    [Senate Hearing 115-389]
    [From the U.S. Government Publishing Office]

      TRANSPORTATION, HOUSING AND URBAN DEVELOPMENT, AND RELATED AGENCIES
                      APPROPRIATIONS FOR FISCAL YEAR 2018

                                  ----------

                            WEDNESDAY, APRIL 5, 2017

                                           U.S. Senate,
               Subcommittee of the Committee on Appropriations,
                                                        Washington, DC.
        The subcommittee met at 10:00 a.m., in room SD-192, Dirksen
    Senate Office Building, Hon. Susan Collins (chairman)
    presiding.
        Present: Senators Collins, Capito, Hoeven, Reed, Murphy,
    and Manchin.

                          U.S. MARITIME ADMINISTRATION

    STATEMENT OF HON. JOEL SZABAT, EXECUTIVE DIRECTOR

                 opening statement of senator susan m. collins

        Senator Collins. The committee will come to order.
        Good morning. This week marks the beginning of a month that
    is devoted to raising awareness of sexual assault and sexual
    harassment, so our hearing is particularly well-timed.
        I do want to explain that there is an exceptionally high
    number of hearings going on right now. Otherwise, I am certain,
    from conversations that I have had with committee members, that
    our attendance would be far higher because there is widespread
    concern about this issue. In addition, as you may have read,
    there is a little bit going on, the Senate floor right now, and
    that too is drawing members away.
        Today, our subcommittee is holding this hearing on the
    United States Merchant Marine Academy's response to reports of
    sexual assault and sexual harassment, an unacceptable problem
    for the academy that has existed for far too long. As a result,
    the academy's accreditation status is in jeopardy.
        The U.S. Merchant Marine Academy is a critical institution
    dedicated to ensuring that our country educates and retains
    credentialed officers in our armed services and merchant
    mariners for the maritime industry. Graduates of the academy
    are essential for our Nation's defense and, in times of war,
    are crucial to moving our troops, supplies, and equipment.
        Unfortunately, just like many other universities, service
    academies, and even, we recently learned, the U.S. gymnastics
    team, the U.S. Merchant Marine Academy (USMMA) continues to
    face challenges in addressing incidents of sexual assault and
    sexual harassment both on its campus as well as during the Sea
    Year when midshipmen are sent to train on U.S.-flagged
    commercial vessels.
        When parents send their children off to college, the last
    thing that they expect is for them to endure repugnant and at
    times criminal behavior. The last thing they expect is for
    their children to find themselves in a situation where they are
    either unable or unwilling to seek help or report their
    experience.
        Let me be clear: Sexual assault is a heinous crime that
    must be eradicated in every corner of our society, but it is
    particularly important since when parents entrust their
    children to our Nation's service academies, we bear the
    responsibility to ensure the safety of the young people
    enrolled.
        According to the most recent anonymous survey, 4 percent of
    midshipmen experienced unwanted sexual contact in the last
    academic year, but for female midshipmen, this number was
    nearly 20 percent. When you add in sexual harassment, the
    number soars to 60 percent.
        If you look at just sexual contact, unwanted sexual
    contact, this roughly translates to 27 of the 150 female
    midshipmen at the academy who experienced inappropriate sexual
    contact. Another six incidents involved male cadets, for a
    total of 33 incidents.
        And I would note that some 87 percent of cadets took this
    survey for the 2015-2016 year, so this is not a case where we
    had a survey to which very few midshipmen responded.
        Even more alarming to me is the fact that only 4 of these
    33 midshipmen felt comfortable enough to file a restricted
    report of their experience. That allows them to receive
    appropriate medical, legal, and counseling services. It is
    appalling that not 1 of the 33 felt safe enough to make an
    unrestricted report that would allow law enforcement to
    investigate. That is simply unacceptable.
        For too long, the academy passively accepted a culture
    where midshipmen who experienced sexual assault or harassment
    are either too afraid of reporting incidents or are fearful of
    retribution from their peers. A recent report comparing our
    Nation's five service academies showed that the USMMA had the
    highest rate of sexual assaults based on anonymous survey data
    and also the lowest rate of formal reports.
        The crisis at the academy was highlighted in June 2016 when
    former Transportation Secretary Foxx temporarily suspended the
    Sea Year program until he could guarantee the safety of all
    midshipmen training on commercial vessels. During the
    suspension, the department worked with the maritime industry
    and labor unions to develop a course of action to address
    sexual assault and sexual harassment, and assigned midshipmen
    to Federal vessels and provided other training opportunities to
    prevent delays in the graduation of any student.
        Just last month, the new Transportation Secretary, Elaine
    Chao, resumed the Sea Year program with specific eligibility
    criteria set by the Shipboard Climate Compliance Team. To date,
    five companies that have met these requirements are able to
    once again provide the necessary training to midshipmen on
    their vessels in a safe, zero-tolerance environment.
        Sexual assault and harassment incidents led the Middle
    States Commission on Higher Education to issue a warning to the
    academy last year that its accreditation status may be in
    jeopardy. According to the commission, the academy failed to
    meet five of its 14 standards. The assessment highlighted that
    the campus climate and incidents of sexual assault and
    harassment have been a serious and recognized problem for more
    than a decade but still have not been addressed adequately.
        The commission also noted that the academy has been slow to
    hire and retain key leadership personnel. I am particularly
    concerned that the sexual assault response coordinator who was
    making effective changes on campus is no longer with the
    academy and that position remains vacant.
        The good news today is that the current leadership at the
    academy and at MARAD have shown a willingness to provide the
    necessary training and assistance and, more important, to
    change the culture and environment at the academy.
        Victims simply must not be subjected to sexual assault and
    harassment nor face retribution for speaking up. I want to
    ensure each and every midshipman, their parents, and everyone
    associated with the academy, that this is a problem that we are
    committed to solving and absolutely must solve.
        [The statement follows:]
                 Prepared Statement of Senator Susan M. Collins
        Today, our subcommittee is holding this hearing on the United
    States Merchant Marine Academy's (USMMA or Academy) response to reports
    of sexual assault and sexual harassment, an unacceptable problem for
    the Academy that has existed for far too long. As a result, the
    Academy's accreditation status is in jeopardy.
        The U.S. Merchant Marine Academy is a critical institution
    dedicated to ensuring that our country educates and retains
    credentialed officers in our armed services and merchant mariners for
    the maritime industry. Graduates of the Academy are essential for our
    nation's defense, and in times of war are crucial to moving our troops,
    supplies, and equipment.
        Unfortunately, just like many other universities, service
    academies, and even the U.S. Gymnastics team, the USMMA continues to
    face challenges in addressing incidents of sexual assault and sexual
    harassment both on its campus as well as during the Sea Year, when
    midshipmen are sent to train on U.S. flagged commercial vessels.
        When parents send their children off to college, the last thing
    they expect is for them to endure repugnant and at times criminal
    behavior, and to find themselves unable or unwilling to seek help or
    report their experience. Let me be clear: sexual assault is a heinous
    crime that must be eradicated in every corner of our society.
        But it is particularly important since parents entrust their
    children to our nation's service academies, we bear the responsibility
    to ensure the safety of the young people enrolled.
        According to the most recent anonymous survey, 4 percent of
    midshipmen experienced unwanted sexual contact in the last academic
    year, but for female midshipmen, this number was nearly 20 percent.
    This roughly translates to 27 of the 150 female midshipmen at the
    Academy who experienced inappropriate sexual contact, and another 6
    incidents involved male cadets, for a total of 33 incidents.
        Even more alarming is the fact that only four of these 33
    midshipmen felt comfortable enough to file a restricted report of their
    experience, which allowed them to receive appropriate medical, legal,
    and counseling services. It is appalling that none of the 33 felt safe
    enough to make an unrestricted report that would allow law enforcement
    to investigate. That is simply unacceptable.
        For too long, the Academy passively accepted a culture where
    midshipmen who experience sexual assault or harassment are either too
    afraid of reporting incidents or are fearful of retribution from their
    peers. A recent report comparing our nation's five service academies
    showed that the USMMA has the highest rate of sexual assaults based on
    anonymous survey data but the lowest rate of formal reports.
        The crisis at the Academy was highlighted in June 2016, when former
    Secretary Foxx temporarily suspended the Sea Year program until he
    could guarantee the safety of all Midshipmen training on commercial
    vessels. During the suspension, the Department worked with the maritime
    industry and labor unions to develop a course of action to address
    sexual assault and sexual harassment, and assigned midshipmen to
    Federal vessels and provided other training opportunities to prevent
    delaying graduation for any student.
        Just last month, the new Transportation Secretary Chao resumed the
    Sea Year program with specific eligibility criteria set by the
    Shipboard Climate Compliance Team. To date, five companies that have
    met these requirements are able to once again provide the necessary
    training to midshipmen on their vessels in a safe, zero tolerance
    environment.
        Sexual assault and harassment incidents led the Middle States
    Commission on Higher Education to issue a warning to the Academy last
    year that its accreditation status may be in jeopardy. According to the
    Commission, the Academy failed to meet five of its 14 standards, and
    the assessment highlighted that the campus climate and incidents of
    sexual assault and harassment have been a serious and recognized
    problem for over a decade but still have not been addressed adequately.
        The Commission also noted that the Academy has been slow to hire
    and retain key leadership personnel. I am particularly concerned that
    the Sexual Assault Response Coordinator, who was making effective
    changes on campus, is no longer with the Academy, and the position
    remains vacant.
        The good news today is that current leadership at the Academy and
    at MARAD have shown a willingness to provide the necessary training and
    assistance, and more important, to change the culture and environment
    at the Academy to zero tolerance for sexual assault and sexual
    harassment. Victims must not face retribution for speaking up.
        I want to ensure the midshipmen, parents, and everyone associated
    with the Academy, that this is a problem we can solve, and absolutely
    must solve.
        I am very pleased to be joined by the ranking member, Senator Jack
    Reed. I want to welcome our panel of witnesses. We are joined today by:

      --Joel Szabat, Executive Director of the Maritime Administration
            (MARAD);
      --Rear Admiral James Helis, Superintendent of the U.S. Merchant
            Marine Academy; and
      --Calvin Scovel, Inspector General of the U.S. Department of
            Transportation.

        Let me now turn to Senator Reed for his opening remarks.

        Senator Collins. I am very pleased to be joined today by
    our ranking member, Senator Jack Reed. And I know Senator
    Manchin has been here too.
        And I want to welcome our panel of witnesses. We are joined
    today by Joel Szabat, the executive director of the Maritime
    Administration, MARAD; the Rear Admiral James Helis, the
    superintendent of the U.S. Merchant Marine Academy; and Calvin
    Scovel, the inspector general of the U.S. Department of
    Transportation.
        I am now pleased to turn to Senator Reed for his opening
    remarks.

                     OPENING STATEMENT OF SENATOR JACK REED

        Senator Reed. Thank you very much, Senator Collins, for
    calling this very important hearing. But also let me say I
    associate myself entirely with your comments. I think you
    discuss this issue with great eloquence, great clarity, and
    great emphasis, because it is critically important.
        Like any other institution of higher education, the U.S.
    Merchant Marine Academy has to have an environment that
    students feel safe, they feel that they have the ability to
    communicate with responsible officials if there is an issue,
    that they have to be protected and supported not just by their
    classmates and colleagues but by the senior leadership of the
    academy. And I believe that you have to act with a great sense
    of urgency to accomplish that mission.
        We are in a situation today where we are seeing actually
    the rate of sexual assault at the academy rising. This is clear
    based on the preliminary results of the 2016 survey where
    nearly 20 percent of female midshipmen reported experienced
    sexual assault. This is a 2 percent increase from 2014 and a 5
    percent increase from 2012.
        Addressing this problem is challenging, particularly when
    key personnel positions, as Senator Collins points out, that
    directly manage sexual assault and sexual harassment prevention
    and response are vacant, delayed by President Trump's, I
    believe, counterproductive hiring ban. This ban has held up
    hiring for critical leadership positions at the academy,
    including the sexual assault response coordinator, victim
    advocates, and the commandant of midshipmen.
        The funding is there for the hiring of these individuals,
    but the ban prevents that. The Federal Government certainly is
    not saving any money. It is just causing an awful lot of
    unnecessary, I think, harm, all the while sending a terrible
    signal to students, their parents, and the American people that
    this problem is not being taken seriously.
        Months later, a hiring exemption was granted for some of
    these positions, but another 22 critical positions remain
    vacant. You cannot run a school and ensure the safety of
    students and provide the quality education these students
    deserve without the faculty and staff to support operations.
        The hiring freeze does not apply to the other service
    academies, and it should not apply to the Merchant Marine
    Academy. I do not think there should be any hiring freeze at
    all and particularly in these critical positions.
        I recognize that the Merchant Marine Academy is not the
    only institution facing the challenge of sexual harassment and
    assault. Colleges across America are struggling to address this
    problem. It is not unique to the Merchant Marine Academy.
    However, as one of the Federal Government's service academies,
    we should expect the Merchant Marine Academy to be a model for
    institutions of higher learning around the country.
        To get there, we must demand accountability, provide
    sufficient funding, and learn from what has been successful
    elsewhere.
        At the other military service academies, victims are
    immediately provided legal counsel. Does the policy make sense
    at the Merchant Marine Academy? That is an issue I think we
    would like to explore today. What would we need to do to
    implement this policy?
        Because the Merchant Marine Academy's unique Sea Year
    program takes students across the globe, we need to make sure
    that the roles and responsibilities of investigation of sexual
    assault cases overseas are clearly understood by the
    investigating agencies, the shipboard operators, the
    midshipmen, and the academy itself. Based on the briefings we
    have had so far, I am not confident that this is the case. In
    fact, my concern is that we are sending young people onto ships
    that are not prepared to accept them, nor do they understand
    what their options are when they are aboard those ships. And
    that is a failure, ultimately, of leadership.
        Finally, I would like to address concerns over reprisal and
    retribution, which is the key problem that keeps too many
    students from coming forward. In order for students to feel
    comfortable reporting incidents of sexual assault and
    harassment, a culture totally intolerant of reprisal is
    required.
        I understand the Merchant Marine Academy does not fall
    under the Uniform Code of Military Justice, which treats acts
    of retribution as a criminal offense, but students in the
    industry need to stand up for the victims, not blame them.
    Swift action must be taken against those that hold such an
    attitude.
        These are just a few of the many concerns that I have about
    the work that remains to be done. If resources are needed, now
    is the time to let us know. I fully realize that this is an
    issue that cannot be solved with any one remedy or policy. It
    will take a concerted effort and multifaceted approach from the
    top down.
        I look forward to hearing from our witnesses about their
    plans and ideas.
        Thank you, Madam Chairwoman.
        Senator Collins. Thank you very much, Senator Reed.
        Senator Manchin, would you like to make any opening
    comments?

                        STATEMENT OF SENATOR JOE MANCHIN

        Senator Manchin. Madam Chairman, thank you for holding
    this. I think it is extremely important.
        I want to thank our witnesses for the testimony they are
    going to be providing today for us. I do not need to remind
    them there is no place for sexual assault anywhere in our
    society, let alone in our United States Merchant Marine Academy
    or any of the other academies.
        As someone like all of us who nominates young men and women
    to the academy each year, I am outraged, truly outraged, by
    these reports. I think we all should be ashamed of them.
        I want to make sure that you are all aware that everyone
    that basically sits on this committee takes this issue
    extremely seriously, and we are waiting to hear your report,
    and then we will have questions following.
        Thank you.
        Senator Collins. Thank you very much.
        We will now start with our witnesses, and we are going to
    begin with Mr. Szabat.

