this
committee, and all members of Congress, so I will do my best to
work with Department staff to try to get accurate responses as
quickly as possible.
One thing we discussed with your staff was setting up a
weekly call to check in on outstanding pending matters, which
may be a nice check to make sure we are staying on task at the
Department, and also being responsive to your requests.
The Chairman. Well, that is good. I appreciate that.
Mr. Lopez, I welcome you to the committee, and I want to
thank you for appearing before this committee.
Last year, the Congress enacted, and the President signed,
legislation to address the issue of children and youth in
foster care being sexually trafficked while in care. Now, I am
pleased that the new law incorporates a number of provisions I
introduced, entitled the IOYouth bill.
As you know, a major risk factor making children and youth
in foster care susceptible to domestic sex trafficking and
other negative outcomes is a continued reliance on group homes.
These homes are routinely targeted by traffickers and are often
warehouses for youth who are rarely, if ever, allowed to engage
in healthy age-appropriate activities and social events.
My bill would have re-focused Federal priorities by
eliminating Federal matching funds for non-family foster homes
for all children 12 years and younger. This bill would have
eliminated Federal funds for youth age 13 and older after 1
year of consecutive time spent in a non-family foster home or
18 months non-consecutive care spent in a non-family foster
home, whichever comes first.
Now, while this provision was not enacted into law last
year, I continue to have serious concerns about the over-
reliance on group homes in our foster care system. Do you share
those concerns?
Mr. Lopez. Thank you for the question, Chairman Hatch. Yes,
I absolutely share those concerns. Quite frankly, the science
and common sense tell us that children and youth should be
raised in families. Children and youth need to have the loving
attention, the relationships, and the supportive environment
that they deserve in order to live up to their full potential
and live their lives.
Congregate group settings are not always the best places
for children. They should be a rare exception. They should be a
place where, if and when a State or a local jurisdiction has to
remove a child from their home, the time that the child or
youth spends in that particular congregate care setting is very
minimal.
Unfortunately, the data does not always support that.
Bottom line: children deserve to grow up with a loving family.
Every child deserves a forever family, and congregate youth
care should be absolutely minimally used.
The Chairman. Well, thank you. I appreciate these answers,
Mr. Lopez. It means a lot to me to have somebody like you who
cares enough to be in these areas, working on these issues.
Mr. Fontenot, let me just ask you this question. A common
issue confronting the Federal workforce is the loss of
institutional knowledge as employees with critical information
retire. Now, a December 2014 Washington Post story noted that
``the share of the Federal workforce under the age of 30
dropped to 7 percent this year, the lowest figure in nearly a
decade, government figures show.''
Now, how can the Federal Government adapt to attract
qualified applicants, and how can we improve what is really a
frequent and cumbersome and confusing hiring process?
Mr. Fontenot. Thank you for your question. I was the Chief
Human Capital Officer at the Department of Transportation, and
one of the obviously critical areas there was the workforce
that works on essentially planes, trains, and automobiles.
I think one of the most effective strategies is workforce
planning, really having a plan to really understand what your
attrition rate will be, and to really hire for these specific
skill sets, but obviously, of course, planning to look out into
the future. We did undertake that in some of our mission-
critical occupation planning. I know the administration is also
doing that in several of its occupation plans.
The Chairman. Well, let me turn to--well, there is nobody
else here. [Laughter.]
I see empty chairs here. You guys are really having an easy
time here, you know. [Laughter.]
First of all, I am a pushover. The really nasty people are
not here at all. No, we do not have any nasty people on this
committee.
Let me just say that I am really pleased with your
appointments. You are really good people. I congratulate the
President and those who serve with him for nominating you
folks. It is pleasing to me that you want to work in the
Federal Government, and it would be even more pleasing if you
will really work in the Federal Government when you get these
jobs. I have no doubt that the three of you will be wonderful
employees in our Federal system.
So let me just say, I support all three of you. I did
before you even spoke, which is a bad thing to do, I know, but
I am just that way.
I want to once again thank the nominees for appearing here
today. I also want to thank Senator Wyden for the help that he
gives on this committee. He is doing a great job, and I
appreciate it.
If we have any questions for the record, they should be
submitted no later than Monday, April 27th. If you will, get
the answers back as quickly as you can. I doubt there will be
any, but if there are, get them back as quickly as you can,
because we would like to process your nominations as fast as we
can.
So with that, we are going to adjourn this hearing and let
you all go, and let your families go. I know these sometimes
seem like they are worrisome things, but not on this committee,
unless you really deserve it. [Laughter.]
We are grateful to have you all here. Thanks for appearing,
and thanks for answering the questions that I have asked.
There is nobody else here. All right. Then with that, we
will recess until further notice. Thank you.
[Whereupon, at 2:55 p.m., the hearing was concluded.]
A P P E N D I X
Additional Material Submitted for the Record
----------
Statement of Brodi L. Fontenot, Nominee for Chief Financial Officer,
Department of the Treasury
Chairman Hatch, Ranking Member Wyden, distinguished members of the
Committee, I am honored to have my nomination come before you today. I
am grateful to President Obama and Secretary Lew for asking me to serve
at the Department of the Treasury. I also want to thank your staff for
meeting with me to discuss management issues and my qualifications for
the position for which I have been nominated.
I am particularly grateful to my wife of 9 years, Yvette, and to
our children, Hazel (7), August (5) and Evangeline (3), for their
support and willingness in allowing me to continue to serve in
government with all its attendant sacrifices. Yvette, an alumnus of
this Committee's staff, continues her work of increasing access to
health care for Americans, and Hazel, August and Evangeline continue to
grow and are becoming more independent by day.
I was raised in Baton Rouge, Louisiana and pursued my bachelor's
degree in Houston, Texas. My public service began after college in
AmeriCorps serving those affected by various disasters. After finishing
my Masters in Public Administration at the University of North
Carolina, I came to Washington and began my career as an analyst at the
now Government Accountability Office. For 5 years at the GAO, I worked
on a variety of reviews of government programs for different
Congressional components and learned the true value of analysis,
assessment and accountability when it comes to public programs funded
by the American taxpayer.
I left GAO for an opportunity to work for your former colleague
Senator Kent Conrad on the Senate Budget Committee. I spent the next 3
years gaining a true appreciation of the intricacies and importance of
the federal budget process and a reverence for this institution and the
important role it plays. It was a privilege to be able to spend time on
the Senate floor and experience first-hand the deliberations of its
members.
For more than 5 years now, I have served President Obama first at
the Department of Transportation as the Deputy Assistant Secretary for
Management and Budget in the office of Chief Financial Officer and as
the Assistant Secretary for Administration. For the past 3 months, I
have served at the Department of the Treasury as the Assistant
Secretary for Management.
Throughout all of these varied roles, I have learned the
significant role government can play in people's lives. I strive to
properly and efficiently manage government operations and resources to
enhance the quality of service provided to the American people. As part
of that effort, I introduced the concept of using performance and
management information at the highest levels of the Department of
Transportation to guide actions. In addition, as Senior Sustainably
Officer at DOT, I introduced and executed strategies that reduced the
Department's petroleum usage and increased the use of alternative
fuels. In all cases, I led teams of career Senior Executives and
talented staff and marveled at their ability to achieve results under
the challenging course we set.
At the Department of the Treasury, I will look to continue to
engage our career leaders and ensure they have the tools and resources
they need to successfully serve the public and to be responsive to our
many stakeholders.
I am humbled and honored to have the possibility of serving the
nation in this new capacity should I be confirmed. If you and your
colleagues in the Senate give me the opportunity to serve as Chief
Financial Officer for the United States Department of the Treasury, I
will apply myself fully to the best of my ability to justify your trust
and confidence.
Thank you for allowing me to appear before you today. I would be
pleased to answer any questions.