                      SUMMARY STATEMENT OF HON. JOE SZABAT

        Mr. Szabat. Good morning, Chairwoman Collins, Ranking
    Member Reed, Senator Manchin. Thank you for the opportunity to
    discuss the United States Merchant Marine Academy at Kings
    Point today. The academy is one of the five Federal service
    academies and America's flagship school to educate and license
    merchant mariners under a 4-year maritime-focused academic and
    technical program.
        The Maritime Administration and the Department of
    Transportation are giving the academy our wholehearted support
    to address the problem of sexual violence and coercive
    behaviors. These are our people being victimized. We look after
    our people. We have no higher priority.
        Superintendent Helis will discuss the actions being taken
    by the academy to address these issues. My focus will be on the
    actions MARAD and the maritime industry are taking to address
    unacceptable behaviors at sea.
        While at school, midshipmen spend a full year, half of
    their second and third years, at the academy, training at sea.
    Most of this training is done aboard commercial vessels. We
    call this training Sea Year.
        Post-graduation, Kings Pointers have a 5-year service
    obligation aboard those same companies' same vessels, either in
    the military or, for most of them, to work as licensed mariners
    on board those commercial vessels. These Kings Pointers are the
    core of the civilian mariners our Nation relies on to meet the
    military sealift requirements whenever our warfighters are
    deployed overseas.
        In 2009, the Government Accountability Office reported a
    multitude of USMMA budget and management problems at Kings
    Point. This led Congress to impose restrictions on the
    academy's budget and led DOT and MARAD to impose other
    management controls.
        Three different superintendents worked to fix these
    problems between 2008 and 2011, but it was not until
    Superintendent James Helis arrived in 2012 that the campus
    successfully addressed its management issues. In 2014, the
    Government Accountability Office (GAO) reported that the
    academy had successfully addressed all 47 of the management
    shortcomings identified in 2009.
        In June 2016, the Middle States Commission on Higher
    Education said that the restrictions imposed in 2009 were
    incompatible with the mission of an independent academic
    institution. The commission called for the academy's
    authorities to be reinstated as a condition of accreditation.
        As the chairwoman noted, included in the Middle States
    accreditation warning were more troubling reports of incidents
    of sexual assault and sexual harassment at the academy. Similar
    reports of inappropriate behaviors from other surveys and
    sources on campus and at sea during the academy's signature Sea
    Year training program prompted former Transportation Secretary
    Foxx to temporarily suspend Sea Year.
        During the stand-down, Secretary Foxx ordered a cultural
    audit to assess the links between those unacceptable behaviors
    on campus and at sea. Within 2 weeks of the stand-down, a
    consortium of 14 maritime leaders came to MARAD with a proposal
    to address sexual assault and sexual harassment at sea. MARAD
    created a Shipboard Climate Compliance Team that turned the
    initial industry proposals into required criteria for companies
    to meet to ensure the safety of our midshipmen.
        In January, the Secretary approved the consultants'
    recommendation to establish Sea Year eligibility criteria for
    each company to meet. In February, MARAD's team finalized the
    requirements and criteria. These far-reaching criteria include
    zero-tolerance for sexual assault and sexual harassment related
    conduct aboard ships. It provides prevention training for crews
    and vetted mentors for midshipmen. We set forth a clear and
    detailed enforcement protocol for reporting and tracking of
    incidents.
        As of today, 5 companies have met the new criteria and are
    once again safely hosting midshipmen aboard their vessels.
    Other companies have applied. When they finish meeting the
    criteria, they will represent 84 percent of the commercial Sea
    Year's training capacity prior to the stand-down.
        We will do more. By this summer, we will roll out with
    industry best practices for anti-coercive behavior training.
    The same industry organization will also provide standardized
    computer-based training for the entire maritime industry. This
    summer and annually thereafter, we will review the effects of
    the actions we have taken and make improvements as appropriate.
        The leadership at MARAD, at the academy, on our SCCT team,
    and among our partners in industry and labor are determined to
    eliminate coercive behaviors, including sexual assault on
    campus and at sea. Even one incident is one too many.
        We appreciate the support the subcommittee has continued to
    provide as reiterated in the March 21st letter from the
    chairwoman and the ranking member to Secretary Chao. We look
    forward to working with you to ensure the academy's progress.
        I ask that my full written statement be entered into the
    record. I look forward to answering any questions you may have.
        [The statement follows:]
                     Prepared Statement of Hon. Joel Szabat
        Good morning, Chairman Collins, Ranking Member Reed and members of
    the Subcommittee. Thank you for the opportunity to discuss the United
    States Merchant Marine Academy (Academy or USMMA).
        The Academy is America's flagship school for educating licensed
    merchant mariners capable of serving our nation in peace and war. The
    USMMA is operated by the U.S. Department of Transportation (DOT) and
    managed by the Maritime Administration (MARAD). It offers a four- year
    maritime-focused program, centered on rigorous academic and practical
    technical training that leads to a Bachelor of Science degree, a United
    States Coast Guard (USCG) merchant mariner credential with an unlimited
    tonnage or horsepower officer endorsement, and, upon application and
    acceptance, a commission as an officer in the Armed Forces or uniformed
    services (National Oceanographic and Atmospheric Administration (NOAA)
    Corps or the Public Health Service (PHS) Corps) of the United States.
    USMMA graduates incur an obligation to serve 5 years as a merchant
    marine officer aboard U.S. documented vessels or on active-duty with
    the U.S. Armed Forces or uniformed services. In addition, they must
    serve as a commissioned officer in a reserve unit of the U.S. Armed
    Services for 8 years. In 2017, 176 Midshipmen are expected to graduate
    from the Academy.
        DOT, MARAD, and the USMMA take sexual assault and sexual harassment
    at the Academy very seriously. We adopted the same standardized
    approach to this problem as other Federal service academies. As best
    and as fast as we can, we are introducing policies to change the
    behavior and culture at the Academy to combat all kinds of abusive or
    coercive behaviors. This testimony discusses the actions MARAD has
    taken in conjunction with maritime industry, while the testimony from
    Superintendent Helis will discuss actions taken to combat sexual
    assault and harassment on the USMMA campus.
                                    sea year
        The USMMA's shipboard training program, or ``Sea Year,'' exposes
    Midshipmen to life at sea on board commercial and military vessels and
    provides cost-effective hands-on seamanship and engineering sea time
    that meets the requirements to secure USCG mariner credentials.
    Midshipmen are required to have 360 days of sea service during their
    four-year maritime education to obtain their USCG merchant mariner
    credentials. Shipping companies and the U.S. Navy are part of a
    cooperative effort to ensure that a Midshipman's shore based education
    is enhanced by the required on-the-job training at sea.
        Sea Year is critical to the education and training of Midshipmen at
    the USMMA, and all training must be conducted in a safe and respectful
    environment. In the wake of a series of reports that indicated problems
    with sexual misconduct and other coercive behaviors, both on campus and
    at sea, DOT and MARAD leadership suspended commercial Sea Year so we
    could develop a better understanding of the problem and a strategy to
    ensure the safety of the Midshipmen. An independent external consultant
    assessed the organization and made recommendations in December 2016.\1\
    ---------------------------------------------------------------------------
        \1\ Logistics Management Institute (LMI). December 2016.
    ``Department of Transportation U.S. Merchant Marine Academy Culture
    Audit.'' Available at: https://www.usmma.edu/sites/usmma.edu/files/
    docs/USMMAReport%20508.pdf
    ---------------------------------------------------------------------------
        Last year, Secretary Foxx's decision to stand down commercial sea
    year over concerns about Midshipmen being subjected to sexual
    misconduct stirred vocal disagreement from industry leaders. Those same
    leaders, including many USMMA alumni, worked with MARAD through an
    extended stand down of Sea Year while the cultural audit was conducted.
    A consortium of 14 leading maritime companies came together with MARAD
    to examine ways to ensure that Sea Year training is conducted in a safe
    and respectful environment. Just two weeks after the stand down, the
    consortium brought forth a proposal to address sexual assault and
    harassment prevention and response. MARAD and DOT subsequently created
    the Shipboard Climate Compliance Team (SCCT) to establish standards and
    collaborate with industry, labor and the consortium, and lay out
    workable criteria for the companies to achieve those standards. The
    SCCT is led by a MARAD Senior Executive Service leader, who is a USMMA
    graduate. The team is made up of 10 experienced mariners (four of whom
    are female), and sexual harassment and sexual assault and civil rights
    experts. Working with industry and labor partners, and with assistance
    from a subject matter expert, the SCCT has established stringent new
    requirements that companies must meet to be eligible to participate in
    Sea Year training. Because of the strong working relationship between
    MARAD and these maritime leaders, five companies today are already
    meeting new standards for sea year eligibility and have Midshipmen
    currently, or preparing to, sail aboard their companies' vessels.

    MARAD's ``Sea Year Eligibility'' criteria include the following:

        Company-Wide Zero Tolerance Message--Shipping company CEOs will
    issue an annual company-wide message outlining specific rules for the
    workplace, strongly stating that sexual assault and sexual harassment,
    including any retaliation based on a complaint, are unacceptable, and
    committing the company to eradicate such behavior and enforcing a zero-
    tolerance policy.
        Annual Sexual Assault and Sexual Harassment Prevention Training
    Requirement for Crew--Annual sexual assault and harassment prevention
    training will ensure that crewmembers clearly understand what
    constitutes sexual assault and sexual harassment, its negative impact,
    the importance of prevention, and the severe penalties for engaging in
    prohibited behavior or for failing to report an incident. All
    crewmembers will clearly understand their responsibility as
    supervisors, employees, witnesses, and bystanders. Crewmembers must
    complete this training prior to Midshipmen arriving on board, or within
    72 hours of signing-on, if Midshipmen are already onboard the vessel.
        Mentors with Enhanced Selection Criteria and Duties--Mentors for
    each ship play a crucial role in the success and development of cadets.
    Per enhanced mentor qualifications, a mentor must certify that he/she
    does not have any pending complaints or history of violations of any
    other company's Sexual Assault Sexual Harassment policies. The mentor
    must be of good character, and know, support, and advocate for the
    company's sexual assault sexual harassment prevention and response
    policies. Mentor duties include:

      --Helping Midshipmen understand company shipboard policies and
            procedures, and their roles and responsibilities aboard the
            ship;
      --Serving as a resource for Midshipmen while onboard;
      --Being readily available to Midshipmen and seeking to understand
            each individual's concerns about their vessel assignment;
      --Guiding the Midshipmen in understanding shipboard protocol, sexual
            assault and harassment prevention and response policies, and
            expected code of conduct;
      --Supporting Midshipmen once they join the crew and helping them
            transition from their academic learning environment to the
            professional shipboard setting;
      --Encouraging the development of a well-rounded mariner;
      --Referring Midshipmen to other resources as needed, such as other
            crewmembers aboard the vessel, company employees, or Academy
            personnel; and
      --Participating in prescribed sexual assault and harassment
            prevention and anti- discrimination training and serving as a
            reporting mechanism for complaints of sexual misconduct.

        Verify Annual Sexual Assault and Sexual Assault Prevention and
    Response Training--Each company will provide MARAD documents describing
    company-specific training protocols; the company's anti-discrimination,
    harassment, retaliation and sexual misconduct policies, including
    complaint reporting policies and procedures; a description of the
    company's investigation process and enforcement procedures; and, a
    mechanism for verifying their understanding of the issue.
        Zero-Tolerance Policy Regarding Romantic or Sexual Relationships--
    Companies will actively support the USMMA Sea Year Conduct policy for
    Midshipmen, which prohibits romantic or sexual relationships between
    Midshipmen and crewmembers, and the consumption of alcohol by
    Midshipmen under 21 years old. Companies will immediately report known
    Midshipmen violations to the USMMA. A violation of the USMMA Sea Year
    policy may result in counseling or punishment pursuant to the
    Midshipmen Regulations.
        MARAD Will Maintain a Record of all Relevant Company Policies--
    Companies will submit all relevant policies and documentation to MARAD,
    and MARAD will verify compliance annually. Required documentation
    includes, but is not limited to, sexual assault and harassment
    prevention and response policies; a description of company's complaint
    reporting process and procedures; policies related to confidentiality,
    enforcement, and retaliation and investigation procedures; and, the
    location of sexual misconduct prevention policies onboard the vessel.
        Company Debrief--Currently, both Midshipmen and the Vessel Masters
    evaluating them provide a report to the USMMA upon completion of an
    individual's Sea Year training. In addition to these reports, the new
    criteria require the company to provide the Academy a sexual assault
    and sexual harassment debrief at the completion of the Midshipmen's Sea
    Year time with the company. The debrief provides the company an
    opportunity to specifically addresses issues and note any concern or
    need for improvements.
        The requirements outlined above will be reviewed starting 6 months
    after MARAD initially certifies a company to participate in Sea Year,
    and annually thereafter. In addition, the SCCT has developed and is
    implementing a company-by-company review process to recommend
    eligibility for carrying USMMA Midshipmen aboard their commercial ship.
    The SCCT will review documents provided by carriers to ensure
    compliance with the criteria. Once that process is complete, the USMMA
    Superintendent may issue an eligibility letter. MARAD Headquarters will
    coordinate with USMMA to board vessels and visit companies to conduct
    Shipboard Climate Compliance Team (SCCT) audits. The audit priority
    will be driven by review of company documentation that pertain to
    sexual misconduct. Additional feedback from the companies will be
    provided in accordance with the SCCT requirements. This is in addition
    to current reporting from the Midshipmen to the USMMA Department of
    Shipboard Training Academy Training Representative Midshipman
    Assignment Report, which provides feedback from the cadet about the
    company and sea year experience. Each of these reports and
    opportunities for feedback will specifically addresses sexual
    harassment and sexual assault. The audit team will consist of one to
    two MARAD representatives.
        At present, five companies have met compliance requirements and
    resumed hosting Midshipmen on their vessels. MARAD is also reviewing
    the packages of several other companies which have applied to meet the
    Sea Year requirements. Collectively, the companies that have been
    approved, or are applying, represent 84 percent of the commercial Sea
    Year training provided before the suspension.
                                 accreditation
        Actions to improve sexual assault and sexual harassment prevention
    and response at the Academy also address concerns raised during the
    Academy's reaccreditation. In June 2016, the Middle States Commission
    on Higher Education (MSCHE) placed the Academy's accreditation in
    warning status because it found that the Academy was not meeting five
    of MSCHE's fourteen standards of accreditation. Of the five standards,
    one pertains to improving sexual misconduct response and prevention and
    four are related to independent governance at the Academy and returning
    budget and management authorities to the USMMA as a condition of
    accreditation.
        In 2009, the Government Accountability Office (GAO) issued a report
    that described certain USMMA budget and management problems, which led
    Congress to require DOT and MARAD to provide additional oversight of
    the Academy's budget. The USMMA had three Superintendents from 2008 to
    2011 trying to fix these problems. Rear Admiral James Helis became
    Superintendent in 2012 and brought stability and resolution. By 2014,
    the GAO reported to Congress that the USMMA had addressed all 47 of the
    management shortcomings that GAO identified in 2009. Returning budget
    and management authorities to the USMMA addresses accreditation
    concerns and recognizes the tremendous accomplishments by
    Superintendent Helis and his leadership team.
        The Academy remains accredited while we work with MSCHE to address
    their requirements and recommendations, and we are making good
    progress. As recommended by MSCHE, DOT requested relief from
    legislation that constrains the Academy's budget. Thanks to the actions
    of this Subcommittee, one of the two constraints has already been
    lifted. MARAD and the Academy are currently working to fill key
    positions and to return direct reporting authority for human resources,
    financial management and procurement back to the Academy. Finally, as
    noted above, DOT and MARAD are supporting the Academy's efforts to
    ensure the safety of its Midshipmen by improving sexual assault and
    sexual harassment response and prevention on campus and during Sea
    Year. The Academy has 2 years to return to full compliance, and we are
    confident that we will meet that goal and ensure the highest caliber
    education for the Academy's Midshipmen.
                              academy improvements
        Between fiscal year 2010 and fiscal year 2016, $102.1 million has
    been appropriated for the Capital Asset Improvement Program (CIP). The
    USMMA has fully renovated all six student dormitories, as well as the
    campus dining facility, and security enhancements have been made to
    provide safe living and learning spaces for Midshipmen. We have
    replaced the main pier and severely damaged sections of the seawall.
    These improvements restored structural integrity and enhanced safety,
    providing a modern platform for instructional, competitive and
    recreational waterfront activities. Additionally, all phases of the
    water main replacement are now complete, as are phase two of the survey
    and design of the electric grid and power supply improvements. This is
    a three-phase project for all buildings on campus that will increase
    reliability, improve energy efficiency, and reduce utility costs.
        The process to renovate the four main academic buildings has begun,
    which will improve the Midshipman learning experience. A generous
    alumni donation has allowed improvements on lower Roosevelt Field.
    Additionally, renovation of Zero Deck is currently underway and
    scheduled for completion in May 2017. When completed this project will
    provide roughly 90,000 square feet of below-grade basement level space
    that connects all six barracks and Delano Hall, to allow a safe and
    secure environment when traveling between these locations.
        DOT and MARAD are committed to the continued success of the Academy
    and we intend to build upon the improvements that have been made in
    recent years. We appreciate the support this Subcommittee has provided
    and look forward to working with you to ensure the Academy's progress.
        Thank you for your interest, and I am happy to answer any questions
    you may have.