______
SENATE FINANCE COMMITTEE
STATEMENT OF INFORMATION REQUESTED
OF NOMINEE
A. BIOGRAPHICAL INFORMATION
1. Name (include any former names used): Brodi Lin Fontenot
2. Position to which nominated: Chief Financial Officer, Department
of the Treasury
3. Date of nomination: February 12, 2015
4. Address (list current residence, office, and mailing addresses):
5. Date and place of birth: October 5, 1976, Baton Rouge, LA
6. Marital status (include maiden name of wife or husband's name):
7. Names and ages of children:
8. Education (list secondary and higher education institutions, dates
attended, degree received, and date degree granted):
------------------------------------------------------------------------
University Degree Awarded Dates Attended
------------------------------------------------------------------------
The University of North M.P.A. August 1999-May 2001
Carolina at Chapel Hill (degree awarded 2001)
The University of Houston B.A., History August 1994-May 1998
(Cum Laude) (degree awarded 1998)
------------------------------------------------------------------------
9. Employment record (list all jobs held since college, including the
title or description of job, name of employer, location of work, and
dates of employment):
------------------------------------------------------------------------
Employer Location Title Employment Dates
------------------------------------------------------------------------
U.S. Department 1500 Assistant January 2015-
of the Treasury Pennsylvania Secretary for Present
Ave., NW, PManagement
Washington, DC
------------------------------------------------------------------------
U.S. Department 1200 New Jersey Assistant July 2012-January
of Ave, NW, Secretary for 2015
PTransportation Washington, DC PAdministration
Deputy Assistant September 2010-
Secretary for July 2012
Administration/
Acting
Assistant
Secretary for
Administration
Deputy Assistant July 2009-
Secretary for September 2010
Management and
Budget
------------------------------------------------------------------------
United States U.S. Senate, Budget Analyst August 2006-July
Senate Washington, DC for 2009
PCommittee on Transportation,
the Budget Veterans'
Affairs, and
Commerce and
Housing Credit
------------------------------------------------------------------------
United States 441 G St., NW, Senior Analyst August 2001-August
Government Washington, DC and Analyst 2006
Accountability
Office
------------------------------------------------------------------------
The University Chapel Hill, NC Graduate August 2000-August
of North Assistant 2001
Carolina at
Chapel Hill
------------------------------------------------------------------------
American Museum Central Park Graduate Intern May 2000-July 2000
of Natural West at 79th
History Street, New
York, NY
------------------------------------------------------------------------
The University Chapel Hill, NC Graduate August 1999-May
of North Assistant (part 2000
Carolina at time)
Chapel Hill
------------------------------------------------------------------------
AmeriCorps--Amer Baton Rouge, LA National Rapid June 1998-August
ican Red Cross Response Corps 1999
Member
------------------------------------------------------------------------
10. Government experience (list any advisory, consultative, honorary,
or other part-time service or positions with Federal, State or local
governments, other than those listed above):
None
11. Business relationships (list all positions held as an officer,
director, trustee, partner, proprietor, agent, representative, or
consultant of any corporation, company, firm, partnership, other
business enterprise, or educational or other institution):
None
12. Memberships (list all memberships and offices held in
professional, fraternal, scholarly, civic, business, charitable, and
other organizations):
Delta Chi Fraternity (University of Houston):
--Member, 1997-1998
--Treasurer, 1997-1998
13. Political affiliations and activities:
a. List all public offices for which you have been a candidate:
None
b. List all memberships and offices held in and services rendered
to all political parties or election committees during the last 10
years:
None
c. Itemize all political contributions to any individual,
campaign organization, political party, political action committee, or
similar entity of $50 or more for the past 10 years:
------------------------------------------------------------------------
Committee Amount
------------------------------------------------------------------------
Obama for America $250
Mizeur-Coates for Maryland $250
------------------------------------------------------------------------
14. Honors and Awards (list all scholarships, fellowships, honorary
degrees, honorary society memberships, military medals, and any other
special recognitions for outstanding service or achievement):
National Achievement Scholar, 1994
15. Published writings (list the titles, publishers, and dates of all
books, articles, reports, or other published materials you have
written):
-- Hurricanes Katrina and Rita: Coordination Between FEMA and the
Red Cross Could Be Improved for the 2006 Hurricane Season (GAO-06-712)
-- Alaska Native Villages: Recent Federal Assistance Exceeded $3
Billion, with Most Provided to Regional Nonprofits (GAO-05-719)
-- Budget Issues: Agency Implementation of Capital Planning
Principles Is Mixed (GAO-04-138)
-- Small and Disadvantaged Businesses: Most Agency Advocates View
Their Roles Similarly (GAO-04-451)
-- Small and Disadvantaged Businesses: Some Agencies' Advocates
Do Not Report to the Required Management Level (GAO-03-863)
-- Federal Trade Commission: Study Needed to Assess the Effects
of Recent Divestitures on Competition in Retail Markets (GAO-02-793)
-- Guidebook to Public Dispute Resolution in North Carolina
(ISBN 1-56011-457-6)
16. Speeches (list all formal speeches you have delivered during the
past 5 years which are on topics relevant to the position for which you
have been nominated):
--Why DOT Is One of the Best Places to Work
http://www.govexec.com/excellence/promising-practices/2013/02/why-dot-
one-best-places-work/61184/
http://www.dot.gov/fastlane/dot-stb-fhwa-earn-nods-best-places-work
http://www.businessofgovernment.org/blog/business-government/next-four-
years-managing-balancing-act
--Sustainability
http://evnewsreport.com/tag/brodi-fontenot/
http://usdotblog.typepad.com/secretarysblog/2013/05/sustainability-
awards-show-dot-going-green-inside-and-out.html
--Speech at U.S. Chamber of Commerce Foundation on Sustainability
https://twitter.com/rjcrespin/status/463711243988000768
https://twitter.com/USCCFBiz4Good/status/463710735097659393
--Telework
http://www.mobileworkexchange.com/mobileworker/view/1645
--Diversity and Inclusion Plan
http://documents.clubexpress.com/
documents.ashx?key=YzV%2BiweOt3FWVkvMsH
c%2FnX1x8Y%2FMM22zxlvA5WHdPfi9C6EmL8p9Alj4%2BXz3NzQdjT9fnl4%2BHis
%3D
17. Qualifications (state what, in your opinion, qualifies you to
serve in the position to which you have been nominated):
Having begun my career in AmeriCorps, I learned the importance of
having a strong infrastructure to confront the very real dangers and
problems faced by American citizens. While reviewing government
programs at the Government Accountability Office, I gained an
appreciation for the fact that effective execution and ongoing
oversight of impactful programs is one of the most critical roles
government can perform. In my time as Senate staff, I grew to
appreciate the importance of rigorous review of budget impact and the
rule of law created by the legislative branch. In my current leadership
role in the executive branch, I know firsthand the impact leaders make
to ensure that our government performs at the highest level possible.
I hope to continue that in my role as Chief Financial Officer of the
Department of the Treasury and continue to enhance Treasury's use of
performance and program data to inform investment and budget decisions.
B. FUTURE EMPLOYMENT RELATIONSHIPS
1. Will you sever all connections with your present employers,
business firms, associations, or organizations if you are confirmed by
the Senate? If not, provide details.
Yes
2. Do you have any plans, commitments, or agreements to pursue outside
employment, with or without compensation, during your service with the
government? If so, provide details.
No
3. Has any person or entity made a commitment or agreement to employ
your services in any capacity after you leave government service? If
so, provide details.
No
4. If you are confirmed by the Senate, do you expect to serve out your
full term or until the next Presidential election, whichever is
applicable? If not, explain.
Yes
C. POTENTIAL CONFLICTS OF INTEREST
1. 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 the Treasury '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 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.
2. 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
posit ion 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 the Treasury'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 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.
3. 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. Activities
performed as an employee of the Federal government need not be listed.
None
4. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items. (Provide the Committee with two copies of any trust or other
agreements.)
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of the Treasury'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 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. Two copies of written opinions should be provided directly to the
Committee by the designated agency ethics officer of the agency to
which you have been nominated and by the Office of Government Ethics
concerning potential conflicts of interest or any legal impediments to
your serving in this position.
6. The following information is to be provided only by nominees to the
positions of United States Trade Representative and Deputy United
States Trade Representative:
Have you ever represented, advised, or otherwise aided a foreign
government or a foreign political organization with respect to any
international trade matter? If so, provide the name of the foreign
entity, a description of the work performed (including any work you
supervised), the time frame of the work (e.g., March to December 1995),
and the number of hours spent on the representation.
D. LEGAL AND OTHER MATTERS
1. Have you ever been the subject of a complaint or been investigated,
disciplined, or otherwise cited for a breach of ethics for
unprofessional conduct before any court, administrative agency,
professional association, disciplinary committee, or other professional
group? If so, provide details.
No
2. Have you ever been investigated, arrested, charged, or held by any
Federal, State, or other law enforcement authority for a violation of
any Federal, State, county or municipal law, regulation, or ordinance,
other than a minor traffic offense? If so, provide details.
No
3. Have you ever been involved as a party in interest in any
administrative agency proceeding or civil litigation? If so, provide
details.
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, provide details.
No
5. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be considered in
connection with your nomination.
None
E. TESTIFYING BEFORE CONGRESS
1. If you are confirmed by the Senate, 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
2. If you are confirmed by the Senate, are you willing to provide such
information as is requested by such committees?
Yes
______
Prepared Statement of Hon. Orrin G. Hatch,
a U.S. Senator From Utah
WASHINGTON--Senate Finance Committee Chairman Orrin Hatch (R-Utah)
today delivered the following remarks during a Senate Finance Committee
considering nominations for the U.S. Departments of Treasury and Health
and Human Services:
Today the Finance Committee is considering three nominations for
posts at the Treasury Department and the Department of Health and Human
Services.
These positions are important, and I'll discuss them specifically
in a few minutes, but since this is our first nomination hearing in the
114th Congress, I want to reiterate some information on how this
committee processes nominations.
In this new Congress, the Finance Committee will continue to use
the same basic procedures for processing nominations that we have
followed in the past, a process that, except in very rare
circumstances, has always been bipartisan.
Let me say that I believe the President is entitled to have the
people he wants working in his administration, so long as there are not
ethical or significant issues in their background. While I respect the
President's right to nominate people of his choosing, the President
also needs to respect the constitutional advice and consent role of the
Senate as well as this committee's part in that overall process.
On that issue, I want to highlight some guidelines that then-
Majority Leader Reid put into the Congressional Record on January 20,
2009. The document he asked to be printed in the Record was titled
``Employment Guidelines for Potential Presidential Appointees in
Subcabinet Positions.''
I'm not going to go through the full document here, but it concerns
the common practice of presidential nominees being brought on as
advisors or counselors in the agencies where they have been nominated
to serve while their nominations are being processed. I refer to these
guidelines because I want to make it clear that, while a nominee may do
certain activities in these advisory positions, they may not take on
responsibilities related to policy-making or representing the
administration. I expect all nominees, and particularly those being
processed through this committee, to respect these boundaries and
respect the constitutional role of the Senate and this committee.
By most accounts, I'm a pretty reasonable guy. I don't think we've
mistreated any of the nominees who have come through the Finance
Committee or subjected them to any unnecessary delays. And, like I
said, while our procedures for moving nominations through the committee
may be rigorous, they are bipartisan and fair. So, I hope the
administration will acknowledge that and work within the proper
guidelines going forward.