        Senator Collins. Without objection, your full statement
    will be put in the record, as will those of the other
    witnesses. Thank you.
        Admiral Helis.
    STATEMENT OF REAR ADMIRAL JAMES HELIS, SUPERINTENDENT,
                U.S. MERCHANT MARINE ACADEMY
        Admiral Helis. Good morning, Chairman Collins, Ranking
    Member Reed, and members of the subcommittee. Thank you for the
    opportunity to testify on the prevention of sexual assault and
    sexual harassment at the United States Merchant Marine Academy.
        Executive director Szabat has covered some basics about the
    academy and its mission to educate and graduate licensed
    merchant mariners and leaders of exemplary character to serve
    our Nation's marine transportation and national security needs.
        I would add that the academy attracts quality young men and
    women who meet rigorous admission standards. They demonstrate
    superior character and leadership qualities to complement a
    strong academic record. In recent years, the quality and
    diversity of incoming classes have improved considerably, which
    feeds into our efforts to build a healthy and respectful campus
    culture.
        It is an important dynamic that supports my top strategic
    priorities for the academy, which are to prevent sexual assault
    and sexual harassment and other coercive behaviors on campus
    and during Sea Year training, to conclude reaccreditation by
    the Middle States Commission on Higher Education, to continue
    modernizing and renovating campus infrastructure and
    facilities, and to strengthen midshipmen leadership
    development. I will focus my testimony today on sexual assault
    and harassment prevention and reaccreditation.
        Sexual assault and sexual harassment are unacceptable
    behaviors at any institution of higher education, especially
    one committed to developing our Nation's future leaders. To
    that end, we have taken a number of aggressive steps since 2012
    to address the problem.
        In fiscal year 2012, the academy hired its first sexual
    assault response coordinator and established a 24/7 victim
    hotline. The academy also works closely with the local victim
    advocacy agency to provide another confidential reporting
    option. We have beefed up mandatory training for faculty,
    staff, and midshipmen on sexual assault, sexual harassment,
    dating violence, stalking, and bystander intervention. We have
    also implemented recommendations made by the Department of
    Transportation inspector general in fiscal years 2013 and 2014
    after a thorough evaluation of the academy's sexual assault
    prevention and response program. In addition, a campus cultural
    study commissioned by the Department of Transportation in 2016
    generated more valuable recommendations that are also being
    implemented. The Defense Manpower Data Center continues to
    administer gender relations surveys and conduct focus groups
    across campus. While we have made progress in increasing
    midshipmen awareness and understanding of sexual assault and
    sexual harassment, we are extremely disappointed that the
    surveys show we are not seeing a decrease in the number of
    incidents.
        In 2016, we redoubled our efforts by recognizing that the
    core issue is the culture of the academy in providing a safe
    learning environment which values and respects every midshipman
    and allows them to develop into exemplary leaders.
    Additionally, this past fall, we created a sexual assault
    prevention and response office, and we are hiring two victim
    advocate educators and a Sea Year coordinator, in addition to
    the sexual assault response coordinator, to plan and execute
    training for victim services and prevention.
        A special team of staff, faculty, and midshipmen
    participated in the cultural change conference hosted by the
    U.S. Air Force Academy in February 2017 and are now drafting a
    comprehensive campaign plan to transform the academy's culture.
    Another committee is working to overhaul all Sea Year policies
    and training.
        Other actions this past year include vetting maritime
    companies through MARAD Shipboard Climate Compliance Team to
    enact standards to prevent sexual assault and sexual harassment
    from occurring at sea.
        All of our efforts are focused on building a community with
    zero-tolerance for sexual assault and sexual harassment,
    retaliation, bullying, hazing, coercion, victim-blaming, and
    alcohol misuse and abuse. We know that our leadership, staff,
    faculty, and midshipmen must all work together to eliminate
    these behaviors and hold those who violate academy standards
    accountable.
        I have a very personal stake in this problem as my own
    experience in assisting victims of sexual assaults dates back
    to the 1990s during my time in service in the Army as a
    battalion commander. I know firsthand from working with victims
    the lifelong harm these crimes inflict. It undermines unit
    readiness and cohesion, and hurts our ability to accomplish our
    mission.
        As a Federal service academy, USMMA should be setting an
    example for eliminating sexual assault and sexual harassment.
    Anything less is a failure on our part.
        The work we have done to improve sexual assault prevention
    and response also addresses one requirement the academy must
    meet for reaccreditation. In June 2016, the Middle States
    Commission on Higher Education placed the academy on a warning
    status for not meeting 5 of their 14 standards of
    accreditation. As detailed in my written testimony, the academy
    is taking actions to correct the deficiencies identified by
    Middle States and submitted a required report on our progress
    to Middle States on March 1. The academy remains accredited as
    we work to address the recommendations made by Middle States,
    and we anticipate their final report in July.
        Thank you for inviting me to testify today. I appreciate
    your interest and continued support for the academy and will be
    happy to answer any questions you might have.
        Thank you.
        [The statement follows:]
                 Prepared Statement of Rear Admiral James Helis
        Good morning, Chairman Collins, Ranking Member Reed and members of
    the Subcommittee. Thank you for the invitation to testify on the state
    of the United States Merchant Marine Academy (USMMA or Academy).
        The mission of the Academy is to educate and graduate licensed
    merchant mariners and leaders of exemplary character who will serve
    America's marine transportation and defense needs in peace and war.
    Each year the Academy graduates highly-qualified U.S Coast Guard (USCG)
    credentialed mariners committed to serving the Nation as officers in
    the Armed Forces and the Merchant Marine.
        The Academy provides a comprehensive four-year leadership
    development experience. All graduating Midshipmen will receive a
    Bachelor of Science degree, a USCG-issued Merchant Marine officer's
    license, and a commission in an Active or Reserve Component of one of
    the Armed Forces. They can meet their service obligation in one of two
    ways: twenty to twenty- 5 percent will choose to serve 5 years on
    Active Duty as an officer in any branch of the Armed Forces, while the
    remaining majority of the class will sail for 5 years as a Merchant
    Marine officer on US-flagged commercial ships or with a Federal agency,
    which can include the Military Sealift Command or the National
    Oceanographic and Atmospheric Administration.
        The Academy's mission begins with the men and women who pass
    through its gates in late June to begin their four-year journey. The
    Academy has a highly competitive and selective admissions process.
    Candidates must have a strong academic record and demonstrate superior
    character and leadership potential through their participation in co-
    curricular activities, athletics, and community service. They must meet
    rigorous medical and physical fitness qualifications for military
    service. And they must receive a nomination from a Member of Congress
    or qualify for one of fifty direct appointments by the Secretary of
    Transportation by demonstrating qualities deemed to be of special value
    to the Academy.
        I believe that enhancing the diversity of the Regiment of
    Midshipmen will strengthen our efforts to improving the campus culture,
    which in turn is critical to eliminating sexual assault, sexual
    harassment, and other coercive and unacceptable behaviors. Over the
    past 6 years the quality and diversity of the incoming classes has
    improved considerably. Comparing the classes of 2014 and 2020, the most
    recently admitted, we saw the mean score on the Scholastic Aptitude
    Test (SAT) improve from 1215 to 1280. The percentage of women admitted
    rose from 12.9 percent to 19.7 percent. Admission of individuals who
    represent racial minorities similarly rose from 15.2 percent to 24
    percent. Other indicators of the quality of our incoming candidates
    include class rank and grade point average, as well as candidates who
    have held key leadership positions in student government, athletics,
    and co-curricular and community activities. We are pleased with the
    progress we are making and expect to see continued improvements in the
    quality and diversity of future classes.
        My top strategic priorities for the Academy are preventing sexual
    assault and sexual harassment and other coercive behaviors,
    reaccreditation by the Middle States Commission on Higher Education
    (MSCHE), continuing our work to modernize and renovate campus
    infrastructure and facilities, and strengthening Midshipmen leadership
    development. I will focus my testimony today on sexual assault and
    harassment prevention and reaccreditation.
        Sexual assault and sexual harassment are unacceptable behaviors
    that have no place at any institution of higher education, especially
    one committed to developing our Nation's future leaders. I am committed
    to the elimination of sexual assault and harassment on our campus and,
    until we reach that goal, improving the environment at the Academy so
    that victims are comfortable reporting all incidents and confident that
    Academy personnel will respond appropriately to reported incidents. The
    steps we have taken since 2012 to address sexual assault and harassment
    are included in our annual reports to Congress. We welcomed an
    evaluation of our programs by the Department of Transportation's (DOT)
    Inspector General in fiscal year 2013 and fiscal year 2014, which
    provided another set of eyes on our programs and useful recommendations
    which we have implemented. In addition, the National Defense
    Authorization Act for fiscal year 2017, Public Law 114-328, requires
    the DOT Inspector General to report, by March 31, 2018, on the
    effectiveness of the sexual assault and sexual harassment prevention
    and response program (SAPR) at the Academy. The Defense Manpower Data
    Center (DMDC) continues to administer the Service Academy Gender
    Relations (SAGR) Survey in even numbered years, and conducts focus
    groups with Midshipmen, staff and faculty in odd-numbered years as they
    do for the other four Federal Service Academies. Additionally, the
    results of the study commissioned by the Department of Transportation
    in 2016 on the Academy culture have been reviewed, and we are
    incorporating the suggestions across campus.
        I am personally committed to solving this problem. My experience in
    assisting victims of sexual assault dates back to the 1990s when I
    served in the Army as a battalion commander. I know from working
    firsthand with victims the immeasurable, lifelong harm these crimes
    inflict, and how they undermine unit readiness and cohesion. Sexual
    assault and harassment are fundamentally at odds with our values as a
    Nation--values that we are obligated as leaders to live by, model, and
    expand on. They undermine our ability to accomplish our mission. The
    USMMA, a Federal service academy, should be setting the example for the
    Nation in eliminating sexual assault and sexual harassment. Anything
    less is a failure on our part.
        At the Academy, we established a multi-disciplinary Sexual Assault
    Review Board (SARB), which meets monthly, to provide executive
    oversight and procedural guidance for the SAPR program by reviewing
    ways to improve processes, system accountability and victim access to
    quality services. The SARB has implemented standard operating
    procedures for Investigating an Unrestricted Report of Sexual Assault
    and Processing a Restricted (confidential) Report of Sexual Assault,
    and Maintenance of Restricted and Unrestricted Reports.
        In fiscal year 2012, USMMA hired its first Sexual Assault Response
    Coordinator (SARC). The SARC resides at the Academy, and is available
    to Midshipmen 24/7 through a victim hotline. Victims are provided with
    information and referrals, and assistance in obtaining any necessary
    medical or mental health treatment at the Academy or at an appropriate
    facility in the local community and/or victim advocacy agency. Victims
    have access to confidential (restricted) reporting through the SARC,
    Health Clinic counseling staff, the Chaplain and a small number of
    specially trained staff and faculty victim advocates. The Academy works
    closely with the local victim advocacy agency to provide an additional
    confidential reporting option. A victim may also make an unrestricted
    report, which will result in the initiation of a criminal and
    administrative investigation.
        The SARC, working with the Superintendent, Commandant and Dean of
    Academics, has significantly improved training across the Academy aimed
    at the prevention of sexual assault and sexual harassment. Faculty and
    staff receive mandatory training annually. Incoming Midshipmen receive
    mandatory training in the first three weeks in small group settings
    (20-25 midshipmen per training) covering the topics of sexual assault,
    sexual harassment, dating violence, stalking, and bystander
    intervention. Beginning with the Class of 2019, we increased training
    to three hours from the one hour that previous classes received. The
    SARC and Commandant continue to provide quarterly training throughout
    each Midshipman's academic career in both small and large group
    settings. The SARC and the Department of Professional Development and
    Career Services provide special training sessions prior to departure
    for Sea Year (sophomores spend 4 months at sea and juniors spend 8
    months at sea). Training focuses on where to seek help or assistance
    (captain, designated person ashore, SARC's 24/7 hotline), situational
    awareness, risk reduction, and bystander intervention. In 2016, the
    Academy adopted the Green Dot Bystander Intervention Program, which
    teaches students to identify volatile situations in which there could
    be the possibility of sexual violence and to defuse those situations
    through diversion or distraction. In addition, the SARB recently
    decided to increase our training on sexual assault and proper conduct
    for Midshipmen prior to their departure for sea training this summer.
        Our survey results since 2012 indicate that Midshipmen have much
    better awareness and understanding of sexual assault and sexual
    harassment, and appreciate the commitment of everyone from the
    Secretary of Transportation through MARAD, the Academy's senior
    leadership, and Midshipmen Regimental officers to eliminate this
    scourge from the Academy. We are extremely disappointed that we are not
    seeing a decrease in incidents in the survey results. In 2016, we
    redoubled our efforts to address this problem.
        As a first step, we began drilling down into the available data and
    feedback from the Advisory Board and our own conversations with
    Midshipmen. It became clear to me that we needed to more closely
    examine the Sea Year and its potential effects, as that is the
    component of our program that sets USMMA apart from the other Federal
    service academies. MSCHE affirmed this concern in their report last
    year, highlighting a need for the USMMA to address the issues of sexual
    assault and harassment at sea and on campus. After further analysis and
    discussion among the senior leadership at USMMA, MARAD, and DOT, as
    MARAD Executive Director Joel Szabat discussed in his testimony, former
    Secretary Foxx decided to stand down sea year training until procedures
    were in place to better assure a safe climate for our Midshipmen. The
    combined efforts of USMMA, MARAD, DOT, and industry and labor resulted
    in the certification process described by Mr. Szabat, which we have now
    implemented.
        In addition to the sea year stand down, Secretary Foxx directed a
    deep dive into USMMA culture to identify other factors that could be
    contributing to our challenges with sexual assault and harassment and
    other unacceptable behaviors. The study has provided useful analysis
    that will inform our way forward.
        While we have implemented policies and programs based on best
    practices adopted in the military and higher education, we have not
    seen the results we desire or expect. The core issue we must address--
    that we are now addressing--is the very culture of USMMA. We must take
    actions to transform the USMMA culture such that every Midshipman is
    respected, valued, and can develop to her or his fullest potential to
    serve the Nation as a leader of exemplary character. The entire USMMA
    community must have zero tolerance for sexual assault and sexual
    harassment, retaliation, bullying, hazing, coercion, victim blaming,
    and alcohol misuse/abuse. Leadership, staff, faculty, and Midshipmen
    must all unite to eliminate this behavior and support victims, and hold
    those who violate Academy core values and standards accountable for
    their actions, when incidents take place.
        In the fall of 2016, we determined that the work related to
    managing USMMA's sexual assault prevention and response program had
    become more than one individual could reasonably handle. Accordingly,
    we created a Sexual Assault Prevention and Response Office (SAPRO) and
    are converting the SARC position, which became vacant in December 2016,
    to a SAPRO director. We are hiring two Victim Advocate-Educators who
    will assist the SAPRO director in planning and executing training and
    providing victim services. We have also added a sea year coordinator to
    the SAPRO.
        Additional steps we have taken over the past 6 months include a
    reintegration program for Midshipmen when they return from sea and the
    addition of mandatory online interactive sexual assault and alcohol
    abuse prevention training. A special team made up of staff, faculty,
    and Midshipmen participated in a cultural change conference at the US
    Air Force Academy in February 2017 and are now drafting a comprehensive
    campaign plan to transform USMMA culture. The Deputy Superintendent led
    an effort which has produced a comprehensive and integrated Sexual
    Assault Prevention and Response Framework. A committee also has begun
    work to overhaul sea year policies and all training in preparation for
    sea year.
        In addition to the efforts to improve the Sea Year training
    experience, the USMMA has developed a comprehensive plan to reduce
    sexual assault and sexual harassment on campus. The USMMA Sexual
    Assault Prevention and Response (SAPR) Program has significantly
    improved training across the Academy aimed at the prevention of sexual
    assault and sexual harassment, including online prevention training,
    case studies, videos, social media, professional speakers and small
    groups. Actions taken by the USMMA have included installation of new
    emergency call boxes and security cameras, improvement of the security
    guard force, implementation of a 24/7 hotline for reporting
    inappropriate behaviors, and victim assistance in obtaining medical or
    mental health treatment. Efforts will continue to improve upon the SAPR
    Program as the USMMA implements recommendations from the cultural audit
    and responds to feedback from Midshipmen.
        The Academy's work to improve sexual assault and sexual harassment
    prevention and response addresses one of the recommendations made by
    MSCHE, which accredits the Academy's academic degrees. In June 2016,
    MSCHE placed USMMA in a warning status because USMMA was not meeting
    five of MSCHE's fourteen standards of accreditation. We are presently
    taking action to meet the requirements identified by MSCHE to be
    granted full accreditation. Actions taken over the past year include
    MARAD's establishment of the Maritime Education and Training Executive
    Review Board (METERB), which serves as a formal governing and oversight
    body for USMMA; requesting and receiving relief from Congressional
    legislation constraining the Academy's budget during the interim
    Continuing Resolution period; developing templates for budget
    development and tools for linking resources with the Strategic Plan;
    filling key job positions and requesting that MARAD return direct
    reporting authority for human resources, financial management, and
    procurement back to the Academy; ensuring the safety of Midshipmen from
    sexual assault and sexual harassment by initiating a culture change
    campaign; and ensuring Midshipmen safety at sea by vetting maritime
    companies through MARAD's Shipboard Climate Compliance Team to
    determine if they have adequate policies and procedures in place to
    prevent sexual assault and harassment from happening, and are ready to
    respond if an incident does occur.
        We submitted our required monitoring report to MSCHE on time on
    March 1, 2017. MSCHE is in the process of reviewing our report. A
    visiting accreditation team has been appointed by MSCHE and is composed
    of educators and experts who ensure the Academy is meeting the
    standards of excellence established by MSCHE. The team, led by the
    Naval Academy's Academic Dean and Provost, Dr. Andrew Phillips, visited
    the Academy March 29-31, 2017 to conduct their on-site assessment and
    provide us their initial findings on our progress towards correcting
    the shortfalls identified in 2016. We anticipate MSCHE issuing its
    report on USMMA's progress and status of addressing their concerns in
    June 2017.
        Thank you for inviting me to testify today. I appreciate your
    interest and continued support for the Academy and will be happy to
    answer any questions you may have.

        Senator Collins. Thank you.
        Inspector General Scovel.
    STATEMENT OF HON. CALVIN L. SCOVEL, III, INSPECTOR
                GENERAL, U.S. DEPARTMENT OF TRANSPORTATION
        Mr. Scovel. Chairman Collins, Ranking Member Reed, members
    of the subcommittee, thank you for inviting me to testify on
    the U.S. Merchant Marine Academy's efforts to address sexual
    assault and harassment.
        Like everyone here today, I share your concern and
    appreciate your continued focus on these serious issues which
    threaten the health and safety of students at the academy.
        At the request of members of this subcommittee and others,
    my office has reviewed the academy's progress in completing
    planned actions to address sexual assault and harassment.
        Our Office of Investigations also has authority to
    investigate allegations of sexual assault brought to our
    attention, and we have, in fact, reviewed four such cases at
    the academy since 2009. That process included, in each
    instance, referral to the U.S. Department of Justice for
    criminal prosecution, which was declined. In addition, we are
    currently reviewing one open sexual assault complaint.
        My statement focuses on three areas: first, DOT's actions
    to address congressional requirements and our prior
    recommendations; second, our review last year of the academy's
    efforts to complete one of its action plans; and finally, the
    academy's continuing challenges and our upcoming work.
        Since 2008, DOT and the academy have taken actions in
    response to the Duncan Hunter Act as well as our
    recommendations. These include strengthening management and
    oversight of a sexual assault prevention and response program,
    establishing SOPs for investigating instances of sexual assault
    and harassment, and improving the timeliness of annual reports
    and action plans provided to Congress.
        However, in 2016, we identified additional challenges when
    we reviewed the academy's progress in completing its 2014-2015
    action plan. As we reported to this subcommittee, the academy
    had not completed more than a third of its 44 planned actions
    by the time that plan closed in November 2015.
        Many of the incomplete items were intended to address
    persistent problems that the academy continues to identify.
    These include, for example, inadequate Sea Year preparation;
    turnover in key positions, such as the sexual assault response
    coordinator; and, significantly, differences between the number
    of officially reported incidents of sexual assault and the
    number reported by surveys of midshipmen.
        In addition, we found a few instances where the academy
    incorrectly characterized actions from its plan. For example,
    it reported that it had completed planned briefings of shipping
    companies on how to respond to incidents of sexual assault
    among midshipmen, a key action if midshipmen safety during Sea
    Year were to be maintained. In fact, however, the academy had
    not conducted those briefings.
        As recent developments show, the effectiveness of the
    academy's response to sexual assault and harassment continues
    to be a serious concern.
        Last summer, the academy received an accreditation warning
    and a 2-year deadline to show compliance with key standards.
    Meeting these standards includes taking actions to combat
    sexual assault and harassment, particularly during Sea Year.
        Last year, DOT also ordered a temporary stand-down of the
    Sea Year program and commissioned an independent contractor to
    assess the academy's culture. That culture study noted progress
    on some fronts but concluded that the underlying climate
    contributing to these problems remains. The study also made
    several recommendations.
        In response, the academy published an ambitious culture
    change action plan in January with more than 50 actions planned
    for this fiscal year. We commend the department and the academy
    for their renewed focus on transforming the academy's culture,
    examining Sea Year, and better supporting victims of sexual
    assault and harassment. However, as our prior work shows, plans
    only go so far. Strong follow-through is key with sustained
    attention by leadership at all levels to ensure that plans
    achieve intended results.
        These concerns will guide my office's upcoming review,
    which will start by the end of June. Consistent with our
    congressional mandate, we will examine the academy's progress
    with this culture change action plan and the effectiveness of
    its sexual assault prevention and response program.
        We are committed to working with DOT in addressing sexual
    assault and harassment at the academy, and we will keep you
    apprised on this and any other related work.
        Madam Chairman, this concludes my prepared statement. I
    would be happy to answer any questions you or other members of
    the subcommittee may have.
        [The statement follows:]
                Prepared Statement of Hon. Calvin L. Scovel III
        Thank you for inviting me here today to testify on our work
    regarding the United States Merchant Marine Academy's (USMMA) efforts
    to address sexual assault and sexual harassment. USMMA (or the Academy)
    in Kings Point, NY, is one of five Federal service academies, and the
    only one operated by the Department of Transportation (DOT). DOT's
    Maritime Administration (MARAD) operates the Academy with the mission
    to train midshipmen to become professional merchant marine officers.
    While undergoing training, USMMA midshipmen are to comply with
    prescribed disciplinary and honor systems. However, surveys of
    midshipmen have revealed a longstanding pattern of sexual assault and
    harassment at the Academy, and recent developments have renewed
    concerns about the Academy's culture and the Department's oversight.
        In our independent oversight role, we conduct audits and
    investigations of the Department's management, oversight, and
    compliance with policies and regulations. Over the last few years, at
    the request of this Subcommittee and others, we have specifically
    reviewed USMMA's actions to prevent, respond to, and resolve instances
    of sexual assault and harassment. My statement today will focus on (1)
    the Department's actions in response to congressional requirements and
    our October 2014 report recommendations,\1\ (2) our 2016 review of
    USMMA's efforts to complete its 2014--2015 action plan,\2\ and (3)
    USMMA's continuing challenges and our upcoming work.
    ---------------------------------------------------------------------------
        \1\ Better Program Management and Oversight Are Required for
    USMMA's Efforts To Address Sexual Assault and Harassment (OIG Report
    No. ST2015004), October 23, 2014. OIG reports are available on our Web
    site: http://www.oig.dot.gov.
        \2\ Letter to Congress Regarding USMMA's Actions To Address Sexual
    Assault and Harassment (OIG Controlled Correspondence No. CC2016011),
    August 11, 2016.
    ---------------------------------------------------------------------------
                                    summary
        Since the 2008 passage of the Duncan Hunter Act,\3\ the Department
    has taken a number of actions to address sexual assault and harassment
    at the Academy. For example, in response to our October 2014 report
    recommendations, USMMA established standard operating procedures (SOPs)
    for investigating sexual assault and harassment. As required by
    Congress, USMMA has also created action plans to address concerns
    identified during its surveys of midshipmen on the effectiveness of its
    policies and procedures in combating sexual assault and harassment.
    However, our 2016 review of USMMA's 2014--2015 action plan found that
    the Academy had not completed 15 (34 percent) of its 44 planned
    actions. Our work as well as a number of recent developments, such as
    the Department's decision to temporarily suspend the Academy's Sea
    Year\4\ program, highlight that USMMA remains challenged in following
    through on its plans to address longstanding issues with the Academy's
    culture. We plan to review USMMA's progress in our upcoming review
    beginning this summer.\5\
    ---------------------------------------------------------------------------
        \3\ Duncan Hunter National Defense Authorization Act for fiscal
    year 2009, Public Law No. 110-417 Sec. 3507, October 14, 2008.
        \4\ USMMA's Sea Year program is training on board maritime vessels
    during a midshipman's sophomore and junior years for about 135 days and
    265 days, respectively.
        \5\ Section 3512 of the National Defense Authorization Act for
    fiscal year 2017, Public Law No. 114-328, Dec. 23, 2016, requires us to
    submit, not later than March 31, 2018, a report that describes the
    effectiveness of the sexual harassment and sexual assault prevention
    and response program at USMMA.
    ---------------------------------------------------------------------------
        While my statement focuses on our audit work, our Office of
    Investigations has authority to conduct investigations--on its own, or
    in conjunction with others--for allegations of sexual assault or
    harassment brought to our attention. I stand ready to use this
    authority.
     usmma has taken action in response to congressional mandates and oig
                                recommendations
        In 2008, Congress passed the Duncan Hunter Act aimed at creating a
    campus environment free of sexual assault and harassment at USMMA. The
    act required the Secretary of Transportation to direct USMMA to
    prescribe policies for addressing sexual assault and harassment and to
    conduct annual assessments of the program's effectiveness, develop
    action plans, and report to Congress on its progress.
        Although USMMA took actions and established goals in response to
    the Duncan Hunter Act, concerns about the effectiveness of USMMA's
    actions and reporting remained. For example, USMMA's survey for the
    2011--2012 academic year indicated an estimated 25 midshipmen, 17
    female and 8 male, were sexually assaulted and 136 midshipmen were
    sexually harassed--despite no incidents being formally reported in that
    academic year.
        In 2014, we issued a report in response to requests from members of
    this Subcommittee and the House Committee on Oversight and Government
    Reform that we evaluate USMMA's efforts to prevent sexual assault and
    harassment and DOT and MARAD's role in implementing its action plans.
    Our report--which covered the Academy's original action plan from
    November 2011 through June 2013--found that USMMA had not completed
    over a third of the actions identified for effectively managing its
    Sexual Assault Prevention and Response (SAPR) program.
        We made nine recommendations for improving program management and
    oversight and achieving the goals in the Academy's original action
    plan. The Department took prompt action to fully implement all of those
    recommendations, which we have since closed. Specific actions in
    response to our recommendations included the following:

      --Strengthening oversight. Our report found that USMMA had not
            sufficiently assigned responsibility for program oversight and
            for ensuring compliance with statutory requirements. In
            response to our recommendation, the Department clarified the
            SAPR program's oversight responsibilities in position
            descriptions and policies and procedures for program
            implementation.
      --Establishing SOPs. We reported delays in establishing SOPs for
            effective SAPR program management. These SOPs included ones for
            investigating sexual harassment and sexual assault, collecting
            evidence related to sexual assault and processing restricted
            sexual assault reports, and meeting requirements to report
            allegations of sexual harassment and assault. We recommended
            that the Academy formalize its SOPs related to the Sexual
            Assault Response Coordinator's (SARC) responsibilities and the
            execution of the SAPR program. In response, USMMA issued these
            SOPs in September 2014.
      --Improving reporting timeliness. We reported that USMMA's annual
            reports to Congress were issued, on average, nearly 2 years
            after the academic year ended. For example, the final 2011--
            2012 report was issued in March 2014--21 months after the end
            of the academic year.\6\ In response to our recommendation,
            MARAD developed a plan with milestones, assigned
            responsibilities, and established deadlines for delivering its
            annual reports and action plans to Congress.
    ---------------------------------------------------------------------------
        \6\ USMMA's academic year runs from July 1 through June 30.

        The table below lists all actions USMMA took in response to our
    recommendations.

                          USMMA Actions Taken in Response to OIG's October 2014 Recommendations
    ----------------------------------------------------------------------------------------------------------------
                                        Recommendation                            Action Taken
    ----------------------------------------------------------------------------------------------------------------
    1.............................  Define and designate             The Department, MARAD, and USMMA clarified the
                                     oversight             designation of authority for SAPR oversight, including in
                                     responsibility for    position descriptions and program policies and procedures
                                     USMMA's SAPR program
                                     (including sexual
                                     harassment
                                     prevention for
                                     students) to MARAD.

    2.............................  Establish an           The Academy's SAPR Program Plan dated September 15, 2014,
                                     oversight framework   established the Academy's framework for the SAPR program
                                     for the USMMA SAPR
                                     program and its
                                     sexual harassment
                                     prevention efforts,
                                     including goals by
                                     which USMMA's
                                     progress can be
                                     assessed.

    3.............................  Clarify lines of        MARAD clarified the lines of reporting for the SARC and
                                     reporting for the            the Civil Rights Director and provided a position
                                     Academy SARC and the                                  description for the SARC
                                     Civil Rights
                                     Director, and define
                                     the position
                                     requirements for the
                                     SARC.

    4.............................  Establish continuing     The Academy established a minimum continuing education
                                     education                        requirement for the SARC of 40 hours annually
                                     requirements for the
                                     USMMA SARC position.

    5.............................  Develop performance    The Academy's SAPR Program Plan dated September 15, 2014,
                                     metrics for the           established performance metrics for the SAPR program
                                     USMMA SAPR program
                                     and its sexual
                                     harassment
                                     prevention
                                     activities and an
                                     internal mechanism
                                     to measure USMMA's
                                     progress in meeting
                                     established program
                                     goals.

    6.............................  Develop a plan with      The Academy developed a plan with milestones, assigned
                                     milestones, assigned     responsibilities, and deadlines to deliver the annual
                                     responsibilities,                report to Congress by January 15 of each year
                                     and deadlines by
                                     which annual reports
                                     and action plans on
                                     sexual assault and
                                     harassment are
                                     delivered to
                                     Congress.

    7.............................  Formalize standard                The Academy issued SOPs related to the SARC's
                                     operating procedures    responsibilities and the execution of the SAPR program
                                     related to the
                                     SARC's
                                     responsibilities and
                                     the execution of the
                                     SAPR program.

    8.............................  Identify associated         The Academy updated its action plan to identify the
                                     tasks,                specific tasks, responsible parties for each task, target
                                     responsibilities,     dates for completion, and completion percentages for each
                                     and timeframes to                                                         task
                                     accomplish each goal
                                     of its most recent
                                     action plan.

    9.............................  Develop a systematic       In September 2014, the Academy finalized an SOP that
                                     recordkeeping system      outlined the process for documentation, storage, and
                                     for sexual assault      disposition of restricted and unrestricted reports and
                                     and sexual                                         SAPR Program training files
                                     harassment reports
                                     and incidents and
                                     related training.
    ----------------------------------------------------------------------------------------------------------------
    Source: OIG analysis

      USMMA DID NOT FOLLOW THROUGH ON ALL OF ITS PLANNED ACTIONS FOR 2014-
                                      2015

        Despite USMMA's progress in response to the Duncan Hunter
    Act and its actions addressing recommendations from our October
    2014 report, allegations of sexual assault and harassment
    continued, and Congress remained concerned about USMMA's
    ability to follow through on its action plans. In response to
    direction from this Subcommittee,\7\ in 2016, we submitted a
    letter detailing our review of theAcademy's progress in
    implementing its 2014-2015 action plan, which closed in
    November 2015.
    ---------------------------------------------------------------------------
        \7\ Senate Report 113-182, which accompanied the Consolidated and
    Further Continuing Appropriations Act of 2015, Public Law No. 113-235
    (Dec. 16, 2014), directed us to assess the annual report and biennial
    survey information issued by MARAD in fiscal year 2015 to evaluate the
    Academy's progress in addressing corrective actions.
    ---------------------------------------------------------------------------
        USMMA's 2014-2015 action plan contained 44 action items,
    which were based on 7 areas that USMMA had identified through
    its 2014 anonymous survey of midshipmen:
        1. Working toward a ``no tolerance and full reporting''
    climate;
        2. Working with industry to continue to address the climate
    aboard commercial vessels;
        3. Improving intervention and prevention training among
    faculty, staff, and senior leadership;
        4. Intensifying awareness, prevention, and bystander
    training among midshipmen;
        5. Improving the variety and quantity of after-class
    activities;
        6. Developing self-assessment tools; and
        7. Increasing gender diversity among Academy employees and
    midshipmen.
        Overall, we found that by the time the 2014-2015 action
    plan closed on November 4, 2015, USMMA had completed 29 of the
    44 items (about 66 percent) listed in the plan (see exhibit for
    our full assessment of the 44 items). USMMA's 29 completed
    action items included several key improvements, such as
    development of SOPs for administrative investigation of sexual
    assaults and more confidential reporting options for
    midshipmen.
        However, many of the incomplete items were intended to
    address significant problems that USMMA continues to identify.
    These included incident reporting, enhanced midshipman and
    staff awareness, Sea Year preparation, engagement between the
    Academy and the maritime industry, and engagement of USMMA
    leadership. USMMA also indicated in its action plan that
    vacancies in a few positions, such as that of the Civil Rights
    Director, whose responsibilities include sexual harassment
    prevention programs, had impeded progress on some action items.
    As of January 2017, this position had not been filled.
        Our review also noted that the incidents of sexual assault
    reported through midshipmen surveys continued to be
    significantly more than those formally reported. Specifically,
    in USMMA's anonymous 2014 survey, which had 761 eligible
    respondents,\8\ 17 percent of women and 2 percent of men (19 to
    28 women and 8 to 24 men)\9\ reported that they had been
    sexually assaulted, which was virtually unchanged from the data
    collected in 2012. However, USMMA reported in January 2016 that
    the number of sexual assault reports at the Academy had
    decreased from three in academic year 2013--2014 to one in
    academic year 2014--2015, which does not correlate with the
    survey results. According to the report, there is no easy
    method to determine why the number of reported incidents is
    low.\10\
    ---------------------------------------------------------------------------
        \8\ Eligible respondents were those midshipmen who checked into the
    2014 survey administration session and returned a survey. Midshipmen
    who either failed to check into the survey session or checked in and
    did not return a survey were deemed ineligible.
        \9\ These are weighted estimates. Defense Manpower Data Center
    analysts weighted the data so the results were reflective of the entire
    population, which consisted of 936 students (136 female and 800 male
    midshipmen).
        \10\ Preliminary 2014-2015 Academic Program Year Annual Report on
    Sexual Harassment and Sexual Assault at USMMA.
    ---------------------------------------------------------------------------
        Furthermore, our review raised concerns with USMMA's
    justification and documentation for completing its planned
    actions in some cases. For example, USMMA reported that it
    completed its planned action to conduct briefings with
    shippingcompanies on the possibility of midshipman-on-
    midshipman sexual harassment and assault and how to respond to
    incidents. However, we found that the Academy had not yet
    conducted any such briefings.
        USMMA also reported that it completed its action to
    increase the gender diversity of faculty, coaches, and staff.
    However, we found that USMMA did not track information related
    to the gender diversity of its faculty, coaches, and staff and
    therefore cannot reliably report that it has increased
    diversity. As a result, we had no basis to assess completion of
    the item.
        Some of the items that we identified as incomplete in
    USMMA's 2014-2015 plan were rolled over into its 2015-2016
    plan, such as engaging with the industry to solicit ideas and
    make recommendations for additional training or policy changes.
    Overall, USMMA's action plans address the concerns that
    continue to be identified in survey and focus group results
    from year to year. These include reports of a pervasive sexist
    culture on campus, which can inhibit reports of sexual assaults
    due to fear of retaliation; inadequate sexual assault
    prevention training; and limited active engagement by
    leadership at all levels in addressing these issues. While
    leaders within DOT, MARAD, and USMMA have repeatedly stated
    that they are disturbed by the survey results and seriously
    focused on addressing these issues, followthrough will be
    critical to ensure action items are actually completed and
    achieve intended results.

      USMMA CONTINUES TO FACE CHALLENGES IN ADDRESSING SEXUAL ASSAULT AND
                  HARASSMENT, PROMPTING FURTHER DOT OIG REVIEW

        As we plan our future work, we will be looking at USMMA's
    progress since our last report as well as assessing its
    response to recent events and external study findings. In
    particular, since mid-2016, the Academy has encountered
    additional challenges related to its ability to carry out its
    action plans to combat sexual assault and harassment.
        For example, USMMA's persistent challenges regarding sexual
    assault and harassment have put the Academy's accreditation at
    risk. In June 2016, the Academy received a warning from the
    Middle States Commission on Higher Education (MSCHE), which
    issues determinations on the Academy's accreditation.\11\ Among
    other things, MSCHE stated that USMMA needed to take steps to
    combat sexual harassment and assault, particularly during the
    Sea Year. MSCHE noted that USMMA will remain accredited while
    on warning but gave the Academy 2 years to demonstrate
    compliance with several key standards, including taking steps
    to ``build a climate of mutual trust and respect on campus and
    during the Sea Year.'' Recognizing the continuing indications
    of sexual assault and sexual harassment, the former
    Transportation Secretary directed USMMA to stand down the Sea
    Year Program in June 2016.\12\
    ---------------------------------------------------------------------------
        \11\ At least every 10 years, all accredited institutions engage in
    an 18-24 month period of self-study intended to demonstrate
    institutional compliance with accreditation standards and to promote
    institutional improvement. USMMA completed its self- study process and
    hosted an evaluation team visit during the 2015-2016 academic year.
        \12\ The Sea Year was restored for service aboard Federal vessels
    while MARAD worked to establish requirements for companies providing
    Sea Year training opportunities for midshipmen. In January 2017, former
    Transportation Secretary Anthony Foxx authorized USMMA to phase in Sea
    Year on commercial ships on a company by company basis. USMMA resumed
    training on certified commercial carriers in March 2017.
    ---------------------------------------------------------------------------
        A subsequent external study also identified persistent
    issues with the Academy's culture. In 2016, following MSCHE's
    findings, DOT selected an independent contractor, Logistics
    Management Institute (LMI), to conduct a 60-day cultural
    assessment of USMMA and its Sea Year program. The LMI report,
    issued in December 2016, concluded that although the Academy
    has taken actions to address sexual assault and sexual
    harassment, the underlying climate contributing to these issues
    remains. The study noted that while the military and maritime
    influences have enabled an Academy culture focused on service,
    teamwork, and discipline, the limited oversight at sea
    contrasted with the stricter regiment on campus has caused a
    ``split identity.'' The study pointed to other issues as well,
    such as fear of retaliation or alcohol influence, and noted
    that the Academy's number for incidents of sexual harassment
    was almost one-third higher than other military service
    academies' average of the same statistic. To close gaps in
    leadership, prevention programs, and Sea Year policies, LMI
    made several recommendations and identified three areas as
    immediate starting points for the Academy's future actions:

      --Build and align Academy leadership and management team across all
            levels of the institution.
      --Develop and implement a comprehensive, multi-year Sexual Assault
            and Sexual Harassment Prevention and Response Strategic
            Campaign Plan.
      --Develop a Sea Year credentialing program that will enable the
            Academy and industry to maximize program effectiveness while
            maintaining the health and safety of the midshipmen.

        Recognizing the need to significantly transform the Academy's
    culture in regards to sexual assault and harassment, USMMA published a
    Culture Change Action Plan in January 2017 with goals aligned with the
    LMI recommendations. The plan is ambitious and includes over 50 actions
    to complete in fiscal year 2017, including immediate actions such as
    filling key positions in the SAPRO and Civil Rights offices,
    establishing a process for credentialing shipping companies for
    participation in Sea Year, and establishing policies and procedures
    against retaliation and reprisal to support victims.
        While USMMA's plan in response to these developments is an
    important step, our prior work has highlighted the importance of
    sustained management attention and oversight to ensure that the Academy
    follows through on planned items as intended and that planned actions
    have key goals, milestones, measured outcomes, and effective
    implementation. These concerns will guide our upcoming reviews of MARAD
    and USMMA. Specifically, by June 30, 2017, we are launching a new
    review of USMMA to meet a congressional mandate in the National Defense
    Authorization Act for fiscal year 2017.\13\ Consistent with the act, we
    plan to examine the effectiveness of the Academy's SAPR program, with
    specific focus on assessing progress with current plans.
    ---------------------------------------------------------------------------
        \13\ Public Law No. 114-328, Sec. 3512, December 23, 2016.
    ---------------------------------------------------------------------------
                                   conclusion
        Sexual assault and harassment cause great psychological and
    physical harm and must be met with zero tolerance. We acknowledge and
    commend the Department, MARAD, and USMMA for their renewed focus on
    transforming USMMA's culture, closely examining its Sea Year, and
    better supporting victims of sexual assault and harassment. However, as
    both our prior work and recent developments have shown, the Academy's
    success will hinge upon its ability to carry out strong followthrough
    and sustained attention at the highest levels.
        We thank this Subcommittee for its continued attention to this
    vital area. We will keep you apprised as we continue to monitor DOT's
    progress in completing its planned actions and meeting its goals to
    eliminate sexual harassment and assault at USMMA.
        This concludes my prepared statement. I will be happy to answer any
    questions you or other Members of the Subcommittee may have.

    \14\ The Green Dot program teaches students to identify developing
    situations that could possibly lead to sexual assault and trains them
    to emply techniques, such as deversion or distraction, in order to
    separate a potential perpetrator and victim.

    \15\ PII is personally identifiable information. PHI is protected
    health information
    \16\ Pub. L. No. 104-191 (Aug. 21, 1996).