With that out of the way, I want to thank the three nominees for
appearing here today. First we will hear from Anne Elizabeth Wall, who,
if confirmed, will serve as Assistant Secretary for Legislative Affairs
at the Treasury Department. The person in this position will deal with
this committee on a regular basis, and has the important job of
facilitating communication between the Treasury Department and
Congress.
On that topic, I want to say up front that it is very important to
me that requests for information submitted to the Treasury Department,
whether they come from me or from any other members, are responded to
in a fulsome and timely manner. Too often, the responses we receive
from Treasury are not at all informative, and that's if we receive
responses at all. For example, Secretary Lew testified on the
President's budget request on February 5--more than two months ago--and
the Committee still has not received answers to questions we submitted
to the Secretary in writing. The same is true for IRS Commissioner
Koskinen, who testified on February 3.
My hope, Ms. Wall, and we'll talk about this more today, is that
you'll commit to improving the lines of communication between Treasury
and this committee.
Next we will hear from Brodi L. Fontenot, nominated to be Chief
Financial Officer of the Treasury Department. This is an especially
important position in an environment of scarce resources and short-term
continuing resolutions. Mr. Fontenot brings a wealth of experience,
including time at the Department of Transportation, with managing a
large federal workforce and balancing multiple critical priorities.
The committee will also hear from Rafael J. Lopez, nominee for
Commissioner on Children, Youth, and Families and the Department of
Health and Human Services. This is a critical position that oversees
programs dealing with the most vulnerable among us.
The Senate Finance Committee has been extremely productive in
crafting bipartisan, bicameral legislation aimed at improving outcomes
for vulnerable children and families. In my time as the senior
Republican on the committee, we've produced two major bills that were
enacted into law making improvements to foster care and adoption
assistance.
When Senator Grassley was the Chairman and Ranking Member, the
committee reported several bipartisan bills as well that made
improvements to child welfare.
I am committed to continuing this bipartisan effort to improve the
lives of vulnerable children, youth, and families. I hope that, if
confirmed, Mr. Lopez will be an active and engaged partner in these
endeavors.
Thank you all for being here today, and for your willingness to
serve.
______
Statement of Rafael J. Lopez, Nominee for Commissioner, Administration
on Children, Youth, and Families, Department of Health and Human
Services
Chairman Hatch, Ranking Member Wyden, Honorable Members of the
Committee, thank you for inviting me to discuss my nomination to serve
as the Commissioner of the Administration on Children, Youth, and
Families at the United States Department of Health and Human Services.
It is an honor to have been nominated by President Obama for this role
and to be considered by the United States Senate Committee on Finance.
This Committee has done extraordinary things for the American
people. From expanding health insurance coverage to children through
the Children's Health Insurance Program, to seeking normalcy for
children in foster care, this Committee has left an enduring legacy on
child and family policy in the United States. If confirmed, I look
forward to working with each of you and your staffs toward our shared
goals to protect and empower the nation's most vulnerable children,
youth, and families.
I hope you will indulge me as I thank the most important people in
my life. I am grateful to my wife, Rosa Ramirez-Lopez, my children Adan
Miguel and Mateo Gabriel, my mother, Maria Concepcion Lopez, and all my
friends and family here today, as well as those supporting me from
afar.
Now, I'd like to tell you a piece of my family's story. My mother
never finished the second grade in her rural town near Poncitlan,
Jalisco, Mexico. She left school as a little girl to help support her
family, cooking, sewing and cleaning in another family's home. She
eventually followed her dad to the United States as a migrant
farmworker and cannery worker, finally settling in Watsonville,
California, where I was born and raised. If you have ever eaten a
Driscoll's strawberry, raspberry, or blackberry, it is likely that it
came from Watsonville. If you have ever sipped Martinelli's apple
cider, then you've tasted my hometown. Leafy greens, vegetables,
flowers, and fruits, are all grown and picked by the hands of
farmworkers, just like my mother's.
But my mother wanted a different life for me, my sister and two
brothers. Whether in the fields or the canneries, as a nanny, house
cleaner, dishwasher or cook, my mother taught us the value of hard
work. She taught us to sacrifice and to believe in yourself even when
the odds are stacked against you. She is a survivor of a tough life,
and our abusive father who she eventually left behind. As a family, we
struggled to make ends meet even though we all worked so hard. There
were nights when things became so violent that we would run to the
homes of neighbors willing to take us in in the middle of the night.
For years, I was embarrassed and ashamed at the thought of strangers
finding out just how much our family struggled. We were told by many
that we needed to keep private matters ``in the family.''
It took me years to realize that our family was not alone. And that
is why I share a part of our family's story with you here today.
Alcoholism, abuse, mental health, violence, and poverty are not private
matters. They are public matters that cross geographic, class, racial,
and cultural boundaries. They are matters that require our best
thinking, collective action, and willingness to work together across
political ideologies.
According to the Centers for Disease Control and Prevention, on
average, 24 people per minute are victims of rape, physical violence,
or stalking by an intimate partner in the United States--more than 12
million women and men over the course of a year. This does not take
into account the millions more children who are exposed to, or are
victims of family violence.
Even in our darkest hours, my mother focused our attention on the
future. And thanks to her unconquerable spirit and work ethic, she
helped me become the first in our immediate family to graduate from
high school. I became the first person in our family to graduate from
college and the first to earn a graduate degree. I am the first person
in my family to work for the President of the United States, and the
first to testify before the United States Senate Committee on Finance.
I share all of this with you to honor my mother as the true hero
that she is, and to enter a piece of our history into the public
record. I tell you all this because we didn't do it on our own.
Neighbors, public school teachers, librarians, social workers,
counselors, mentors, and more. They all helped.
My commitment to public service was shaped by my early experiences,
and has remained rooted in the belief that every child and every family
deserves a fair opportunity to reach their God given potential
regardless of the life or circumstances into which they are born. I was
once a client of programs administered by the U.S. Department of Health
and Human Services. While no one program is perfect, I know they change
futures, because they changed my family's.
As a Senior Policy Advisor in the White House Office of Science and
Technology Policy and with the Domestic Policy Council, I work to
improve the relationship between the Administration and nonprofit and
philanthropic organizations to strengthen domestic social policies and
programs. We rely on the best available data, science, technology, and
evidence-based interventions to promote the social and emotional well-
being of children, youth, and families.
With the Annie E. Casey Foundation, a private, national
philanthropy, I had the opportunity to help develop a brighter future
for millions of children at risk of poor education, economic, social
and health outcomes in the United States.
As the President and CEO of the Family League of Baltimore City, a
nonprofit organization that creates public/private partnerships to
improve the well-being of Baltimore's children, youth, and families, I
helped launch several programs including the B'More for Healthy Babies
initiative which led to a 19% reduction in infant mortality in the
first year. We worked with Maryland's Juvenile Court and negotiated a
State of Maryland commitment to expand the Family Recovery Program
where we focused on helping parents reunify with their court removed
children by providing substance abuse treatment, mental health
services, and supportive housing.
As the Mayor's Executive Director of the City of Los Angeles
Commission for Children, Youth, and Their Families, we created safe
passages for children and youth to get to school. We worked to align
services and improve educational outcomes for 60,000 foster and
probation youth in Los Angeles County.
As the founding Executive Director of First Five Santa Cruz County,
we launched a first-ever universal health care program to serve all
children 0-18 in the county.
In 1999, I became the youngest person to serve on the Watsonville
City Council and was twice elected to represent the neighborhood into
which I was born.
Public service has been my life. And I have worked hard to develop
the skills, relationships, and experiences I need to be the most able
champion of children, youth, and families in need, regardless of the
challenges they face, or the bureaucracy often standing between them
and the help they need.
And at every step along the way, the use of data, science, and
results has driven my strategy. I have worked to build teams that value
excellence, transparency, and accountability. Whether engaging diverse
partners to improve educational outcomes for our nation's foster
children, or using tech solutions to hack our way to more efficient
services for young people by using smartphones, I plan to bring
whatever innovative tools and resources we can rally.
Whether helping the nation's LGBTQ runaway and homeless youth find
loving homes who respect and accept them for who they are, or working
to ensure that families receive the emergency shelter they deserve when
fleeing from domestic violence, I will work tirelessly to engage the
partners we need. I will be relentless in protecting the respect and
dignity of those Americans who are in the greatest need.
April is National Child Abuse and Prevention Month. The work of
raising our children and youth is the most important job in our country
and it will take every one of us to renew our commitment to protect the
safety and well-being of our children and youth, and the families that
care for them. As a father of two boys, I can attest to the fact that
it is the single hardest and most glorious job I have ever had. Our
children, youth and families are our greatest renewable resources. When
we respect, honor and invest in them, we invest in us.
Mr. Chairman, Ranking Member Wyden, and Honorable Members of the
Committee, thank you again for the invitation to speak with you today.
I have never shied away from hard work. If confirmed, I am ready to
roll up my sleeves and work with you. America's children, youth and
families deserve nothing less.With that, I would be pleased to answer
your questions. Thank you.