        Senator Collins. Thank you very much for your testimony and
    the work that you have been doing on this very important issue.
        Admiral Helis, one of the very disturbing aspects of this
    problem is that I am not seeing an improvement in the
    statistics.
        Here we have the survey on sexual assault and sexual
    harassment that 87 percent of cadets took, more than 90 percent
    of the females, and we find that 60 percent of the women and 9
    percent of the men who took the survey reported having been
    sexually harassed. Twenty percent of the women and 1 percent of
    the men who took the survey reported having been sexually
    assaulted.
        Those numbers are so high when you look at comparisons with
    other schools, and the number of reports that have been filed
    are even more discouraging. We have seen in some schools an
    actual increase in reports, which is a result not of an
    increase in sexual assault and harassment but rather people
    feeling that they will be listened to if they come forward.
        So why do you think that you are having such a difficult
    time in changing the culture and instilling confidence in the
    midshipmen, that they will be taken seriously if they come
    forward? And what are you doing to implement the
    recommendations that the inspector general reports are still
    not in place?
        Admiral Helis. Thank you for the question, Senator. That is
    the problem that troubles all of us who are trying to deal with
    this, that in spite of the efforts that we have taken in the
    last almost 5 years, we have not seen any appreciable change in
    the numbers for both sexual assault and sexual harassment.
    Although the reporting is slightly up from 2011 and 2012, where
    there were no reports, the level of reporting are unacceptably
    low. And as you said in your opening statement, it is
    particularly troubling that midshipmen are not coming forward
    with unrestricted reports, which allow us to investigate these
    cases and hold the perpetrators accountable. That is a core
    issue that we are trying to confront.
        Again, it comes down to changes that we have to make in the
    academy's culture. I think among the barriers that we are
    dealing with, and these were affirmed in the cultural study
    done last year, there is, to a large degree, a degree of denial
    that there actually is a problem on campus. There is a tendency
    to engage in victim-blaming. Again, part of the culture is this
    is a difficult place and you just hang in there and you push
    forward. In some cases, this translates into, ``I just have to
    put up with this and push forward.''
        And what we are trying to educate midshipmen is: Yes, you
    go to sea. Okay, you may have to pull extremely long hours. You
    have to deal with being away from family. You have significant
    challenges and work. Those are the things that you have to work
    through. But you do not have to work through and tolerate being
    harassed and abused. And we are trying to push through and
    overcome that issue.
        Again, as identified in the LMI study, there is an
    unwillingness to intervene or to hold others accountable. There
    is, in a sense, a lack of personal ownership for the issue.
        And again, to address it, this is going to come down to, we
    are simply going to have to redouble our education and
    awareness efforts that we pursue on campus. The Sea Year stand-
    down and the steps we have taken since then have certainly
    increased the level of attention on this issue, the amount of
    conversations. A positive sign is that we had midshipmen eager
    to step forward to participate in the cultural campaign
    planning process. I am beginning to see greater ownership on
    their part.
        A larger long-term issue, one is changing the demographics
    of the academy. In 2012, we were about 13 percent women. Today,
    we are just under 19 percent. The last three classes that we
    admitted over the last 3 years sequentially had record
    percentages of women for the academy. And that is going to be a
    key to changing the culture, is changing the demographics.
        But again, Senator, at core, the problem is how do you
    create the atmosphere where midshipmen are comfortable coming
    forward, reporting, not only comfortable that we will hold
    people accountable but there is also an issue that they will
    not be ostracized by their peers for the sense of, ``You are
    just getting somebody in trouble and you need to tough it
    out.'' That is an attitude that we just have to persistently
    try to stamp out at the academy.
        It is not a good answer. It is not a good answer, but that
    is the reality of what we are dealing with. And we are just
    going to have to continue to persist and, when we do receive
    reports, aggressively pursue them and hold perpetrators
    accountable in a way that clearly reinforces the message that
    leadership is, in fact, committed to this issue.
        Senator Collins. I will be coming back to some of those
    issues in the second round and asking the inspector general,
    with whom Senator Murray and I met in 2014 when he first issued
    his report, what his assessment is of that.
        Senator Reed.
        Senator Reed. Thank you very much, Senator Collins.
        Admiral, given your experience in so many different ways, I
    do not doubt your sincerity in trying to change the culture,
    but the culture seems to be a real complicated morass.
        For example, as I understand it, if there is an incident
    aboard a ship at sea, the Coast Guard has jurisdiction, but the
    Coast Guard is not particularly adept at investigating sexual
    assault claims. They usually will call, particularly if it is a
    foreign port, the FBI attache, who that is probably not at the
    top of his list, et cetera.
        So it leads to the question of, how do you prepare,
    particularly all midshipmen, particularly female midshipmen,
    for their Sea Year, in terms of clear guidance about who to
    report to or what their rights are? Because I also understand
    that policies change ship to ship, literally. Some ships have
    one approach. So can you give us an idea of how you are dealing
    with that?
        Admiral Helis. Thank you, Senator. You are correct.
        The structural complexities that you addressed in terms of
    jurisdictional authorities over Sea Year, over issues at the
    academy, it is, as you said, it is complex.
        How do we prepare midshipmen? In general, we have a series
    of lectures and seminars to prepare the midshipmen to go to
    sea, which covers all the aspects of safety and the working
    environment. We do address sexual assault and sexual
    harassment.
        We bring in recent graduates from the academy who will sit
    and meet with midshipmen, particularly focused on women coming
    in to meet with women to talk about the challenges they will
    face when they first go out into what is still a male-dominated
    industry, male-dominated crews, where the only women aboard
    might, in fact, be the midshipmen who are assigned to the ship
    for training.
        We are also clear in terms of providing midshipmen the
    reporting contacts. We provide them a range of contacts. It is
    basically however you can get in touch with us. They can
    contact the sexual assault response coordinator or the Sexual
    Assault Prevention and Response Office (SAPRO). They can
    contact any of the academy's faculty and staff who are trained
    and designated as victim advocates. They can reach out to the
    Department of Professional Development and Career Services who
    manages the Sea Year program.
        In terms of on the ship, part of the Shipboard Climate
    Compliance Team has been establishing best practices to make
    the practices more uniform across the industry. Each midshipman
    is now assigned an officer on the ship who is specifically
    designated as a mentor. They are told that is a potential
    reporting source, somebody who is there to look out for your
    welfare.
        They can report it through the ship's chain of command to
    the ship's captain. Companies have what they refer to as a
    designated person ashore who is an employee who is ashore who
    is there to deal with crew issues that the crew can directly
    contact.
        So we provide them this entire range of reporting sources.
    And it becomes to whom do you feel comfortable, confident
    reporting it?
        The preferred is to immediately report it to the chain of
    command on the ship because the incident is there, particularly
    if you are in a harassment situation, to get the chain of
    command to address the situation right there aboard ship.
        Do policies change ship to ship? Again, part of what the
    SCCT has been doing is reviewing company policies, trying to
    provide a standardization of best practices across industry.
        I would say, in general, it is report to your chain of
    command on the ship. That is the first preference, so they can
    deal within the company. That company's next point of contact
    would be the designated person ashore.
        Again, as I said, for midshipmen, they have multiple
    avenues for reporting to the academy.
        Senator Reed. One avenue they do not have is legal counsel.
        Are you the only admiral ever to graduate from West Point?
        Admiral Helis. Sir, probably. I know I am the only one in
    my class.
        Senator Reed. Okay. There are oddities in many
    institutions, including the Senate. That is a very inside joke.
        Army officer, lieutenant commander, if someone had a
    problem, they have a right to legal counsel who is trained as
    an advocate and also had the kind of skills that most attorneys
    have in terms of trying to figure out exactly how to help the
    person calling them. They do not have that option. Shouldn't
    they have that option?
        Admiral Helis. Senator, we do not currently have the
    special victim counsels that victims have in the Department of
    Defense. We are looking now to create a special victim advocate
    position. It is going to require hiring an additional attorney
    at the academy to fulfill those duties.
        We are in the process now of creating a position
    description and developing what the responsibilities and
    policies would be for that person in that position. And our
    intent is to move forward with bringing in that kind of
    resource and making it available.
        Senator Reed. I think it would make great sense.
        My time is over, but a quick response, is there a way to
    hold a ship's captain accountable? Because my limited knowledge
    of the Navy is that everything that happens on board a ship is
    ultimately the responsibility of that captain. And if an
    incident takes place and it is not successfully dealt with, or
    a climate is created where those incidents are sort of shrugged
    off, are we able to go in and say to that individual or to that
    company, you have a problem with us?
        Admiral Helis. To start, Senator, ultimately, the captain
    of the ship is responsible. Part of the shipboard compliance
    process is ensuring that companies make clear to the ships'
    captains that they are responsible in particular for the safety
    and welfare of midshipmen and issues of sexual harassment and
    sexual assault. That is part of the company approach and
    highlighting it.
        If we do discover that we are receiving from midshipmen in
    back briefs when they return to campus that there are
    particular problems in a ship or with a particular ship's
    officer, we would be reporting that back to the company, that
    here are reports that we are receiving. And we would have the
    option to just simply say we are not going to assign
    midshipmen. If there is a pattern of behavior, a lack of
    enforcement, we could terminate assigning midshipmen to that
    captain's assignment.
        Senator Reed. Is that a credible sanction? Or is it sort of
    saying thank you very much.
        Admiral Helis. I am not sure to the degree it would be seen
    by the company as a sanction. It is up to the company to
    sanction the ship's captains.
        Senator Reed. Okay. I would like in another round, Mr.
    Szabat, if you like to comment in the second round. I have gone
    over, but I will recognize you first.
        Senator Collins. Senator Capito.
        Senator Capito. Thank you, Madam Chair.
        Thank you all for being here. I would like to add my voice
    to the many that you have heard in the past and today who have
    deep concerns, obviously, about the actions and the accusations
    of sexual harassment at the academy, particularly during that
    Sea Year program that we have been talking about.
        Admiral, I would like to ask you, what do you do, in the
    protocols that you have developed, what has been done to ensure
    confidentiality for those who have been victimized? And how
    does that reflect differently in patterns of the past?
        Admiral Helis. Senator, thank you for the question.
        One of the first things that we established in 2012 was a
    new policy, a more comprehensive policy in addressing sexual
    assault and sexual harassment. We included in that policy the
    options for midshipmen to file restricted and unrestricted
    reports modeled off of the policy in the Department of Defense.
        There are reporting sources who are designated in the
    policy, and midshipmen are educated as to whom they can file an
    unrestricted report--a response coordinator, a victim advocate,
    health services chaplain. And so when a restricted report is
    filed, I do not even know who the victim is, who the accused
    is. I am simply told we have received a restricted report, here
    is some very broad--it occurred on campus or off campus. The
    victim is female or male.
        And the only questioning that I am going to do for the
    Sexual Assault Response and Consultation Team (SARC) when I
    report is, what are we doing for care for the victim? And that
    is really the focus.
        So if a restricted report comes in, we definitely do
    protect the confidentiality of the victim.
        In the event of an unrestricted report, we still take the
    best steps we can to protect the confidentiality of the victim
    during the investigative process. The people who are aware that
    there is an unrestricted report that is being investigated is a
    very narrow circle. And again, for the criminal investigations,
    it falls under Inspector General Scovel's personnel, and they
    are quite professional at maintaining a very low profile for
    their investigations, for their presence on campus.
        Ultimately, a challenge we face is that we are a small
    community. It is a small campus. But the policies and
    procedures for investigation and for adjudication, we do
    everything we can to protect the victim's confidentiality.
        Senator Capito. Do you have any feedback from students as
    to if they feel the confidentiality wall that is the option, if
    they choose that, is sufficient? I mean, do they feel like they
    are being adequately protected there?
        Admiral Helis. Senator, I think on restricted reports it
    is. We have seen an increase in restricted reports this year
    over the past, so they are coming in and reporting, so that
    they can get the services and assistance that they need.
        But, again, the surveys indicate that there are concerns,
    that midshipmen are concerned about the protection of their
    confidentiality in the process.
        Senator Capito. Right.
        Admiral Helis. And again, I think the largest challenge we
    face to that is if you issue a protective order and move a
    midshipman from one barracks to another to separate the victim,
    again, we are very small campus, both in numbers and physical
    size, so everybody is going to know that this person was moved
    and it does not just happen overnight.
        Senator Capito. Do you have the same issues that the
    military does in terms of potential for retaliatory measures?
    Is that something that you take into account when you are
    reviewing this?
        Admiral Helis. Yes, Senator. We do. We explicitly talk
    about retaliation as being totally unacceptable conduct. Again,
    it is one of the shifts we have to make in the culture, from
    victim-blaming to victim-supporting.
        The most common form that we have seen in retaliation is
    simple ostracism, and that is what midshipmen tell me. That is
    what midshipmen who have come forward on reports, both for
    assault and harassment, report, is there is an ostracism
    because you put one of your classmates at risk.
        Senator Capito. Right.
        Admiral Helis. There is a failure to identify that this
    person--who the victim is in the situation.
        Senator Capito. Let me ask a final question.
        You mentioned the women at the academy now are 19 percent
    up from 13, I think you said, percent over last several years.
    Obviously, there have been some very public incidents that have
    occurred. I guess I would not say I am surprised. I know you
    obviously put more emphasis in recruitment. But have you
    noticed over the last 3 or 4 years, when this has all come to
    light, that there has been a dip in your applications or
    interest in the academy?
        Admiral Helis. No, Senator. Again, part of changing the
    culture, clearly, we recognized in 2012 that we had to change
    the demographics, that we had to push the number up. And so we
    redoubled our efforts in terms of recruitment of women. So the
    applicant pools have remained strong.
        Anecdotally, in the last couple weeks, I had the
    opportunity to meet with some recruits at the request of a
    couple of our athletics coaches. I met with these applicants
    and their parents in my office. We had some very frank and
    candid discussions. They were all fully aware of the challenges
    we had faced. They could actually sit there and cite things
    from the LMI report, our most recent report to Congress. And
    they have come back and said they are still interested and they
    are still committed to coming to the Merchant Marine Academy.
        I think in terms of addressing individual recruits and
    addressing their parents, it becomes, okay, yes, we have
    challenges. We have problems. But we are upfront about them. We
    talk about them. We are not going to hide them. And we are
    taking serious steps over a sustained period to try to address
    them. And I think that builds the confidence in the parents.
        So, anecdotally, I would say that we are still there. And
    again, 3 years in a row, we hit record numbers for women.
        I do not think we will get there this year. I do not think
    we will go a fourth year in setting a record. I would not be
    surprised to see a dip in the percentage of women in this
    summer's class. But, again, we are going to continue to
    redouble our efforts and continue to focus on increasing the
    population of women.
        Senator Capito. Thank you.
        Senator Collins. Senator Manchin.
        Senator Manchin. Thank you, Madam Chairman.
        To all three of you, I do not know if you realize what we
    as Senators, the responsibility we take as far as nominating
    these young people. We go through an extensive process. I
    personally have a panel of people who have experience in this.
    They basically go through and nominate the best of the best,
    pick the 10 top, and then we make recommendations.
        Going through this process, especially when they are
    selected, the families get extremely, extremely excited about
    this opportunity. I usually make a phone call and tell them
    they have an opportunity of a lifetime to make a difference in
    their country, make us all proud in the State of West Virginia,
    in service to their country. And then to see the reports we are
    seeing, it is unacceptable, truly unacceptable.
        And, Admiral, here, the LMI report that you reported, it
    says that since you have taken over your role, a recurring
    issue that emerged during your interviews was a lack of
    effective communication from leadership. While several
    commented that the superintendent has used town halls and
    emails to disseminate information, feedback revealed that this
    type of communication still has been largely ineffective. Now,
    this has been since you have taken over.
        In my experience, communication is a lot more effective
    when there is a trust-based relationship face-to-face.
        So I would ask you, what have you done and how are you
    working to build these relationships in a different approach?
        Admiral Helis. Senator, we are appreciative of the young
    men and women that all the members nominate and send to us. We
    are very aware of our responsibility to them and to their
    parents and to their families for their care and well-being
    over the course of the 4 years. And the results that we see
    are----
        Senator Manchin. Admiral, have you changed your approach as
    to how you communicate?
        Admiral Helis. Senator, I meet twice a week now with small
    groups of midshipmen----
        Senator Manchin. Okay.
        Admiral Helis [continuing]. As encounters. Those are
    essentially open sessions. I will give them a quick, ``Here is
    what is going on in the superintendent's office this week,''
    and then it becomes an open session and dialogue.
        Senator Manchin. Let me say this. The LMI report also
    mentioned that the midshipmen alumni that shared in this
    report, that they were warned during plebe indoctrination that
    if they go to the on-campus health clinic, they could be
    medically disqualified. That includes victims of sexual
    assault. So they are not going to come forward.
        This is a horrific environment.
        Admiral Helis. Senator, we have to address that.
        Senator Manchin. Either of the other two, do you have
    anything to say about that?
        Mr. Scovel. Good morning, Senator.
        Let me back up to your other point, your first point having
    to do with building a culture of trust by means of consistent
    and clear communication from leadership. We do know, from
    looking at the academy's culture change action plan, that a
    number of discrete items are aimed to achieve that.
        My office now has a statutory mandate to examine that
    culture change action plan. We will look at those points very
    closely. We will try to answer your question and address your
    concern about that because it is going to be absolutely
    essential, if culture is to change, that leadership get out
    front and also that leadership prioritize the 50-plus items on
    this culture change action plan.
        One of our concerns in looking at it is that there is
    currently no plan built into it for a prioritization of risk.
        Senator Manchin. Let me ask this question. Do you all know
    your dropout rate? What is your dropout rate?
        Admiral Helis. Sir, the graduation rate for 2016 was 84
    percent.
        Senator Manchin. So you are saying you have a 16 percent
    dropout rate.
        Admiral Helis. That is correct, Senator.
        Senator Manchin. The size of your academy is what? About
    930?
        Admiral Helis. Sir, presently, we have 879 midshipmen
    aboard. We had decreased enrollments for the class of 2017-2018
    because of barracks renovation.
        Senator Manchin. What is your capacity?
        Admiral Helis. Our normal capacity would be we would bring
    in about 280 a year, which we are back up to. So we expect the
    number to get back up to just over 1,000 next year.
        Senator Manchin. Okay. I know West Point is 4,300. The
    Naval Academy is about 4,600. The Air Force is about 4,000.
        Is your campus not large enough to handle more or basically
    you are not geared to handle more or people do not want to
    come?
        Admiral Helis. Senator, we do not have the space for much
    more than about 1,000 to 1,100 in terms of housing, meals,
    classrooms, faculty. That is the----
        Senator Manchin. I would say, really, with a smaller campus
    like that, you all should handle--I mean, to have the horrific
    problems you are having with sexual assaults, and then not even
    an atmosphere where they feel like they can go anywhere and
    report and get any type of treatment, and I would say their
    only resolve would be to leave. Since they do not want to get a
    blemish on their record, they are going to have to leave you
    all.
        And then they go and have to report why they would leave,
    if they want to get somewhere else in the educational system.
        It makes it extremely horrific on this family, especially
    when you think about how excited they were to come to you, to
    get that opportunity and then to end up that way. I just have
    no explanation to the families that go through this horrific
    experience. I am just sorry for it.
        Senator Collins. Thank you.
        Senator Hoeven.
        Senator Hoeven. Chairman Collins, Ranking Member Reed, and
    members of the committee, I want to thank both the chairman and
    vice chairman for calling this very important hearing to
    discuss this issue.
        Admiral, clearly, sexual assault and sexual harassment of
    any kind are completely unacceptable and obviously have no
    place in an institution of higher education or anywhere else in
    our society.
        You outlined in your testimony a number of approaches that
    you are implementing to eliminate sexual assault and harassment
    at the U.S. Merchant Marine.
        Particularly in listening to the Senator from West
    Virginia's questions and comments, how do you feel your efforts
    are progressing? Assess the progress that you are making and
    specifically where you need to improve and how you can improve.
        Admiral Helis. Senator, the bottom line and assessment is
    the frequency of sexual assault and sexual harassment, and that
    number is not moving, so we are not making progress there. That
    is the bottom line to this. It has to be result-oriented.
        In terms of how we are moving forward, to go back
    historically, we started off in 2012 trying to build a program
    modeled off of the other Federal service academies in terms of
    reporting procedures, trainings provided, and so on. And we
    anticipated that those procedures would begin to see movement
    in the needle, an increase in reports and a reduction in
    incidents. We did not see that occurring.
        At that point, we had to ask ourselves the question, okay,
    why is it that steps that have yielded success at the other
    academies are not yielding the same results here? What is
    different? And our analysis and that of others is that the main
    difference in our program is the Sea Year, where the midshipmen
    are away for campus for half of their second and third years, a
    total of a year.
        And then it becomes a question of, okay, how does that, in
    turn, influence what goes on on campus, what occurs on campus?
    And we can cite again from our advisory board, from the Middle
    States Commission, from the LMI study, and from our own
    encounters with midshipmen in discussions that Sea Year has an
    effect on midshipmen when they come back to campus. They are
    exposed in some cases to behaviors and values that are contrary
    to what occurs at the academy, and those trickle back to the
    academy and feed the culture of the institution.
        That is something that we came to recognize in 2016. That
    ultimately led to the stand-down from Sea Year on commercial
    vessels, the formation of the Shipboard Climate Compliance
    Team, the establishment of first the increasing of awareness
    within the industry of the issue and establishing best
    practices to improve the climate and the atmosphere at sea with
    the belief that if that is in fact, one, contributing to the
    problem, and it is one thing that we have not been addressing,
    that will, again, start to move the needle.
        One thing that we can say that is positive besides
    specifically addressing the Sea Year is that the Sea Year
    stand-down has increased the attention and awareness of the
    issue across the academy and across the industry.
        Again, those, we feel, are going to have a positive effect
    in the future.
        Senator Hoeven. Talk about the support you provide victims
    once a sexual assault or harassment has been identified.
        Admiral Helis. Senator, for a sexual assault victim, once
    the report has been filed with the victim advocate, part of the
    process is for the victim advocate to assess where the victim
    is, to make sure the victim is fully aware of all the resources
    that are available, to provide the victim not just access but
    what we refer to as a warm handoff, actually taking the person
    to the resources that they need available, whether it is health
    services, whether it is counseling, whether we need to effect a
    relocation or a no-contact order between the victim and the
    assailant.
        Again, all of these are laid out for the victim, and it is
    the responsibility of the victim advocate for, again, what we
    refer to as a warm handoff, not, ``Well, this is the office you
    go to or the number you call,'' but actually taking the victim
    to where the victim needs to go to receive the appropriate
    support services.
        Senator Hoeven. And then you have follow-up procedures to
    make sure that that is getting done and they are getting the
    help that they need?
        Admiral Helis. Yes, sir. The particular victim advocate who
    is managing the case has responsibility to follow up routinely
    with midshipmen, with the victims. I routinely check with the
    sexual assault office and say, okay, what about the victim?
        And again, for a restricted report, we will have some
    shorthand we will use to refer to how is this victim doing,
    have you been in contact?
        So we do routinely--I do routinely follow up with the
    victim advocates on their progress on the cases.
        Senator Collins. Thank you, Senator.
        Senator Murphy.
        Senator Murphy. Thank you, Madam Chairman.
        Thank you all for being here today. A lot of my questions
    have been covered, so maybe we can drill down a little more
    specifically on a few more.
        We have been talking about the attitude of staff, so I
    maybe want to put a finer point on it. The 2016 LMI report
    found that the academy staff was ``not able to speak with one
    voice on this issue.'' And it cited claims by faculty that this
    really was not an issue on campus or that it simply was not
    their job to address it.
        So understanding all the progress you still have to make,
    can you report, at the very least--I would be interested to
    hear your thoughts as well, Mr. Scovel--that there is unanimity
    among staff today that, A, this is a problem; and, B, that it
    is everyone's responsibility on campus to play a part in
    solving it?
        Admiral Helis. Senator, I appreciate the question.
        Again, one of the key barriers we have that we have to
    address with this is that simple denial that there is a
    problem. I cannot believe that we have not expressed from the
    top down, from former Secretary Foxx on down, the clarity, with
    any greater clarity, that this is a problem, that it is
    unacceptable, that there are no bystanders in this, that
    everybody has a role to play in addressing the problem in terms
    of not just sexual assault and sexual harassment but the
    overall climate that creates the environment in which these
    crimes occur.
        So in my mind, there is no doubt that we have absolutely,