______
SENATE FINANCE COMMITTEE
STATEMENT OF INFORMATION REQUESTED
OF NOMINEE
A. BIOGRAPHICAL INFORMATION
1. Name (include any former names used):
Ralph ``Rafael'' Joseph Lopez
Ralph Joseph Lopez Rivera
2. Position to which nominated:
Commissioner, Administration on Children, Youth, and Families,
Department of Health and Human Services
3. Date of nomination: January 8, 2015
4. Address (list current residence, office, and mailing addresses):
5. Date and place of birth:
October 27, 1970
Watsonville, California
6. Marital status (include maiden name of wife or husband's name):
7. Names and ages of children:
8. Education (list secondary and higher education institutions, dates
attended, degree received, and date degree granted):
Secondary Education Institution:
Education Institution: Watsonville High School
Dates Attended: 08/1984-06/1988
Degree Received: High School Diploma
Date Degree Granted: 06/1988
Undergraduate Institutions:
Education Institution: Vassar College
Dates Attended: 08-12/1988; 08/1989-12/1991
Degree Received: Transferred to the University of
California
Education Institution: Cabrillo College
Dates Attended: 06-08/1995
Degree Received: Transferable unit coursework to
UCSC
Education Institution: University of California Santa Cruz
Dates Attended: 08/1992-06/1994
Degree Received: Bachelor of Arts (B.A.), American
Studies
Date Degree Granted: 12/2003
Graduate Institution:
Education Institution: Harvard University
Harvard Kennedy School
Dates Attended: 07/2004-06/2005
Degree Received: Master of Public Administration
(M.P.A.)
Date Degree Granted: 06/2005
9. Employment record (list all jobs held since college, including the
title or description of job, name of employer, location of work, and
dates of employment):
Title: Senior Policy Advisor
Employer: White House, Executive Office of
the President
Location of Work: Washington, DC
Dates of Employment: July 2013-present (Via IPA from the
Annie E. Casey Foundation)
Title: Associate Director
Employer: Annie E. Casey Foundation
Location of Work: Baltimore, MD
Dates of Employment: August 2010-Present (Currently an
executive on loan to the White
House via IPA)
Title: President and CEO
Employer: Family League of Baltimore City
Location of Work: Baltimore, MD
Dates of Employment: March 2009-July 2010
Title: Executive Director of the
Commission for Children, Youth,
and Their Families
Employer: City of Los Angeles (Mayor Antonio
Villaraigosa)
Location of Work: Los Angeles, CA
Dates of Employment: August 2006-March 2009
Title: Deputy Director of the Department
of Children, Youth, and Their
Families
Employer: City/County of San Francisco
Location of Work: San Francisco, CA
Dates of Employment: January 2006-August 2006
Title: Senior Deputy for Health and Human
Services
Employer: Los Angeles County Board of
Supervisors (Supervisor Gloria
Molina)
Location of Work: Los Angeles, CA
Dates of Employment: July 2005-January 2006
Title: Project Manager
Employer: Professor Xavier Briggs, Harvard
University
Location of Work: Cambridge, MA
Dates of Employment: Fall Semester 2004
Title: Teaching Assistant
Employer: Professor Nancy Katz, Harvard
University
Location of Work: Cambridge, MA
Dates of Employment: Spring Semester 2005
Title: Founding Executive Director
Employer: First 5 Santa Cruz County, United
Way
Location of Work: Capitola, CA
Dates of Employment: November 1999-July 2004
Title: Research and Development-Grants
Manager
Employer: Salud Para La Gente, Inc.
Location of Work: Watsonville, CA
Dates of Employment: May-November 1999
Title: Administrative Analyst
Employer: County of Santa Cruz (Supervisor
Tony Campos)
Location of Work: Santa Cruz, CA
Dates of Employment: December 1998-May 1999
Title: Administrative Analyst
Employer: City of Watsonville (Office of the
City Manager; Finance Department;
Parks, Recreation, and
Neighborhood Services Department)
Location of Work: Watsonville, CA
Dates of Employment: December 1996-December 1998
Title: Intern
Employer: City of Watsonville (Office of the
City Manager)
Location of Work: Watsonville, CA
Dates of Employment: July 1996-December 1996
Title: Consultant-Project Coordinator
Employer: Community Foundation of Santa Cruz
County (Vecinos Project)
Location of Work: Soquel, CA
Dates of Employment: May-November 1996
Title: Consultant-California Mentorship
Initiative Project Coordinator
Employer: Community Action Board of Santa
Cruz County
Location of Work: Santa Cruz, CA
Dates of Employment: March-May 1996
Title: Temporary Office Assistant
Employer: Express Personnel Services
Location of Work: Santa Cruz County, CA
Dates of Employment: January-May 1996
Title: Consultant-Interim Executive
Director
Employer: El Andar Foundation
Location of Work: Santa Cruz, CA
Dates of Employment: December 1995-August 1996
Title: Coordinator for Residential
Education--Chicano/Latino Programs
Employer: University of California Santa
Cruz, Merrill College
Location of Work: Santa Cruz, CA
Dates of Employment: July-December 1995
Title: Assistant to the Directors
Employer: University of California Santa
Cruz--Chicano Latino Research
Center
Location of Work: Santa Cruz, CA
Dates of Employment: October 1994-July 1995
Title: Temporary Office Assistant
Employer: Olsten Services and Kelly Services
Location of Work: Santa Cruz County, CA
Dates of Employment: June-October 1994
10. Government experience (list any advisory, consultative, honorary,
or other part-time service or positions with Federal, State, or local
governments, other than those listed above):
Statewide Government Advisory Roles
First 5 California Advisory Committee on Diversity, Former
Member (Est. 2000-2002)
First 5 California/First 5 Association of California Health
Access Advisory Committee, Former Member (Est. 2000-2004)
First 5 California/First 5 Association of California Children of
Migrant Farm Workers Project Advisory Committee, Former Member (Est.
2000-2004)
Countywide and Regional Government Advisory Roles
Los Angeles County Child Care Planning Committee (Est. 2006-
2009)
Los Angeles County Children's Planning Council (Est. 2006-2009)
Los Angeles County Education Coordinating Council (Est. 2006-
2009)
First 5 San Francisco County Commission (2006)
San Francisco Beacon Initiative Steering Committee (2006)
Child Development Resource Center Advisory Committee (Est. 1999-
2003)
Children's Network of Santa Cruz County Executive Committee
(Est. 1999-2003)
County of Santa Cruz Latino Affairs Commission (Est. 1997-1999 )
County of Santa Cruz Human Services Commission (Est. 1997-1999)
County of Santa Cruz Welfare Reform Task Force (Est. 1997-1999)
County of Santa Cruz Winter Shelter Advisory Committee (Est.
1997-1999)
Healthy Kids Santa Cruz County Steering Committee (Est. 2002-
2004)
Santa Cruz County Regional Transportation Commission Board of
Directors (Est. 2000-2001)
Santa Cruz Metropolitan Transit District Board of Directors
(Est. 2000-2001)
Transportation Agency of Monterey County (Est. 2000-2001)
Wastewater Board of Control (Est. 2000-2001)
Zone 7 Board of Directors (Est. 2000-2001)
Citywide Government Advisory Roles
City of Los Angeles Mayor's Gang Reduction and Youth Development
Cabinet (Est. 2006-2009)
Pajaro Valley Unified School District Superintendent's Committee
on Bond Election (Est. 2000-2002)
11. Business relationships (list all positions held as an officer,
director, trustee, partner, proprietor, agent, representative, or
consultant of any corporation, company, firm, partnership, other
business enterprise, or educational or other institution):
N/A
12. Memberships (list all memberships and offices held in
professional, fraternal, scholarly, civic, business, charitable, and
other organizations):
Annie E. Casey Foundation Committee of Managers, Member (Est.
2010-2013)
Annie E. Casey Foundation Social Investment Committee, Member
(Est. 2010-2013)
Annie E. Casey Foundation Children and Family Fellowship
Network, Network Steering Committee and Class 7 Representative (Est.
2007-2012)
The Leadership Baltimore, Member (Est. 2011-2013)
HealthCare Access Maryland, Member of the Board of Directors and
Chair of the Program Committee (Est. 2011-2013)
Y of Central Maryland, Member of the Board of Directors (Est.
2012-2013)
Behavioral Health System Baltimore, Board of Directors (Est.
2009-2010)
Maryland Association of Local Management Boards, Member (Est.
2009-2010)
Harvard Kennedy School of Government Center for Public
Leadership Student Advisory Board, Member (2004-2005)
Kennedy School Latino Caucus, Member (2004-2005)
The Harvard Journal of Hispanic Policy, Member and Senior Editor
(2004-2005)
California Private/Public Family Support Funders Group, Member
(Est. 2001-2003)
Local Government Commission, Member (Est. 2001-2003)
Child Care Ventures, Steering Committee Member (Est. 2001-2003)
Cultural Council of Santa Cruz County, Member of the Board of
Directors (Est. 2001-2003)
Pajaro Valley Community Health Trust, Founding Member and Member
of the Board of Trustees (Est. 1998-2000)
Pajaro Valley Prevention and Student Assistance, Member of the
Board of Directors (Est. 2000-2003)
Pajaro Valley Unified School District Superintendent's Committee
on Bond Election (Est. 2000-2002)
Action Pajaro Valley, Steering Committee Member (Est. 1999-2003)
Defensa de Mujeres, Member of the Board of Directors (Est. 1996-
1999)
El Andar Foundation, Member of the Board of Directors (Est.
1994-1995)
Healthy Kids Santa Cruz County, Steering Committee Member (Est.
2002-2004)
Latino Strategic Planning Collaborative of Santa Cruz County,
Steering Committee and Co-Chair (Est. 1996-1999)
United Way of Santa Cruz County Community Assessment Project,
Steering Committee Member (Est. 1996-1999)
United Way of Santa Cruz County Investing in Children and
Families: What Works!, Steering Committee Member (Est. 1999-2001)
United Way of Santa Cruz County Latino Technical Advisory
Committee, Member (Est. 1996-1999)
United Way of Santa Cruz County Success by Six Leadership
Council, Member (Est. 2000-2003)
United Way of Santa Cruz County Together for Youth Committee,
Member Santa Cruz County (Est. 1996-1999)
13. Political affiliations and activities:
a. List all public offices for which you have been a candidate.
City of Watsonville District 1 Council Member, Special
Election 1999
City of Watsonville District 1 Council Member, General
Election 2000
b. List all memberships and offices held in and services
rendered to all political parties or election committees during the
last 10 years.
Member, Democratic Party
Volunteer, Barack Obama for President, 2012 and 2008
Volunteer, John Kerry for President, 2004
c. Itemize all political contributions to any individual,
campaign organization, political party, political action committee, or
similar entity of $50 or more for the past 10 years.
June 2008: $100, Committee to Elect Tony Thurmond,
California State Assembly 15th District
14. Honors and awards (list all scholarships, fellowships, honorary
degrees, honorary society memberships, military medals, and any other
special recognitions for outstanding service or achievement):
October 2011: Greater Baltimore Committee Leadership Program: For
past and future civic volunteer contributions to the Baltimore
community.
June 2010: Mayor of the City of Baltimore, Maryland. For
distinguished leadership and service to the people of
Baltimore, Maryland.
June 2010: Baltimore Mental Health Systems. For commitment and
service to the City of Baltimore and its residents with mental
illness and their families.
March 2009: Mayor of the City of Los Angeles, California. For
distinguished leadership and service to the people of Los
Angeles, California.
January 2007-September 2008: Annie E. Casey Foundation. Children
and Family Fellowship, National Fellow.
June 2005: Harvard University John F. Kennedy School of Government.
Lucius N. Littauer Fellow Award. For demonstrated distinction
in academic work at the Kennedy School, contributions to the
Kennedy School, the Harvard community and other organizations,
and demonstrated potential for continuing leadership.
June 2004: United States Congress, California State Senate,
California State Assembly, First 5 California, Santa Cruz
County Board of Supervisors and the City of Watsonville. For
distinguished service as the Founding Executive Director of
First 5 Santa Cruz County.
December 2003: University of California Santa Cruz, Department of
American Studies. Honors in American Studies. Honors Thesis.
June 2003 and June 2002: El Concilio de Vecinos Unidos de la Mona
Lisa. For leadership and service to the people of the Mona Lisa
Neighborhood Association in Watsonville, California.
March 2003: Stanford University Graduate School of Business
Executive Program for Nonprofit Leaders. Center for Social
Innovation Fellow. Scholarship provided by the David and Lucile
Packard Foundation.
May 2003: Latino Issues Forum. For leadership and service in
launching the Rural Technology Information Project in
Watsonville, California.
October 2001: Family Resource Center Network of Santa Cruz County.
For leadership and service to the young children and families
of Santa Cruz County.
August 1999: Brown Berets Peace and Unity Coalition. For service to
the youth of Watsonville in the Peace and Unity March.
June 1994: Oakes College, University of California Santa Cruz.
Oakes College Distinguished Service Award. For distinguished
service to the college, university, and community.
July 1992: Congressman Solomon Ortiz, United States Congress.
Certificate for service as an intern in the United States
Congress.
15. Published writings (list the titles, publishers, and dates of all
books, articles, reports, or other published materials you have
written):
Lopez, Rafael, Montoya, Liz, Santana, Miguel. (2005).``Myth and
Reality: Is the Latino Vote Up for Grabs?'' Kennedy School
Review, Volume VI. President and Fellows of Harvard College:
Cambridge, MA.
16. Speeches (list all formal speeches you have delivered during the
past 5 years which are on topics relevant to the position for which you
have been nominated):
March 28, 2014: United States Citizenship and Immigration Services,
Keynote Remarks at the New York City Naturalization Ceremony.
17. Qualifications (state what, in your opinion, qualifies you to
serve in the position to which you have been nominated):
It is an honor to be nominated to serve as the Commissioner of the
Administration on Children, Youth, and Families. I have spent
my career focused on creating, developing, and strengthening
programs and policies that serve children, youth, and families
in rural, suburban, and urban communities. I have substantial
content and management experience in leading organizations and
building relationships across sectors to achieve results.
Whether leading these organizations or systems through
community strategic planning or by developing streamlined
policies and operations strategies, I know how to execute.
I possess a keen sense of how organizations function and how they
must work together to achieve desired results that change the
lives of people. I have a demonstrated ability to work in a
fast-paced, politically charged environment. Creating
innovative, high-impact solutions and turning around programs,
organizations, and systems is a hallmark of my experience, and
I have successfully done so under difficult circumstances
across sectors. I have served in senior or executive level
positions with substantial experience from multiple
perspectives in nonprofit organizations, city, county, and
state governments, and philanthropy. I understand the
importance of strategic collaboration and the need to work
across ideologies and sectors to create lasting change.
I have never shied away from hard work and will focus all of our
efforts to improve the lives of our nation's most vulnerable
citizens. America's children, youth, and families deserve
nothing less.
B. FUTURE EMPLOYMENT RELATIONSHIPS
1. Will you sever all connections with your present employers,
business firms, associations, or organizations if you are confirmed by
the Senate? If not, provide details.
Yes.
2. Do you have any plans, commitments, or agreements to pursue outside
employment, with or without compensation, during your service with the
government? If so, provide details.
No.
3. Has any person or entity made a commitment or agreement to employ
your services in any capacity after you leave government service? If
so, provide details.
No.
4. If you are confirmed by the Senate, do you expect to serve out your
full term or until the next Presidential election, whichever is
applicable? If not, explain.
If confirmed by the Senate, I expect to serve until the next
Presidential election.
C. POTENTIAL CONFLICTS OF INTEREST
1. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated.
I have no investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position for which I have been nominated.
2. 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.
I have no business relationship, dealing, or financial
transaction during the last 10 years that could in any way constitute
or result in a possible conflict of interest in the position for which
I have been nominated.
3. 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. Activities
performed as an employee of the Federal government need not be listed.
N/A
4. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items. (Provide the Committee with two copies of any trust or other
agreements.)
N/A
5. Two copies of written opinions should be provided directly to the
Committee by the designated agency ethics officer of the agency to
which you have been nominated and by the Office of Government Ethics
concerning potential conflicts of interest or any legal impediments to
your serving in this position.
N/A
6. The following information is to be provided only by nominees to the
positions of United States Trade Representative and Deputy United
States Trade Representative:
Have you ever represented, advised, or otherwise aided a foreign
government or a foreign political organization with respect to any
international trade matter? If so, provide the name of the foreign
entity, a description of the work performed (including any work you
supervised), the time frame of the work (e.g., March to December 1995),
and the number of hours spent on the representation.
N/A
D. LEGAL AND OTHER MATTERS
1. Have you ever been the subject of a complaint or been investigated,
disciplined, or otherwise cited for a breach of ethics for
unprofessional conduct before any court, administrative agency,
professional association, disciplinary committee, or other professional
group? If so, provide details.
Yes, I have been the subject of a complaint within the context of
civil litigation filed by a former employee. A lawsuit was filed by the
plaintiff on July 28, 2009 against our mutual employer, the City of Los
Angeles, following the plaintiff's employment termination in 2007. The
lawsuit, Superior Court of California County of Los Angeles Case
#BC418703, demanded damages for unsubstantiated claims of
discrimination based on the plaintiff's age and gender. Following a
jury trial, the jury returned a unanimous verdict on August 17, 2010 in
favor of the City of Los Angeles.
2. Have you ever been investigated, arrested, charged, or held by any
Federal, State, or other law enforcement authority for a violation of
any Federal, State, county, or municipal law, regulation, or ordinance,
other than a minor traffic offense? If so, provide details.
No.
3. Have you ever been involved as a party in interest in any
administrative agency proceeding or civil litigation? If so, provide
details.
No, other than the matter described above in Question D.1.
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, provide details.
No.
5. Please advise the Committee with any additional information,
favorable or unfavorable, which you feel should be considered in
connection with your nomination.
None.
E. TESTIFYING BEFORE CONGRESS
1. If you are confirmed by the Senate, 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.
2. If you are confirmed by the Senate, are you willing to provide such
information as is requested by such committees?
Yes.
______
Questions Submitted for the Record to Rafael J. Lopez
Questions Submitted by Hon. Orrin G. Hatch
Question. Mr. Lopez, as we discussed, last year a number of
provisions from my bill, ``IOYouth,'' were enacted into law. I am
pleased that included were a number of provisions relating to
``normalcy'' for children and youth in foster care.
Before the enactment of this law, older youth in foster care are
routinely deprived of the opportunity to participate in normal age-
appropriate activities and social events. This impairs their healthy
development and increases the risk that these young people will be
vulnerable to domestic sex trafficking, homelessness, drug abuse, poor
educational outcomes, poverty and other negative outcomes.
The new law includes a number of provisions to encourage, enhance
and support youth in foster care to be able to participate in age-
appropriate activities and social events. These provisions, if enacted
correctly, will go a long way to promoting healthy development,
increased opportunities to form meaningful connections, and reduce the
risk of vulnerability to domestic sex trafficking and other negative
outcomes.
If confirmed, please describe how you would work with states and
child welfare stakeholders to implement the normalcy provisions in this
new law.
Answer. The provision of developmentally appropriate services is
critical to the well-being of all children, youth and young adults in
the foster care system. The Preventing Sex Trafficking and
Strengthening Families Act (Public Law 113-183) created the requirement
for states and tribes to permit the use of a ``reasonable and prudent''
parenting standard to give foster parents more discretion in
determining what age appropriate activities children in their care can
participate.