    clearly communicated this from the top down at all levels in
    repeated fora.
        Senator Murphy. Mr. Scovel.
        Mr. Scovel. Thank you, sir.
        I have direct anecdotal evidence to support the statement
    in the LMI study that you quoted earlier.
        As you know, we have had audit teams on campus several
    times. And in reviewing our requirements to complete our latest
    report, we contacted officials all across the campus. And
    specifically in the Office of Shipboard Training, our audit
    team was told by an official there that perhaps women just need
    to toughen up. That certainly got their attention. They brought
    it to my attention as we were preparing for this hearing.
        There certainly is not unanimity on the campus, certainly
    on the staff. I cannot speak to the faculty with direct
    evidence that I just cited before.
        But that is going to be a challenge for the academy
    leadership and for MARAD as they attempt to change a culture.
        They need to get attention. They need to prioritize
    actions. And they need to demonstrate accountability. The
    accountability piece has been not sufficiently addressed or
    perhaps even not addressed at all in terms of changing the
    culture.
        Senator Murphy. Admiral, some people's minds can be
    changed. Some people's attitudes can be adjusted. But others
    cannot. These are mature adults who have formed opinions that
    sometimes cannot be transformed.
        So would you agree that to the extent that this attitude
    remains among certain faculty or staff, that they should no
    longer be employees of the academy?
        Admiral Helis. Senator, I think we have to look at the
    behaviors of the staff and the faculty. Are they no longer
    tolerating sexist climates in the classroom, as an example? Are
    they no longer going to make remarks as were made to the
    inspector general 2 years ago?
        You know, it is a clear case where everybody clearly does
    have to get on board with this problem. Again, we are
    communicating it up and down.
        The Middle States accreditation report, for no other reason
    to address--this issue is so serious that every outside agency
    that has looked at it, the IG, not a complete outside agency,
    it is part of the department, but our advisory board, the
    Middle States accreditation team, all of this accumulation of
    evidence that occurred in 2016, it becomes, look, if we do not
    address this problem, we are at risk of losing accreditation,
    okay, which is basically we are at risk of being put out of
    business by our accreditors.
        So I think everybody is understanding that this is a
    serious issue that they have to address. They may disagree with
    our assessment. They may disagree with the numbers. There have
    certainly been countering voices that have said we are doing
    too much. We are overemphasizing the problem.
        My focus is going to be on these as steps that we as an
    institution need to take and expect every member to step up.
        Senator Murphy. Diversity of views is healthy on campuses,
    not with respect to sexual assaults, not with respect to a
    recognition that the problem exists.
        So I know that it is difficult sometimes to get into the
    minds of people who have not yet exhibited behaviors. But this
    is a place in which diversity of opinion should not be
    acceptable. This is a place in which individuals who are not
    committed to being part of the solution likely do not deserve
    to remain on campus.
        Could I ask one additional question?
        Senator Collins. Certainly.
        Senator Murphy. Can you just talk about what steps are
    being taken with respect to the stand-down of Sea Year to make
    sure that students who need to get through that process in
    order to ultimately get their licensure are able to complete
    those requirements?
        Admiral Helis. Senator, that is something to which we were
    very attentive.
        The people most immediately affected by the stand-down were
    going to be midshipmen who were going to, at least for
    immediate period of the stand-down, not be able to accumulate
    the days that they required for licensure. And so it became a
    priority to find ways to use Federal assets, which were
    approved, to ensure that midshipmen got their time at sea, a
    combination of Military Sealift Command and U.S. Navy vessels,
    training vessels, SOPs on training vessels, from the State
    maritime academies and the limited assets we have available at
    the academy.
        I am highly confident that no midshipman who was affected
    by the stand-down is going to have his or her graduation
    delayed for a lack of sea days. Now they may not all complete
    all of their sea days within the normal two sailing periods,
    but that is not unusual.
        We always have a few who, there may be a medical issue
    where they cannot get out to sea or we have to bring them back
    early. We have ways of making up sea days between the end of
    the sailing period and graduation. There are break periods
    where we can put them back out to sea. There are opportunities
    to put them out on weekends to collect the days in twos and
    threes.
        And from reviewing the records of the first group that was
    affected, where I looked at every record with the director of
    shipboard training, we were confident that they are all going
    to make it through.
        The second group just returned. We are still doing analysis
    of their records one by one.
        But I remain confident that the steps that have been taken
    with the support from Maritime Administration in terms of
    making assets and resources available, that we will get
    everybody to graduation on time.
        Senator Murphy. Thank you.
        Senator Collins. Thank you, Senator.
        I am going to follow up with Mr. Szabat on the question
    that you just raised. In fact, when I agreed you could do an
    extra question, little did I guess it would be my next
    question. But I do have an additional question that I want to
    ask.
        The suspension of the Sea Year was a drastic step for the
    academy to take and for Secretary Foxx to order, but in my
    view, it was justified, given the problems. I am very glad that
    it has resumed. I know that the academy went to great lengths
    to ensure there would not be a delay in graduation for
    students.
        But my concern is, what are we doing? What is MARAD doing
    to make sure that the reforms that are in place truly are
    taking hold? It is my understanding that there are five vessel
    operators who have been approved now. What are you requiring of
    them? And how are you ensuring compliance?
        Mr. Szabat. Senator, thank you for the question.
        There is a range of things. I will just highlight I think
    the most important, most significant actions that we are
    requiring from industry that they did not have to do before the
    Sea Year stand-down.
        There is a formal Sea Year mentorship program. Admiral
    Helis referred to that. So they are actually assigned duties
    now and official responsibilities for mentors. Officers on
    board the ship know when the midshipmen are assigned, that it
    is their duty to work with them and what their responsibilities
    are working with them.
        Each shipping company must issue an annual companywide
    message from a senior executive, so from the CEO, from the
    chairman of the company, expressing the company's policy of
    zero tolerance for sexual assault and sexual harassment.
        The companies to us, to our Shipboard Climate Compliance
    Team, have to certify that they have sexual assault and sexual
    harassment training that meets our criteria, and then they also
    have to submit what that training is.
        If I had to pick one thing that takes the most time for our
    SCCT teams to evaluate from the companies it is the submittal
    of what they are doing for training. A huge timesaver for us
    going forward is when the best practices are rolled out from
    the industry consortium that we are dealing with, so that any
    company, large or small, does not have to develop its own
    training program but knows that there is an industrywide
    standard for best practices and, as long as they meet that,
    that they will be in compliance with our standards.
        But in addition to the reports that they are required to
    submit, at the end of every sailing period--remember, our
    midshipmen go out to sea for 4 months or 8 months at a time
    during their two major tours for commercial Sea Year--the
    company has to debrief the midshipmen and report those
    debriefings to us.
        Separately, those midshipmen are debriefed also at the
    academy. So we are going to have ways to compare and contrast.
        And the final way that we have, to your question, Senator
    Collins, about ensuring that they are actually meeting these
    standards is that we will have audits. We will actually be
    auditing the companies, auditing the crews.
        There has been talk about sending people on unannounced
    visits on the ships, but the fact of the matter is it is really
    not a ship-by-ship issue because the crews and the officers
    change so often. This is company-by-company.
        The primary thing that we are going to have to go off of
    will be the feedback we get from our own midshipmen about which
    crews are well-trained, which officers are problems, and which
    ones are not. We will be taking that seriously and working back
    with the companies.
        Senator Collins. Thank you.
        Mr. Scovel, I was struck when you testified that four cases
    of sexual assault that you referred to the Justice Department
    were all declined. Now, I realize there may be factual reasons
    why that happened, but I have to say, if I were in the position
    of a young midshipman who had been sexually assaulted and knew
    that they were going to face retribution by their peers or
    maybe by others at the academy, and that it was likely that
    nothing would happen to the perpetrator, I would not report.
        And, indeed, I am wondering if that is part of the reason
    there is such a low level of making unrestricted reports that
    can lead to law enforcement action.
        What are your thoughts on that?
        Mr. Scovel. Thank you, Madam Chairman.
        That, indeed, may be known among victims, and it may be a
    reason for low levels of reporting or no reporting at all.
        To be clear, my office has a legal obligation, which we
    have executed in every single case, that when we have knowledge
    of criminal matters within the department, certainly at the
    Merchant Marine Academy, we will investigate those to the best
    of our ability, and we are required to present our findings to
    the Department of Justice for a prosecutive decision, and that
    is entirely up to them using their own standards.
        Case-by-case, it did come down, essentially, to the facts
    in each case, to include one where the victim himself or
    herself withdrew her statement of complaint. So, given that, of
    course, no reasonable prosecutor could go forward.
        Let me make a follow-on point to that, however.
    Notwithstanding whatever the Department of Justice may decide
    in each case, that is simply a judicial decision whether to
    prosecute. It does not bar the Merchant Marine Academy from
    investigating further or from taking action within their own
    administrative, non-judicial procedures against an alleged
    perpetrator.
        Senator Collins. Is that happening? Are individuals, in
    your judgment, being held accountable, disciplined, kicked out
    of the academy? Is action taken?
        Mr. Scovel. We do know one case that was declined for
    prosecution where the academy did take steps to dis-enroll and,
    in fact, disenrolled the offender. So, certainly, that is done.
        There are significant legal questions, which the academy
    and its counsel have to confront when they decide to go down
    the administrative route after a judicial declination of
    prosecution. The standard of proof or the burden of proof,
    whether it is to be--this is legal talk, of course--at the
    probable cause level or the clear and convincing level, that is
    a matter of much discussion in government and across campuses
    these days.
        The Department of Education and the administration both
    past and present have weighed in with different views on it.
    The academy's lawyers will have to develop their position, and
    I would recommend strongly that they do that in advance,
    knowing that these matters will continue. In other words, cases
    may be declined for prosecution. The ball will be back in the
    academy's court. That is not the time to decide what our legal
    requirements should be. They should have pretty much a protocol
    so that they can decide how to handle those appropriate cases.
        Admiral Helis may have information on other administrative
    actions that the academy has taken in another cases.
        Senator Collins. Admiral Helis, why don't you comment also
    before I turn over to Senator Reed.
        Admiral Helis. Thank you, Senator.
        I would say, first, that we have an outstanding working
    relationship with Inspector General Scovel's team. It is based
    in New York City. They are extraordinarily responsive. They are
    available to us 24/7. Whenever we pick up the phone on one of
    these issues, they are there. They are on campus.
        Our director of public security participates in the
    investigation as an observer. That allows us to parallel the
    administrative track. When they have completed the
    investigation, there is a cooperative process, I would say,
    that allows us to receive the investigation, to take
    administrative action, but not such that, we have not gotten
    there yet, that we would compromise a potential criminal case.
        But the cooperation is there. The two unrestricted reports
    that occurred in my tenure, in neither case were we able to get
    to a criminal prosecution. In both cases, I did take
    administrative action against the individuals, including, in
    one case, a disenrollment.
        Senator Collins. Thank you.
        Senator Reed.
        Senator Reed. Thank you very much.
        Mr. Szabat, when I finished my question, we were turning to
    you about sanctions with respect to companies. You described to
    Senator Collins' question many of those.
        The ultimate response would be, what is the most
    significant thing you can do in terms of a company that is
    noncompliant and have you done that yet?
        Mr. Szabat. Senator, thank you for the question and for
    following up on this important issue.
        So as you pointed out in the discussion you had with
    Admiral Helis, within each company, within each ship, the
    captain is ultimately responsible. We do not have the legal
    authority, nor would we want to have the authority, to go after
    the captains of individual vessels. Our sanctions that we have
    are with the commercial companies themselves.
        So, if you will, there are several bites at this apple, if
    we want to have levers or incentives to make sure that the
    companies and individuals, the senior leaders of the companies,
    are following both the letter and the spirit of what we are
    trying to accomplish here with addressing sexual violence,
    coercive behaviors, at sea.
        So for us, if they do not meet the standards that they have
    signed up for, that they have volunteered and they have said
    these are the conditions that we are meeting, if we find that
    they are not meeting those standards, then we yank the company,
    the entire company from compliance.
        So in this case, hypothetically, if a midshipman comes back
    and reports, ``I had these problems with these crewmembers,''
    and those reports are authenticated by investigations, and you
    talked about it could be the Coast Guard if it is done legally
    at sea, or it can be done by the companies, or we can do it
    internally once the midshipmen are back ashore, if we have any
    reason to believe that the company is not taking these issues
    seriously, has not addressed an issue with an officer or
    members of their crew who have inappropriately treated one of
    our midshipman, then our sanction, and it is a sanction that we
    would exercise, it is to yank that company from the program.
        And there are two issues with that. One is, of course--and
    these companies, not a single official of these companies was
    supportive of the Sea Year stand-down. They thought it was an
    overreaction. They did like the fact that we were doing it. But
    they all rallied around the idea that this was an opportunity
    for them to showcase what they are doing to address sexual
    assault and sexual harassment, and work cooperatively with us
    to do so.
        So no one wants to be singled out. There is that shame
    factor in the industry, if we call them out.
        Then secondly, the core group of the companies that
    participate in our program, these are companies in the Maritime
    Security Program. They get a $3.5 million a year, now
    authorized to a $5 million a year, per vessel subsidy, a
    stipend for participating in the program. They have to meet our
    standards to participate in that program.
        So if a company were to be found in default of this and was
    part of the Maritime Security Program, they could see their
    participation in the Maritime Security Program jeopardized as
    well.
        Senator Reed. Thank you very much.
        Let me just follow up with another question. We, I think
    appropriately, consider the Merchant Marine Academy on the same
    level as all of our other service academies, but an issue of
    filling these vacancies, particularly significant vacancies in
    the terms that we talked about, they are not on that same
    level. West Point, the Air Force Academy, Annapolis, they have
    all these positions filled. In fact, I think the
    superintendents would be raising holy cow if they were not.
        Have you brought this issue to the Secretary and said that
    this is such a critical item that these positions have to be
    filled immediately?
        Mr. Szabat. If we can give you a split answer on that, let
    me first speak for the Maritime Administration and then Admiral
    Helis can talk about the positions on campus themselves.
        But yes, not only has it been brought to the attention of
    Secretary Chao, but Secretary Chao has addressed that. We have
    already received exemptions from the hiring freeze for eight of
    our most critical positions at the academy, including all four
    of the sexual assault positions, keeping in mind this is
    building from a base of only a couple years ago we had one
    full-time sexual assault person. We are now four, and we are
    looking for, as Admiral Helis described earlier, a legal
    adviser as well.
        So the Secretary is aware. She has taken action.
        And, Admiral Heller, I am going to turn this over to you,
    but I do not know that it is fair to say that the other schools
    have not been affected by the hiring freeze.
        Admiral Helis. Sir, to what degree the other institutions
    have been affected.
        Senator Reed. Right.
        Admiral Helis. I can say that we have received exceptions.
    Of the four positions in the sexual assault program office, the
    senior coordinator has been filled since September by a
    mobilized Navy reservist who had been a company tactical
    officer for 2 years and then volunteered to stay a third year
    to get that office up and running. So she is aboard.
        We have made an offer and an offer has been accepted for
    one of the two educator victim advocates with an onboard date
    coming up.
        The second victim advocate position, we made an offer. It
    was not accepted. It is re-advertised.
        The sexual assault program manager, the position had to be
    re-scoped to a supervisory position. That position is currently
    advertised.
        Some other critical positions, the commandant's position,
    we are in the midst of interviews right now. I anticipate that
    we will be able to make a selection probably within the next 2
    weeks.
        The dean's position is advertised. It is open for
    application through the 14th of April. And I again anticipate
    that we will be able to make a selection by late spring or
    early summer.
        So we have received exceptions on these critical positions
    that were tied to the sexual assault program, and we are moving
    forward as expeditiously as we can to fill them.
        Senator Reed. Let me ask another question, Admiral. That is
    that, in the 2016 cultural assessment, they noted that your
    lack of authority to hire and fire faculty members goes to the
    issue of accountability. Do you need specific statutory
    authority to provide you with the authority to hire and fire
    people? You can talk until you are blue in the face, but if
    they still have the job after that, that is all you are doing.
        Admiral Helis. Senator, that is true. Again, that issue of
    hiring authority was also raised by the Middle States
    Commission. The Maritime Administration has recently delegated
    to the academy, to the superintendent, the full authority over
    personnel actions dealing with faculty members. So I have a
    full hiring authority, and I also have full authority in terms
    of disciplinary matters in accordance with Federal law and
    regulations.
        Senator Reed. Right.
        Just a final question, and that is, we have noticed--and
    this is not unique to the Merchant Marine Academy. This is a
    problem throughout the military, as you know, the retribution,
    retaliation, ostracism that goes on, et cetera.
        Just one aspect of this you might comment upon is you have
    a midshipman chain of command.
        Admiral Helis. Yes, sir. We do.
        Senator Reed. Are you using that aggressively to counter
    what is usually kind of informal and sometimes even nonverbal
    sort of conduct or communication that leads to this type of
    ostracism or retaliation?
        Admiral Helis. Yes, sir. There is a holding that we expect
    accountability for the regimental chain of command, the
    midshipmen chain of command, basically for policing their own
    ranks in terms of those behaviors. We continue to put an
    increased emphasis on it. If we were to sit the regimental
    commander or the executive officer down here, they would tell
    you the same.
        Within the regimental staff, we have a regimental sexual
    assault victim advocate who supervises, essentially, a program
    within the regiment led by midshipmen. We have a human
    relations officer. I think West Point a couple of years ago
    they refer to a respect officer chain, again, which is a
    separate chain with the head residing in the regimental staff.
        As Senator Collins noted, it is Sexual Assault Awareness
    Month. Most of the programming put together for this month was
    put together by the midshipmen, by the human relations
    officers, and the regimental victim advocate.
        Another area where we have seen great student involvement
    is from the athletics department. I would credit our athletics
    director with stepping up on this issue. The athletics
    department is sponsoring the It's On Us challenge campaign on
    campus, which is ongoing this month.
        So I would say midshipmen are beginning to step up. I think
    that the actions that we took over the last year to more
    clearly highlight the issues, particularly with the Sea Year
    stand-down, and with the LMI study, and with the findings from
    Middle States, it has not only increased awareness but I think
    that some midshipmen have found it empowering that they can
    step up.
        We certainly are not there yet, but I can see progress over
    the last year.
        Senator Reed. Madam Chairman, you have been very kind.
        One of the things, I think structural issues, problems,
    that you have is that, from the other service academies, when
    they deploy cadets for summer and midshipmen for summer
    training, they can do so so that individual females are not in
    environments with all men, basically. In fact, there is a
    conscious effort to do that.
        I know when the first females were integrated into
    submarines, it was consciously done so that there would be four
    to six enlisted plus four officers, not onesies and twosies.
        Can you do that in terms of the Sea Year, where these slots
    are one or two? Or do you consciously try to do that? Do you
    try to ensure that there are buddies, basically?
        Admiral Helis. Senator, when midshipmen deploy to sea,
    there are always at least two on a vessel, so they always have
    a buddy with them.
        Senator Reed. Okay.
        Admiral Helis. We do not prescribe that there is a specific
    it has to be two women or it has to be two men. It is
    essentially a preference, ``Midshipman, who do you want? Do you
    have a sea partner?'' Somebody that you know that you can
    trust, somebody from a team, somebody from a club, somebody
    from a class, from your hometown. But the first choice on sea
    partner is up to the two midshipmen of where we want to make
    this happen.
        Senator Reed. But you consciously do not--put individuals
    on a ship?
        Admiral Helis. We consciously do not--put one single
    individual on a ship. They all have a--we call it is sea
    partner. The Army--they have a battle buddy.
        Senator Reed. A battle buddy. I got it. Thank you.
        Mr. Scovel, thank you for your great service in many
    different capacities. Thank you, sir.
        Mr. Scovel. Thank you.
        Senator Reed. Thank you, Madam Chairman.
        Senator Collins. Thank you, Senator Reed.
        I just have a couple more questions before we adjourn.
        Admiral, has the academy faced problems with online sexual
    harassment? I am thinking of the horrific situation that the
    Marine Corps recently uncovered where there was a Facebook
    group that shared and distributed images of naked women in the
    corps. And the fact that the group reached something like
    30,000 individuals before an alarm was sounded tells us that
    there is a larger cultural problem that we are dealing with
    here.
        But has this been a problem at the academy?
        Admiral Helis. Senator, I appreciate the opportunity to
    talk on this issue.
        In my first couple years, we did have a couple incidents of
    what I would refer to as cyberbullying through use of Facebook.
    Yik Yak, the anonymous site, was particularly troublesome. Our
    then-commandant took a very aggressive approach to it. In some
    cases, he simply had the information technology department
    block Facebook and say: It is completely blocked. You are not
    going to get on Facebook for a couple days until this gets
    cleaned up, postings get taken down.
        That seemed to have a positive effect. We are not aware--I
    am not aware of any incidents that have occurred recently. We
    do make clear--and part of the training we have added is
    responsibility and social media responsible conduct.
        We are in the process of revising our harassment policy. It
    is a routine update this year, and we are going to be much more
    explicit in terms of conduct and behavior that is expected on
    social media.
        So we have seen some of it but not to the levels that you
    refer to.
        Senator Collins. Inspector General Scovel, my final
    question is for you.
        Back in 2014, after you completed one of your first reports
    on this problem of sexual harassment and assault, the then-
    ranking member of this subcommittee, Patty Murray, and I met
    with you at length to go over your findings and your
    recommendations. So where are we today compared to where we
    were when we met in 2014?
        Mr. Scovel. Some progress has been achieved, challenges
    remain, as every respectable inspector general would say, I
    think.
        When I say progress, I mean the academy, the department,
    our office, the entire Congress, has now recognized that it is
    a culture problem at the Merchant Marine Academy. It is not
    simply a programmatic deficiency with regard to meeting
    statutory or regulatory requirements.
        The academy, to its credit, in its 2015 action plan
    acknowledged that as its first priority it needed to confront a
    pervasive sexist culture on campus. Now it did not go on then
    to use the magic words of ``so now we must embark on culture
    change,'' but they did embed in its action plan a number of
    specific items that, had they been completed, would have led
    them somewhat down the path to true culture change.
        They have now confronted that. The LMI study as well as
    work of our office, the attention of this committee and others,
    has brought that squarely to their attention.
        I wish I could say they have bottomed out. We will see. The
    ultimate test will be what the survey data reveal. There has
    been an increase, as you noted, in some reporting, increase in
    females and males who have reported encountering assault and
    harassment, and that is disturbing.
        But encouraging, there has also been a minor increase in
    the number of actual reports, contemporaneous incident reports,
    which I see as a positive sign. That is a trend that I would
    hope to see continue. We will have to examine the next survey
    results to see how it goes.
        If I may, when we talk about culture change, and the point
    I was making earlier in the hearing was an ambitious 50-plus
    point culture change action plan is most commendable. However,
    for a small institution like the academy with limited
    resources, prioritization of those actions will be absolutely
    essential. We are talking about a nautical setting, so if I use
    the term ``this school cannot to boil the ocean,'' I think
    everybody will understand what I mean.
        They will have to determine priorities among those action
    items, allocate resources and follow through with leadership at
    all levels in order to ensure success.
        Senator Collins. Thank you.
        Let me end the hearing by quoting from a recent press
    article that appeared in January that quoted a recent alumnus.
    And here is what she said that I find so disturbing. ``There is
    just such a lack of respect for women there. Once we stepped
    through those gates, we were no longer human. We were just
    objects for them to conquer.''
        It is simply unacceptable that any midshipman would feel
    that way and would feel such a lack of respect. But here is
    what is even more alarming, according to this news story. This
    alumni's account of sexual harassment and unwanted advances was
    handed over to the alleged perpetrator by the response
    coordinator, if, in fact, this story is accurate.
        So it seems to me that that summarizes the challenge that
    we have. And I believe that everyone sitting here before us is
    committed to that challenge.
        But I want to remind everyone of what the inspector general
    said, and that is that there is still a third of the
    recommendations that have not been implemented, that a 50-point
    action plan may not be as effective as a 12-point action plan
    that everybody is committed to and works hard to achieve.
        And I just do not want to be sitting here next year and the
    year after and reading reports with the same alarming
    statistics. We simply have to get a handle on this problem and
    move to a zero-tolerance environment.

                         ADDITIONAL COMMITTEE QUESTIONS

        Senator Collins. Do you have any final comments? This
    hearing record will remain open until next Friday, April 14.
        [The following questions were not asked at the hearing, but
    were submitted to the Department for response subsequent to the
    hearing:]
                    Questions Submitted to Hon. Joel Szabat
                  Questions Submitted by Senator Steve Daines
        Question. Thank you for testifying on this very important subject.
    Every instance of sexual assault is horrific and the frequency with
    which it occurs in our society is abhorrent. Reports of sexual assault
    by civilian mariners on students assigned to commercial ships during
    their ``Sea Year'' illustrates that this problem is not unique to a
    military environment.
        The Merchant Marine Academy is distinct amongst its sister
    academies because students effectively spend 3 years in a structured,
    military-style environment; and 1 year abroad in a commercial, maritime
    environment. While I am encouraged that you have taken decisive action
    to stop sexual assault on campus within your regimental program, I'm
    concerned that meaningful change across industry will take much longer.
        The Merchant Marine Academy is distinct amongst its sister
    academies because students effectively spend 3 years in a structured,
    military-style environment; and 1 year abroad in a commercial, maritime
    environment. The Maritime Administration's ``Sea Year Eligibility
    Criteria'' is a positive step to incentivize a culture shift within the
    maritime industry. From your perspective, what other opportunities
    exist to influence a culture shift across the entire U.S.-flag fleet
    through Congressional oversight or Executive action?
        Answer. The Maritime Administration (MARAD) is committed to ongoing
    engagement with maritime industry and labor to address sexual assault,
    sexual harassment, and other coercive behaviors onboard U.S.-flag
    vessels. In June 2016, MARAD hosted a ``Call-to-Action'' meeting with
    more than 90 leaders from across the maritime industry to address
    concerns about the shipboard environment. In response, a consortium of
    fourteen maritime companies drove an effort to address issues that led
    to the U.S. Merchant Marine Academy (USMMA or Academy) Sea Year stand
    down. These companies offered a proposal at the Call-to-Action to
    address sexual assault and sexual harassment at sea. Based on this
    proposal and recommendations from a cultural audit conducted last Fall
    at the Academy, MARAD developed standards that each company must meet
    to be eligible to participate in Sea Year. As a result of this
    collaboration, MARAD, industry, and the unions have reviewed and
    revised their policies as necessary with the focus on ensuring the
    safety of crew, including Midshipmen. MARAD will continue this
    engagement with industry as we perform on-site audits with companies to
    ensure Sea Year eligibility requirements are being met. MARAD also will
    receive feedback from companies as we review the Sea Year eligibility
    requirements annually and modify policies and requirements as we learn
    more.
        In addition, MARAD entered into an agreement with the Ship
    Operations Cooperative Program (SOCP) to develop computer-based assault
    prevention and response training designed for U.S.- flag vessel
    crewmembers. SOCP is a trade association made up of maritime industry
    professionals whose objective is to improve the safety, productivity,
    efficiency, security, and environmental performance of U.S. vessel
    operations. MARAD is also working with SOCP on ``best practices'' for
    maritime company management training this summer. These efforts will
    especially benefit smaller companies without the resources to develop
    robust programs of their own.
        Finally, as required by the fiscal year 2017 National Defense
    Authorization Act (fiscal year 2017 NDAA), MARAD is chairing a working
    group of representatives from industry, labor, the State Maritime
    Academies, and the USMMA to recommend additional improvements in
    addressing sexual assault prevention and response. MARAD established
    this working group in January 2017 and members have begun their work. A
    report on the working group's findings is due to Congress in September
    2017.
              Questions Submitted by Senator Senator Patty Murray
        Question. As my colleagues have already discussed, and as I
    outlined to Secretary Chao in a March 21st letter, I remain deeply
    concerned with the prevalence of sexual assault and sexual harassment
    at the U.S. Merchant Marine Academy (Academy). This is an issue the
    Academy has been trying to address for almost 10 years, but the most
    recently available Service Academy Gender Relations Survey still found
    17.1 percent of women and 2 percent of men have experienced sexual
    assault and 63 percent of women and 11 percent of men have experienced
    sexual harassment.
        While I appreciate the actions taken to date by the U.S. Department
    of Transportation, Maritime Administration, and Academy to institute
    change, it's clear that problems of sexual violence continue. Executive
    Director Szabat, is the Maritime Administration committed to
    implementing the recommendations from the recently completed Culture
    Audit?
        Answer. Yes. The contractor hired to do the audit, Logistics
    Management Institute (LMI), delivered its report in December 2016,
    identifying the root causes of improper behavior and recommending both
    short-term and long-term corrective actions to address these issues.
    MARAD and the Academy have already begun taking steps to implement the
    recommendations made in the report.
        Question. What oversight are you conducting to ensure immediate and
    near-term actions in the Academy's Action Plan are completed?
        Answer. MARAD is in continuous dialog with Academy leadership and
    throughout the Academy community to ensure that implementation takes
    place. Leadership from MARAD and the Academy have weekly meetings to
    monitor progress in implementing the Action Plan. In addition, the
    recently chartered Maritime Education and Training Executive Review
    Board (METERB) will provide oversight as policies are developed and
    resource needs are identified to fully implement the action plan. Its
    members are all senior executives within MARAD who answer to the
    Executive Director and oversee resources allocated for the operation
    and maintenance of the Academy. The METERB was established to provide
    governance, oversight strategic direction, and advocacy for the
    Academy. Its role is to make policy recommendations to the Maritime
    Administrator and provide strategic guidance to the Academy
    Superintendent.
        Question. Further, what are you doing to ensure these initial steps
    are having the necessary and desired effect?
        Answer. We will continue to assess the success of our programs
    through what we learn about Midshipmen experiences from surveys of
    Midshipmen, formal and informal focus groups, and listening sessions,
    and through tracking official of reports of sexual assault and
    harassment.
        In addition, the Shipboard Climate Compliance Team (SCCT) receives
    continuous feedback from the companies to consider improvements. The
    SCCT criteria will be reviewed annually and on-site audits will be
    performed by MARAD and the Academy onboard vessels and with companies.
    In addition, the Academy will receive feedback from Midshipmen
    following their Sea Year so problems can be identified and improvements
    to the Sea Year experience can be made.
        Question. Executive Direct Szabat, I appreciate the efforts the
    Maritime Administration has taken with industry and labor to ensure
    midshipmen have a safe and supportive environment in which to learn
    during Sea Year. In your written testimony you outlined efforts by the
    Shipboard Climate Compliance Team to establish new requirements for
    companies to meet in order to participate in the Sea Year training
    program.
        Can you discuss those requirements in more detail, including what
    best practices or guidelines the Maritime Administration provided to
    companies for use in their annual sexual assault and sexual harassment
    prevention training for crewmembers?
        Answer. In June 2016, MARAD hosted a ``Call-to-Action'' meeting
    with more than 90 leaders from across the maritime industry to address
    concerns about the shipboard environment. In response, a consortium of
    fourteen maritime companies offered a proposal at the Call-to-Action to
    address sexual assault and sexual harassment at sea. Building on this
    effort, MARAD formed the SCCT to work with industry partners in
    establishing stringent new requirements companies must meet in order to
    participate in Sea Year. In addition to input from maritime industry
    and labor, MARAD hired a sexual assault and sexual harassment
    prevention and response subject matter expert to advise the effort.
        MARAD also entered into an agreement with the SOCP to develop
    computer-based assault prevention and response training designed for
    U.S.-flag vessel crewmembers and is working with them to develop ``best
    practices'' for maritime company management training this summer. These
    efforts will especially benefit smaller companies without the resources
    to develop robust programs of their own.
        To be eligible to participate in Sea Year, companies must meet the
    following requirements:

        Company-Wide Zero Tolerance Message--Shipping company CEOs will
    issue an annual company-wide message outlining specific rules for the
    workplace, strongly stating that sexual assault and sexual harassment,
    including any retaliation based on a complaint, are unacceptable, and
    committing the company to eradicate such behavior and enforcing a zero-
    tolerance policy.
        Annual Sexual Assault and Sexual Harassment Prevention Training
    Requirement for Crew--Annual sexual assault and harassment prevention
    training will ensure that crewmembers clearly understand what
    constitutes sexual assault and sexual harassment, its negative impact,
    the importance of prevention, and the severe penalties for engaging in
    prohibited behavior or for failing to report an incident. All
    crewmembers will clearly understand their responsibility as
    supervisors, employees, witnesses, and bystanders. Crewmembers must
    complete this training prior to Midshipmen arriving on board, or within
    72 hours of signing-on, if Midshipmen are already onboard the vessel.
        Mentors with Enhanced Selection Criteria and Duties--Mentors for
    each ship play a crucial role in the success and development of cadets.
    Per enhanced mentor qualifications, a mentor must certify that he/she
    does not have any pending complaints or history of violations of any
    other company's Sexual Assault Sexual Harassment policies. The mentor
    must be of good character, and know, support, and advocate for the
    company's sexual assault sexual harassment prevention and response
    policies. Mentor duties include:

      --Helping Midshipmen understand company shipboard policies and
            procedures, and their roles and responsibilities aboard the
            ship;
      --Serving as a resource for Midshipmen while onboard;
      --Being readily available to Midshipmen and seeking to understand
            each individual's concerns about their vessel assignment;
      --Guiding the Midshipmen in understanding shipboard protocol, sexual
            assault and harassment prevention and response policies, and
            expected code of conduct;
      --Supporting Midshipmen once they join the crew and helping them
            transition from their academic learning environment to the
            professional shipboard setting;
      --Encouraging the development of a well-rounded mariner;
      --Referring Midshipmen to other resources as needed, such as other
            crewmembers aboard the vessel, company employees, or Academy
            personnel; and
      --Participating in prescribed sexual assault and harassment
            prevention and antidiscrimination training and serving as a
            reporting mechanism for complaints of sexual misconduct.