Children and youth in care deserve the exact same opportunities of
those that are not in care, including the ability to participate in
extracurricular activities, and excursions that might help them
discover new places with their school arts group or sports teams. We
know youth are particularity passionate about this topic and have their
own ideas about how best to work with states and other stakeholders. As
part of the new law, the Department of Health and Human Services (HHS)
has been tasked with providing technical assistance to states and
tribes to implement their standards. If confirmed, I look forward to
working with you and other Members of Congress to assist in this
important effort in any way that I can.
To support this work, HHS has recently partnered with the White
House and the Annie E. Casey Foundation to bring together child welfare
leaders from across the country to learn from each other. This one day
event, during National Foster Care Month, will be just the beginning of
efforts to provide technical assistance to States and Tribes on the
topic of ``normalcy.'' Innovative solutions, toolkits, social media
outreach strategies and more must be lifted up from across the country
and should be shared on platforms that are easily accessible to all
involved.
Question. Mr. Lopez, last year Senator Bennet and I introduced
legislation to promote social impact financing. We plan to reintroduce
this bill again shortly.
I believe that if done correctly, social impact financing can
improve outcomes for children and youth in foster care by promoting
adoption and ending the over-reliance on group homes. A key feature of
the concept is that the government does not pay, if the intervention is
not successful.
Do you support efforts to utilize social impact financing more
broadly in delivering social services?
If confirmed, can you describe how you would work to integrate key
features of social impact financing to programs and policies that
affect children and youth in foster care?
Answer. I understand that you introduced the Social Impact
Partnership Act,
S. 1089, legislation that aims to leverage public-private partnerships
to deliver transformative results in social and public health programs.
I would be happy to work with you and other Members of Congress to
improve results for children in foster care and reduce incidences of
child abuse and neglect. One of the goals of the legislation mirrors
the President's FY 2016 budget proposal to reduce the use of congregate
care placements by encouraging greater use of family-based care for
children and youth in foster care. The legislation could help achieve
that goal by providing a pathway for creative public-private
partnerships on a range of social services topics, including the
challenges related to recruiting and training more foster families, the
recruitment of whom save significant resources to the child welfare
system in the long term while yielding better results for children.
We must work closely together to end the over-reliance on group
homes and I believe that social impact financing is a promising new
tool that can help address this challenge. It may also help us overcome
barriers to evidence based policies that can yield better results for
the child welfare system. For instance, we are seeing communities
pursue solutions to reduce parental substance abuse, maternal
depression, maternal homelessness and the challenge of youth dually
involved in the juvenile justice and child welfare systems.
Currently, HHS is undertaking a review of where social innovation
financing solutions can be deployed for demonstrations connected to
Medicaid. I would be interested in engaging in a similar review for
programs and services managed by the Administration for Children,
Youth, and Families. I will also work to build awareness that ``pay for
success'' is a permitted use under the current title IV-E waiver
guidance. I will work to actively engage philanthropy interested in
delivering better results in the child welfare field given how critical
the philanthropists have been to social impact financing in other
fields. This is not intended to be an exhaustive list, but exemplary of
the types of activities I would undertake to promote promising new
tools to help deliver better results for children, youth, and families.
______
Questions Submitted by Hon. Chuck Grassley
Question. What specific reforms or changes would you like to see
within the child welfare system so that the system may better serve
children and families?
Answer. How we support the healthy, positive growth and development
of our children, youth, and families is of vital importance to the
United States. We must do more to work together to create and
strengthen cross-sector partnerships that solve our nation's most
complex, human services challenges, and highlight examples of what is
working in communities that may not often be lifted up or recognized on
a national scale. Reforms in the child welfare system have never come
easily, and have at times been reactive to the national attention drawn
by the tragic abuse and death of children. We must do more to ensure
that every reform is driven by a results based framework that places
the child/youth/family/community at the core of the reform. We must
work across perceived barriers to ensure that we are doing all that we
can do as a society to provide greater opportunities for children,
youth and families to thrive, well before they unnecessarily come to
the attention of a child welfare agency. For these reasons, I support
the proposals in the President's FY 2016 budget which seek to
strengthen and make targeted investments in child welfare programs to
better serve children and families.
Overall, the proposals address initiatives from prevention to
permanency. Specifically, the following proposals aim to better serve
children and families in the child welfare system by:
Providing entitlement funding for evidence-based prevention and
post-permanency services for children at imminent risk of
entering foster care;
Providing support and funding to encourage greater use of family-
based care for children and youth in or at risk of congregate
care placements;
Providing grants to reduce use of psychotropic medications among
children and youth in foster care;
Providing grants to prevent foster youth from becoming victims of
sex trafficking and provide better services to foster youth
victims of trafficking;
Providing additional funding to help Tribes strengthen their child
welfare programs; Expanding the service array in rural areas to
better meet the needs of children and families in child
welfare; and
Extending the Chafee Foster Care Independence Program to youth up
to age 23.
Question. How can states and the federal government improve
policies to help older youth who age out or are at risk of aging out?
Answer. I support the President's FY 2016 budget proposal to allow
title IV-E agencies to use their Chafee Foster Care Independence
Program (CFCIP) funds to provide services, including room and board, to
young people who were formerly in foster care through the age of 23.
Agencies should be able to serve this larger group of youth if (1) the
State already has opted to extend care to youth up to age 21 who are
meeting educational and or employment goals and, (2) if the agency
provides benefits comparable to the title IV-E extended foster care
program, using State dollars or other sources of funding. This would
allow agencies that have taken advantage of all of the options
available under title IV-E (that is, selecting the maximum age of 21
and all authorized education, employment, and medical participation
options) to use their CFCIP funds to continue to provide supports to
young people through age 23.
Emerging neuroscience on the development of the adolescent brain
has challenged our earlier thinking that our brains were fully
developed by age 6. Youth who are aging out of foster care or are at
risk of aging out must benefit from positive youth development
approaches that provide opportunities for them to develop life longs
skills that help them develop resiliency throughout adulthood. We must
continue to search for and lift up promising practices and evidence
based approaches that treat our young people with the respect and
dignity they deserve. We must be open to new and innovative ideas,
especially when it comes to state and federal partnerships working to
improve policies for youth.
Question. In your view, what are some of the challenges to
recruiting foster families, and what more can be done by the federal
government to find the best placements for children who may enter the
foster care system?
Answer. Social science and common sense tells us that children are
better off when raised by loving, caring and forever families. But not
every child experiences being raised in such a setting. There are
several challenges in recruiting foster families, especially when
trying to secure a family for children experiencing severe mental
health and/or behavioral issues. To address this, the President's FY
2016 budget proposes to provide additional support and funding for
foster families to promote family-based care for children with
behavioral and mental health needs. These supports include funding
forspecialized training and salaries for foster parents who provide a
therapeutic environment for a child.
Question. In your view, what are some of the challenges facing
child welfare workers across the country, and what more can be done by
the federal government to improve our ability to recruit, retain, and
support the workforce?
Answer. Some of the challenges facing child welfare workers relate
to the size of caseloads as well as support and training for serving
children in foster care who have severe mental and behavioral health
issues. I support the Administration's FY 2016 budget proposal to
provide increased support for child welfare caseworkers to provide
specialized case management for these children through having smaller
caseloads. Under this proposal, States will receive additional support
for these workers to receive specialized training in areas such as
behavioral management techniques, and treatment for emotional
disturbances. We must also look to bright spots at the local level to
lift up innovative solutions for supporting child welfare workers and
be open to considering policy changes at the federal level that will
incentivize the recruitment, retention and support of the workforce. We
can all do more to honor and thank the workforce charged with ensuring
that all children and youth live with loving families.
Question. Congress has a duty to review and reform the child
welfare financing system. Many members are interested in improving the
way federal dollars are spent, and making sure we incentivize states to
the right thing. Do you have any suggestions for Congress as it
attempts to modify the financing structure and improve existing child
welfare programs?
Answer. If confirmed, I would be happy to work with the Members of
Congress to improve the way federal dollars are spent and improve
existing child welfare programs. Along these lines, I support the
President's FY 2016 budget to allow title IV-E dollars to be spent on
prevention services for children who are at imminent risk of entry into
foster care. In addition, I support the President's FY 2016 budget
proposal that seeks to provide title IV-E funding in new ways to
promote family-based care for children with behavioral and mental
health needs in or at-risk of congregate care placements. Among other
things, the proposal provides enhanced support for specialized foster
care casework with these at-risk children and for specialized training
and salaries for foster parents who provide a therapeutic environment
for children with behavioral and mental health needs.
Question. In order to improve front end services and promote
preventative measures to ensure children don't have to enter the foster
care system, how could Congress direct funding to promote these goals?
Are there specific programs that you would shift funding from in an
effort to promote other, more preventative programs?
Answer. Providing pre-placement and post-placement services is
often key to whether a child must be removed from their home or whether
a recently established permanency arrangement can be sustained. The
Administration's FY 2016 budget proposes to allow title IV-E agencies
to claim federal reimbursement for pre-placement and post-placement
services included as part of the child's case plan for children who are
at ``imminent risk'' of removal from their homes at 50 percent Federal
Financial Participation (FFP), which is the same rate as administrative
costs. Currently, most of these activities are unallowable. A majority
of such funds must be used for evidence based/informed interventions.
The proposal also includes additional reporting and oversight
requirements for title IV-E agencies for these services provided to
this population, and a maintenance-of-effort requirement to maintain
the current level of State or Tribal investment in child welfare
services.
______
Questions Submitted by Hon. John Thune
Question. I was reviewing your testimony, and something you wrote
stood out. You said, ``As a Senior Policy Advisor in the White House
Office of Science and Technology Policy and with the Domestic Policy
Council, I work to improve the relationship between the administration
and nonprofit and philanthropic organizations to strengthen domestic
social policies and programs. We rely on the best available data,
science, technology, and evidence-based interventions to promote the
social and emotional well-being of children, youth, and families.'' Mr.
Lopez, can you elaborate on what evidence-based interventions, science,
and data you relied on to make policy decisions in Domestic Policy
Council? How did these data-driven policy decisions improve the social
and emotional well-being of children, youth, and families?
Answer. As a Senior Policy Advisor, I serve as one of several team
members that rely on the use of the best available data, science, and
evidence-based interventions. I cannot think of a project or assignment
I worked on at the White House where we did not look to the best
available data and science to guide our efforts.
For example, Congress created the Maternal, Infant, and Early
Childhood Home Visiting program to support voluntary, evidence-based
home visiting services for at-risk pregnant women and parents with
young children up to kindergarten entry. States, Territories and Tribal
entities have the flexibility to tailor the program to the specific
needs of their communities. The program serves high-risk households:
79% of participating families were at or below the federal poverty
guidelines ($23,850 for a family of 4);
69% of adult program participants had no post secondary education;
27% of households included a pregnant teen;
20% reported a history of child abuse and maltreatment; and
12% reported substance abuse.
Though there is variation across evidence-based home visiting
models, all programs share common characteristics including trained
professionals meeting regularly with expectant parents or families with
young children in their homes, helping build strong, positive
relationships with families who want and need support.
Evaluation results from the North Carolina program ``Durham
Connects'' studied the effects of home visiting on childhood health
outcomes. Results included 84% fewer hospital overnights, 17% fewer
medical visits, and less overall emergency medical services. Every $1
spent on Durham Connects saved $1.59 by age 6 months in terms of
emergency medical costs.
The current research and evidence base helps us understand that the
most effective home visiting models promote child development and
school readiness, positive parenting practices, family economic self-
sufficiency, maternal health, and reductions in child maltreatment.
Home visiting programs are an essential component of the
Administration's early education agenda.
Question. You go on to say, ``And at every step along the way, the
use of data, science, and results has driven my strategy. I have worked
to build teams that value excellence, transparency, and
accountability.'' These are excellent principles that I think everyone
on this committee values. How did you work to improve transparency and
accountability at the Domestic Policy Council? Will you do to promote
these principles at HHS if confirmed in your new position?
Answer. The pursuit of excellence, transparency, and accountability
are principles core to my life as a public servant. So too have been
the consistent use of data, science, and results-based work to drive
strategy. For example, I helped lead a community effort that launched
the B'More for Healthy Babies Campaign in Baltimore, Maryland, a
strategic initiative aimed at reducing infant mortality and improving
the health of babies and their families. The rate at which Baltimore
babies die preventable deaths has been a rate among the worst in
America. Cross-sector partnerships were established including
government agencies, hospitals, churches, universities, nonprofit
organizations and more to transparently review the data and risk
factors contributing to challenges in specific neighborhoods,
ultimately leading to more intensive work in two neighborhoods. We also
learned that strategically deploying home visiting programs and
strengthening their ability to use data to inform their work would
strengthen the overall campaign. Collectively, the work led to a 19%
reduction in infant mortality in the first year. Between 2009 and 2012,
overall infant mortality rate decreased by 28%.
While not quick or easy, understanding and sharing the data and
stories behind why some neighborhoods had higher infant mortality rates
over others was critical to launching this work. Engaging the science
and importance of results and accountability behind home visiting and
other public health programs was foundational to the work. We worked
together to lead open community forums to solicit ideas and feedback
and prepared requests for proposals that clearly articulated client
level and program level outcomes that would be measured.
In all the work that I do, I find ways to use data and science to
achieve results and have a positive impact on children, youth, and
families. These principles serve as the foundation to how I manage all
of my work whether serving as a team member of the Domestic Policy
Council, the Office of Science and Technology Policy, or elsewhere. If
confirmed, I will work tirelessly to promote these very same principles
at the Administration on Children, Youth and Families at HHS.
Question. In your testimony, you mentioned using tech solutions to
hack our way to more efficient services for young people by using
smartphones. What are your ideas on tech solutions and innovative
tools?
Answer. If confirmed, I would be happy to work with the Members of
Congress interested in testing new tools such as ``hackathons'' to
better improve the use of data to improve results for children, youth,
and families. The use of reliable and timely data, especially in the
status of any one child or the information required to transfer school
records for a homeless child or youth in foster care in a more
efficient manner, are issues that continue challenging social service
systems. Child welfare systems, in particular, have not been known for
being at the cutting edge of technology.
We must work closely together to seek more creative solutions in an
era that is driven by the use of rapidly evolving technology and
smartphones. We must be much more agile and responsive to what is
happening at the local level that might inform best practices at the
federal level. ``Civic hacking,'' for example, has drawn together
thousands of people from residents to entrepreneurs, developers and
community groups. They have often worked together with government and
business leaders to devise innovative solutions ranging from apps and
websites that create greater civic transparency to locating homeless
services.
We must work harder to be far more ``customer friendly'' in the use
of technology, whether that is for youth aging out of foster care
looking for help in getting into college or a mother looking for
immediate shelter from violence. How, when, and where we use
smartphones, tech solutions, and other tools to more efficiently
connect people to the help they need--when they need it--is an area
that requires our creative thinking and partnership.
______
Question Submitted by Hon. Maria Cantwell
Question. As you may know, Washington is a title IV-E child waiver
state. Washington State's current title IV-E waiver enables us to
direct federal funds to preventing children from being placed in foster
care, and to explore other creative solutions to reform and improve
child welfare programs.
If confirmed, will your office continue to support states like
Washington as they seek to reform and improve their child welfare
systems?
Will you work with me and other members of the Committee on ways to
improve the title IV-E program?
Answer. I am very committed to working with States and Tribes in
support of efforts to reform and improve their child welfare systems.
The Administration was pleased that so many States took advantage of
the opportunity to apply for new waiver demonstration projects in
fiscal years (FYs) 2012-2014. The demonstration projects offer an
important opportunity to learn from the range of strategies that
States, like Washington, are taking to improve results of safety,
permanency, and well-being for children and families involved in the
child welfare system. If confirmed, I will ensure that we continue to
support the States and the Tribes approved to conduct demonstrations.
By supporting them in successfully implementing and evaluating their
projects, we have the opportunity both to improve results for children
and families in those jurisdictions and to promote continued knowledge
development for the field. Successful implementation at the local level
can help better inform and drive policy and practice at the federal
level.
In addition to the work with waiver demonstrations, this
Administration is continuing to promote reforms in the title IV-E
program through other initiatives, as reflected in the President's FY
2016 Budget. The Administration has proposed legislative changes to
provide title IV-E funding for preventive services for families with
children at imminent risk of entering foster care to enable them to
remain safely at home. In addition, the budget proposes reforms to
encourage greater use of family-based services for children who would
otherwise be served in congregate care. If confirmed, I look forward to
working with you and other Members of the Committee to enact these
reforms.
______
Statement of Anne Elizabeth Wall, Nominee for Deputy Under Secretary,
Department of the Treasury
Chairman Hatch, Ranking Member Wyden, and members of the Committee,
I appreciate the opportunity to be here in the Senate and to appear
before the Senate Finance Committee. It's always nice to come to a
place that feels like a second home--and it is a humbling honor to be
seated at this table before you after several years sitting alongside
the hardworking staff behind you.
I especially want to thank you and your staff for considering my
nomination. I am sincerely grateful to President Obama for nominating
me to serve as Assistant Secretary for Legislative Affairs at the
Department of the Treasury and to Secretary Lew for recommending me for
this position. I have the privilege of serving as a Counselor to
Secretary Lew and could not be more excited to continue to work in this
new role, if confirmed, with the talented, professional, intelligent,
and dynamic staff of the Treasury Department.
I can't tell you how meaningful it is to have my parents, Michael
and Liz, here with me today. And I'd like to recognize my brother,
Jonathan, who is at home in Chicago. Their encouragement empowered me
as I began what I thought would be a brief adventure as Senate staffer
in DC. Almost a decade later, it is only because of that encouragement
as well as their love and support that I have been able to serve in
what has already been the professional experience of a lifetime.
As my family and friends know, I try not to stray too far from my
Chicago roots. I strive to live by the values my parents instilled in
me. And I'm thankful they are here today.
Finally, I will always be grateful to my home state Senator, Dick
Durbin, who as Majority Whip took a chance on a young practicing lawyer
who moved to Washington without a job but with a strong desire to learn
how government really works, and he gave me the honor of being a part
of his remarkable, dedicated staff for five and a half wonderful years.
It was in that role, as part of the Leadership staff, that I spent
countless hours on the Senate Floor. I learned first-hand that the
United States Senate is a place where your word is your bond. It is a
place where strong friendships and relationships can develop, even when
you don't agree on policy, politics, or process. It is also a place
where a sense of humor can be as valuable as a sense of duty. And I
certainly tried to keep that in mind working with offices on whip
questions and conversations about Senate procedure.
I carried my Senate Floor experience with me when I joined the
White House Office of Legislative Affairs--first as Special Assistant
to the President for Legislative Affairs and later as Deputy Assistant
to the President for Legislative Affairs and Senate Liaison. Serving
President Obama and working with his team for three years was one of
the most special times in my life. Contributing to the daily work of
the country from the other side of Pennsylvania Avenue was uniquely
rewarding--and, as in the Senate, it is a place where relationships
matter.
In my role as the White House Liaison to the Senate, I built strong
ties to both Republicans and Democrats. Together, we kept open a line
of communication between the Legislative and Executive Branches--a
relationship that is essential to getting things done.
If confirmed, I would look forward to ensuring that there is an
honest dialogue between the Treasury Department and Congress. You can
count on me to be responsive and respectful, to be candid and clear,
and to do my best to accurately represent the views of the Department
of the Treasury and the Administration before this Committee and others
in Congress. And in turn, you can count on me to make sure that your
views are shared and respected within the Department of the Treasury.
Thank you again for your consideration. I look forward to
responding to your questions.
______
SENATE FINANCE COMMITTEE
STATEMENT OF INFORMATION REQUESTED
OF NOMINEE
A. BIOGRAPHICAL INFORMATION
1. Name:
Anne Elizabeth Wall
2. Position to which nominated:
Deputy Under Secretary of the Treasury \1\
---------------------------------------------------------------------------
\1\ Once confirmed, position's working title is ``Assistant
Secretary for Legislative Affairs.''
---------------------------------------------------------------------------
3. Date of nomination:
February 25, 2015
4. Address:
5. Date and place of birth:
December 25, 1976; Oak Lawn, Illinois
6. Marital status:
7. Names and ages of children:
8. Education:
Miami University (Oxford, Ohio) 1995-1999; Bachelor of Arts in
Political Science and History, awarded May 1999
DePaul University College of Law (Chicago, Illinois) 1999-2002;
Juris Doctor, awarded May 2002
9. Employment record:
U.S. Department of the Treasury (Washington, DC)
Title: Counselor to the Secretary
Dates: January 2015-present
Executive Office of the President, White House Office of
Legislative Affairs (Washington, DC)
Title: Deputy Assistant to the President and Senate Liaison,
Office of Legislative Affairs
Dates: January 2014-January 2015
Title: Special Assistant to the President, Office of Legislative
Affairs
Dates: September 2011-January 2014
United States Senate, Office of the Assistant Majority Leader
Durbin (Washington, DC)
Title: Floor Director
Dates: January 2009-September 2011
Title: Office Counsel
Dates: January 2007-September 2011
Title: Floor Assistant
Dates: January 2007-January 2009
Title: Legislative Correspondent
Dates: June 2006-January 2007
Pretzel and Stouffer (Chicago, IL)
Title: Litigation Associate
Dates: September 2004-May 2006
Cook County Circuit Court (Chicago, IL)
Title: Law Clerk to Judge Allen Goldberg
Dates: September 2002-September 2004
Title: Law Clerk to Judge Lynn Egan
Dates: June 2002-September 2002
10. Government experience (list any advisory, consultative, honorary,
or other part-time service or positions with Federal, State, or local
governments, other than those listed above):
N/A
11. Business relationships (list all positions held as an officer,
director, trustee, partner, proprietor, agent, representative, or
consultant of any corporation, company, firm, partnership, other
business enterprise, or educational or other institution):
N/A
12. Memberships (list all memberships and offices held in
professional, fraternal, scholarly, civic, business, charitable, and
other organizations):
Member, Illinois Bar (2002-present)
13. Political affiliations and activities:
a. List all public offices for which you have been a candidate.
N/A
b. List all memberships and offices held in and services
rendered to all political parties or election committees during the
last 10 years.
N/A
c. Itemize all political contributions to any individual,
campaign organization, political party, political action committee, or
similar entity of $50 or more for the past 10 years.
Political Committee Amount Contribution Date
Obama Victory Fund------$340.00----------------October 13, 2008---------
14. Honors and awards (list all scholarships, fellowships, honorary
degrees, honorary society memberships, military medals, and any other
special recognitions for outstanding service or achievement):
N/A
15. Published writings (list the titles, publishers, and dates of all
books, articles, reports, or other published materials you have
written):
N/A
16. Speeches (list all formal speeches you have delivered during the
past 5 years which are on topics relevant to the position for which you
have been nominated):
N/A
17. Qualifications (state what, in your opinion, qualifies you to
serve in the position to which you have been nominated):
From June 2006 until September 2011, I worked in the Senate for
Majority Whip Durbin in various capacities as part of his Floor
staff, where I worked with the Caucus and tracked legislation
moving through the Senate floor, including legislative efforts
involving tax, budget, small business, and other economic
policy issues. Following my 5\1/2\ years working on Capitol
Hill, I began working at the White House as a Special Assistant
to the President for Legislative Affairs and later as Deputy
Assistant to the President for Legislative Affairs and Senate
Liaison. In both of those roles, I had significant interaction
with Members of Congress and their staffs, including matters
pending before the Senate Committee on Finance and Senate
Committee on Banking, Housing, and Urban Affairs. During my
tenure in Washington, both in the Senate and in the Executive
Branch, I have focused on establishing open and honest lines of
communication between the branches of government, which is a
critical element to ensuring Congress and the Executive Branch
can address the policy challenges facing our nation.
B. FUTURE EMPLOYMENT RELATIONSHIPS
1. Will you sever all connections with your present employers,
business firms, associations, or organizations if you are confirmed by
the Senate? If not, provide details.
No (I am currently an employee of the U.S. Department of the
Treasury).
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, provide details.
No.
3. Has any person or entity made a commitment or agreement to employ
your services in any capacity after you leave government service? If
so, provide details.
No.
4. If you are confirmed by the Senate, do you expect to serve out your
full term or until the next Presidential election, whichever is
applicable? If not, explain.
Yes.
C. POTENTIAL CONFLICTS OF INTEREST
1. 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 the Treasury's
Designated Agency Ethics Official (DAEO) 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 DAEO and that has been provided
to this Committee. I am not aware of any other potential conflicts of
interest.
2. 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 the Treasury's
DAEO 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 DAEO
and that has been provided to this Committee. I am not aware of any
other potential conflicts of interest.
3. 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. Activities
performed as an employee of the Federal government need not be listed.
I have performed no such activities.
4. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items. (Provide the Committee with two copies of any trust or other
agreements.)
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of the Treasury's
DAEO 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 DAEO
and that has been provided to this Committee. I am not aware of any
other potential conflicts of interest.
5. Two copies of written opinions should be provided directly to the
Committee by the designated agency ethics officer of the agency to
which you have been nominated and by the Office of Government Ethics
concerning potential conflicts of interest or any legal impediments to
your serving in this position.
6. The following information is to be provided only by nominees to the
positions of United States Trade Representative and Deputy United
States Trade Representative:
Have you ever represented, advised, or otherwise aided a foreign
government or a foreign political organization with respect to any
international trade matter? If so, provide the name of the foreign
entity, a description of the work performed (including any work you
supervised), the time frame of the work (e.g., March to December 1995),
and the number of hours spent on the representation.
D. LEGAL AND OTHER MATTERS
1. Have you ever been the subject of a complaint or been investigated,
disciplined, or otherwise cited for a breach of ethics for
unprofessional conduct before any court, administrative agency,
professional association, disciplinary committee, or other professional
group? If so, provide details.
No.
2. Have you ever been investigated, arrested, charged, or held by any
Federal, State, or other law enforcement authority for a violation of
any Federal, State, county, or municipal law, regulation, or ordinance,
other than a minor traffic offense? If so, provide details.
In 1996, I received a citation in Oxford, Ohio (Butler County) for
underage possession of alcohol. In 1993, I received a citation in
Alsip, IL (Cook County) for underage possession of alcohol.
3. Have you ever been involved as a party in interest in any
administrative agency proceeding or civil litigation? If so, provide
details.
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, provide details.
None (other than responses provided to Part D, Question 2 above).
5. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be considered in
connection with your nomination.
N/A
E. TESTIFYING BEFORE CONGRESS
1. If you are confirmed by the Senate, 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.
2. If you are confirmed by the Senate, are you willing to provide such
information as is requested by such committees?
Yes.
______
Question Submitted for the Record to Anne Elizabeth Wall
Question Submitted by Hon. Maria Cantwell
Question. Washington state has long been as innovator in health
care. One such innovation is the invention of direct primary care
medical homes (DPC). In DPC medical homes, patients pay a single
monthly fee for all primary care services and in turn have access to
their primary care physician without co-pays, deductibles, or
coinsurance.
Section 1301(a)(3) of the Patient Protection and Affordable Care
Act (Pub. L. 111-48) allows DPC medical homes to participate in state
marketplaces in combination with qualified health plans. The Washington
state exchange currently offers a qualified health plan incorporating
DPC services.
I understand that the Internal Revenue Service (IRS) does not
permit payments to DPC medical homes as a qualified medical expense in
a Health Savings Account (HSA), due to the agency's reading of Section
213(d) of the Internal Revenue Code. I understand that Section 213(d)
disallows qualified medical expenses from secondary health plans. On
June 17, 2014, I wrote IRS Commissioner John Koskinen and requested
that the IRS provide clarification on whether the agency still contends
that DPC medical homes constitute health plans. Senator Patty Murray
and Representative Jim McDermott joined my letter.
On June 30, 2014, Commissioner Koskinen responded to my letter by
saying, among other things, that a review of what constitutes a
qualified expense under section 213(d) would be considered on the 2013-
2014 Treasury and IRS Priority Guidance Plan.
I understand that my staff has spoken with Treasury and IRS staff
in follow-up to this letter, but that the review mentioned in the
response letter is still pending.
If confirmed, will you commit to providing me and my staff timely
updates on IRS and Treasury guidance related to direct primary care
medical homes?
Answer. Yes. If confirmed, I commit to ensuring that Treasury
provides timely, substantive responses to inquiries received from
Congress, including the request described in your question.
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