        Verify Annual Sexual Assault and Sexual Assault Prevention and
    Response Training--Each company will provide MARAD documents describing
    company-specific training protocols; the company's anti-discrimination,
    harassment, retaliation and sexual misconduct policies, including
    complaint reporting policies and procedures; a description of the
    company's investigation process and enforcement procedures; and, a
    mechanism for verifying their understanding of the issue.
        Zero-Tolerance Policy Regarding Romantic or Sexual Relationships--
    Companies will actively support the USMMA Sea Year Conduct policy for
    Midshipmen, which prohibits romantic or sexual relationships between
    Midshipmen and crewmembers, and the consumption of alcohol by
    Midshipmen under 21 years old. Companies will immediately report known
    Midshipmen violations to the USMMA. A violation of the USMMA Sea Year
    policy may result in counseling or punishment pursuant to the
    Midshipmen Regulations.
        MARAD Will Maintain a Record of all Relevant Company Policies--
    Companies will submit all relevant policies and documentation to MARAD,
    and MARAD will verify compliance annually. Required documentation
    includes, but is not limited to, sexual assault and harassment
    prevention and response policies; a description of company's complaint
    reporting process and procedures; policies related to confidentiality,
    enforcement, and retaliation and investigation procedures; and, the
    location of sexual misconduct prevention policies onboard the vessel.
        Company Debrief--Currently, both Midshipmen and the Vessel Masters
    evaluating them provide a report to the USMMA upon completion of an
    individual's Sea Year training. In addition to these reports, the new
    criteria require the company to provide the Academy a sexual assault
    and sexual harassment debrief at the completion of the Midshipmen's Sea
    Year time with the company. The debrief provides the company an
    opportunity to specifically addresses issues and note any concern or
    need for improvements.
        Question. Specifically, how has the Maritime Administration
    developed and deemed these training programs to be the best possible
    programs to achieve these critical goals?
        Answer. In addition to MARAD employees familiar with life at sea,
    the SCCT includes civil rights experts, including a workplace sexual
    discrimination prevention and response subject matter expert, who
    helped establish the criteria companies must meet to be Sea Year
    eligible. These experts were each involved in reviewing company
    processes and procedures for reporting and investigating complaints,
    enforcement policies, crew training, and development of the
    questionnaire that will be used to seek feedback from companies who
    take Midshipman on board during Sea Year. They will continue to be
    involved as we receive feedback and review Sea Year policies annually.
        The best chance for success in changing the culture onboard vessels
    is for maritime industry and labor to lead the effort, and they have
    stepped up to take on this challenge. As noted above, MARAD has entered
    into an agreement with the SOCP to develop computer-based training as
    well as best practices for all companies providing training to
    Midshipmen. This approach allows uniformity in the content of the
    training, while allowing it to be adaptable to meet the needs of
    companies of all sizes. Addressing these issues will be an ongoing
    effort and continued improvements will likely be needed. Feedback from
    Midshipmen and the companies participating in Sea Year will inform what
    changes need to be made going forward.
        Question. The addition of special training sessions for midshipmen
    prior to departure for Sea Year and ensuring companies adhere to strong
    zero tolerance policies for sexual assault and sexual harassment are an
    important first step. But what resources and protections are available
    to midshipmen when sexual violence does happen while out at Sea Year?
        Answer. Before they leave for Sea Year, Midshipmen are informed
    that they have several options for reporting a sexual assault incident.
    They can report it up their chain-of-command on the vessel, back to the
    Academy-- using code words if necessary, or directly to the U.S. Coast
    Guard (USCG). All unrestricted reports would be forwarded to USCG
    Investigative Service (CGIS) for investigation. All reports, restricted
    or unrestricted, would result in contact made by the Academy SARC to
    ensure the Midshipman is safe and receives the support he or she needs,
    including making arrangements to be removed from the vessel.
        If the vessel operator is notified of an unrestricted report, the
    company will conduct and investigation. The investigation would
    maintain the Midshipman's confidentiality to the extent practical, and
    the company would protect the victim from retaliation as part of their
    policy in meeting the SCCT criteria. As with any injury at sea, the
    vessels carry medical equipment, and a person certified to administer
    triage.
        If a person needs medical assistance as a result of an assault, the
    designated person in charge for medical (usually the Chief Mate) will
    provide assistance. The designated person in charge for providing
    medical is required by USCG Navigation and Vessel Inspection Circular
    No. 02 04, dated December 19, 2003, to present documentation
    demonstrating competence as part of the Standards of Training,
    Certification and Watchkeeping for Seafarers. Additionally, vessels
    typically have reach-back capability for services to provide medical
    advice while at-sea.
        Administering a rape kit in a timely manner can produce critical
    evidence for an unrestricted report investigation. As a result, the
    Academy will work closely with the company and CGIS or NCIS to
    facilitate such evidence collection. Rape kits are not required to be
    carried onboard as part of the medical supplies because they must be
    administered by trained and qualified personnel to ensure useful and
    admissible evidence results. The Academy is exploring options to make
    it easier for Midshipmen to communicate back to Academy when at sea.
    The Academy will be testing portable GPS texting devices to see how
    they work at sea. The goal is to send two devices out with the next
    group of Sea Year Midshipmen.
        Question. I remain deeply concerned that there is a gap in the
    services the Academy provides midshipmen while out at sea, especially
    in the case of sexual assault. The U.S. Department of Defense provides
    its service members with the ``Safe Helpline'' and the Department of
    State has made an app--``PC Saves Helpline''--available to its Peace
    Corps volunteers, both of which are operated by RAINN, the Rape, Abuse
    & Incest National Network. These tools provide specialized support and
    information to individuals affected by sexual assault. For example, the
    Safe Helpline is available worldwide, providing crisis response and
    information, and connecting survivors to resources.
        Executive Director Szabat, what is preventing the Maritime
    Administration from offering a similar helpline to midshipmen on Sea
    Year?
        Answer. The Academy has a 24/7 hotline phone that is staffed by
    victim advocates. In addition, the Academy has a Memorandum of
    Agreement with the local rape crisis center (The Safe Center), which
    provides backup coverage for the Academy's 24/7 hotline. To date, the
    DoD's current contracting arrangement with Rape Assault Incest National
    Network (RAINN) does not permit the Academy access to the DoD Safe
    Helpline. We have been told that the primary issue with gaining access
    is that Academy Midshipmen, unlike cadets at other service academies,
    are not DoD or Department of Homeland Security employees and thus our
    people are out of the current contract's scope. The Academy has been in
    discussions with RAINN about contracting with them to use their
    national hotline.
        Question. Can you report back to this Subcommittee on what
    regulatory, legislative, or fiscal barriers would prevent the Maritime
    Administration or Academy from providing midshipmen additional tools
    while at Sea Year within 60 days?
        Answer. Yes, we are assessing what additional resources or
    authorities may be needed to ensure Midshipmen safety during Sea Year.
        Question. Finally, I need to address President Trump's fiscal year
    2018 budget blueprint. A budget is a statement of priorities, and a 13
    percent cut to the U.S. Department of Transportation is a direct attack
    on our nation's growing infrastructure needs, workers, families, and
    the middle class. The Maritime Administration already has a slim
    budget, and serves a critical role in supporting our national security
    and economy.
        Executive Direct Szabat, will the more detailed budget delivered to
    Congress in May include sufficient funding to continue the Maritime
    Administration's mission?
        Answer. We are confident it will sufficiently address funding
    requirements to support MARAD's mission to strengthen the U.S. marine
    transportation system including infrastructure, industry, and labor to
    meet the economic and security needs of the Nation.
        Question. And just as importantly will it include the necessary
    funding to support the Academy's efforts to implement real cultural
    changes on sexual assault and sexual harassment?
        Answer. Yes, the Academy currently faces a number of unique
    challenges, most importantly fighting for real cultural change. The
    detailed fiscal year 2018 President's Budget request for the Academy
    will continue to support the highest standards of excellence in
    education for the Midshipmen, including continuing efforts to implement
    cultural changes that address sexual assault and sexual harassment and
    specific actions for the prevention of such incidents.
                Question Submitted by Senator Christopher Murphy
        Question. At the hearing I noted that I had heard from numerous
    parents of USMMA students across Connecticut about the Sea Year
    suspension. These parents want their children to be safe, and they also
    want their children to get the education they were promised when they
    committed to USMMA.
        Can you detail the steps MARAD and USMMA will take to ensure
    students affected by Sea Year stand down will meet their Sea Year
    requirements and graduate on time?
        Answer. No midshipman who was affected by this stand down is going
    to have his or her graduation delayed because of the stand down. The
    Academy can ensure they will all get the necessary sea days prior to
    graduation.
                                     ______

                Questions Submitted to Rear Admiral James Helis
                  Questions Submitted by Senator Steve Daines
        Question. Thank you for testifying on this very important subject.
    Every instance of sexual assault is horrific and the frequency with
    which it occurs in our society is abhorrent. Reports of sexual assault
    by civilian mariners on students assigned to commercial ships during
    their ``Sea Year'' illustrates that this problem is not unique to a
    military environment. The Merchant Marine Academy is distinct amongst
    its sister academies because students effectively spend three years in
    a structured, military-style environment; and one year abroad in a
    commercial, maritime environment. While I am encouraged that you have
    taken decisive action to stop sexual assault on campus within your
    regimental program, I'm concerned that meaningful change across
    industry will take much longer. Until meaningful change takes place
    across the industry, what safeguards are in place now for students who
    become victims while at sea hundreds of miles offshore?
        Answer. As part of Sea Year preparations, the U.S. Merchant Marine
    Academy (Academy or USMMA) provides a series of lectures and seminars
    to familiarize the Midshipmen with life at sea. These briefings cover
    all aspects of safety on board a vessel, including sexual assault and
    sexual harassment prevention and response.
        The Academy provides Midshipmen a range of reporting options in the
    event of an incident of sexual assault or harassment. For example, a
    Midshipman can make an unrestricted report of an incident through the
    ship's chain of command or directly to the company's designated person
    ashore who is available to address crew issues that may arise. In the
    event of a report, the company is obligated to conduct an internal
    investigation. In addition, the U.S. Coast Guard (USCG) is responsible
    for investigating if a crime has been committed aboard a U.S.-flag
    vessel.
        Alternatively, a Midshipman can make a restricted report\1\ by
    contacting the Academy's Sexual Assault Response Coordinator (SARC) or
    any of the Academy's faculty and staff who are trained as victim
    advocates. Midshipmen are provided with a code word prior to departing
    on Sea Year that they may use in a communication back to the Academy.
    If the code word is used, the Midshipman is removed from the vessel at
    the next available opportunity.
    ---------------------------------------------------------------------------
        \1\ A confidential report, also known as a restricted report,
    allows Midshipmen who are sexual assault victims to disclose, on a
    confidential basis, the details of their assault to specifically
    identified individuals at the Academy and receive medical treatment and
    counseling at a location of the victim's choice (on or off-campus),
    without triggering the official investigative process. Midshipmen who
    initially elect to make a restricted report can, at any time after
    their initial restricted report, decide to pursue unrestricted
    reporting, which will result in the initiation of criminal and
    administrative investigatory proceedings
    ---------------------------------------------------------------------------
        In addition, the Maritime Administration (MARAD) and the Academy
    have formalized the Sea Year mentorship program, including enhanced
    selection criteria. Each Midshipman is assigned an officer on the ship
    who is specifically designated as a mentor and who is an unrestricted
    reporting option should an incident of sexual assault or sexual
    harassment occur.
                  Questions Submitted by Senator Patty Murray
        Question. As my colleagues have already discussed, and as I
    outlined to Secretary Chao in a March 21st letter, I remain deeply
    concerned with the prevalence of sexual assault and sexual harassment
    at the U.S. Merchant Marine Academy (Academy).
        This is an issue the Academy has been trying to address for almost
    10 years, but the most recently available Service Academy Gender
    Relations Survey still found 17.1 percent of women and 2 percent of men
    have experienced sexual assault and 63 percent of women and 11 percent
    of men have experienced sexual harassment.
        While I appreciate the actions taken to date by the U.S. Department
    of Transportation, Maritime Administration, and the Academy to
    institute change, it's clear that problems of sexual violence continue.
    Admiral Helis, is the Academy committed to implementing the
    recommendations from the recently completed Culture Audit?
        Answer. Yes. The contractor hired to do the audit, Logistics
    Management Institute (LMI), delivered its report in December 2016,
    identifying the root causes of improper behavior and recommending both
    short-term and long-term corrective actions to address these
    issues.MARAD and the Academy have already begun taking steps to
    implement the recommendations made in the report.
        Question. How are you prioritizing the more than 50 immediate and
    near-term actions in the Academy's Action Plan and ensuring that they
    are completed in Fiscal Year 2017?
        Answer. The action plan to address issues identified in the LMI
    report is comprehensive and aggressive. The entire Academy team is
    pursuing the items in the plan along parallel paths. We are building
    and aligning the Academy leadership and management team by filling key
    positions as discussed elsewhere in the record. The Sexual Assault
    Prevention and Response Office (SAPRO) should be fully staffed this
    summer. We have completed a new Sexual Assault Prevention and Response
    Framework for 2017-2021. Processes for credentialing shipping companies
    are in place. We are well into planning a campaign to transform the
    culture of the Academy and will formally begin the campaign prior to
    the admission of the class of 2021 this summer. The campaign will
    emphasize personal accountability and responsibility for preventing
    sexual assault and harassment, including bystanders' responsibility.
    During Sexual Assault Awareness Month in April, we emphasized these
    themes through a variety of events, including a day of awareness when
    classes were shortened so Midshipmen, staff, and faculty could attend a
    variety of seminars on sexual assault and by participating in existing
    campaigns focused on sexual assault prevention, including Green Dot
    (bystander intervention) and It's On Us (NCAA's campaign against
    assault) events.
        Immediate actions that are being taken to implement recommendations
    from the Action Plan include:

      --Expanding the Sexual Assault Response Coordinator (SARC) office to
            a four-person Sexual Assault Prevention and Response Office
            (SAPRO), with a SAPRO Program Manager/SARC (interviews to
            commence shortly), two Victim Advocate/Prevention Educators
            (one tentative offer accepted; interviews underway for the
            other) and a Sea Year Coordinator (on board), and responsible
            for overall program management and integration of the program
            across all Academy stakeholders.
      --Building and aligning the Academy leadership and management team to
            better address sexual assault and sexual harassment, including
            filling key personnel positions and continuing to include the
            SAPRO Program Manager/SARC on the leadership team.
      --Refining a multi-year sexual assault and sexual harassment
            prevention and response campaign, including updating sexual
            assault and sexual harassment policies and training models.
      --Enhancing policies and procedures against retaliation and reprisal
            including training, reporting, responding to incidents,
            investigation and supporting victims
      --Instilling a sense of personal responsibility for preventing and
            addressing sexual assault, sexual harassment and retaliation at
            all levels within the Academy
      --Building shared ownership among Academy, MARAD and industry,
            including regularly engaging with industry in formal gatherings
            such as the 2016 Call-to- Action.
      --Implementing the process for credentialing shipping companies for
            participation in Sea Year.
      --More fully preparing and supporting Midshipmen in the Sea Year
            program.
      --Establishing a robust, continual feedback process from Sea Year.

        Question. Further, what are you doing to ensure these initial steps
    are having the necessary and desired effect?
        Answer. We will continue to assess the success of our programs
    through what we learn about Midshipmen experiences from surveys of
    Midshipmen, formal and informal focus groups, and listening sessions,
    and through tracking official of reports of sexual assault and
    harassment.
        In addition, the Shipboard Climate Compliance Team (SCCT) receives
    has continuous feedback from the companies to consider improvements.
    The SCCT criteria will be reviewed annually and on-site audits will be
    performed by MARAD and the Academy onboard vessels and with companies.
    In addition, the Academy will receive feedback from Midshipmen
    following their Sea Year so problems can be identified and improvements
    to the Sea Year experience can be made.
        Question. A critical component in the Academy's Action Plan to
    address the recommendations from the Culture Audit is to build and
    align the Academy leadership and management team. This requires filling
    key leadership positions and establishing a fully-staffed Sexual
    Assault Prevention and Response Office with a Sexual Assault Response
    Coordinator and two Sexual Assault Response Coordinator Assistant
    positions. Prolonged vacancies in these positions would negatively
    impact the Academy's ability to make improvements to better protect
    midshipmen. I understand the Academy is currently seeking applications
    for two of the three positions and is in the final hiring stages for
    the third.
        Admiral Helis, can you commit to this Subcommittee that the office
    will be fully-staffed within three months?
        Answer. The first of two victim advocate/educators is due to start
    at the Academy in June and a Sea Year coordinator is already on board.
    We are presently conducting interviews for the second victim advocate/
    educator and will begin interviews shortly for the Sexual Assault
    Prevention and Response Office director. We will fill those positions
    as soon as we are able to present offers to the selected candidates and
    they clear necessary background checks.
               Questions Submitted by Senator Christopher Murphy
        Question. Despite the high incidence of sexual assault and
    harassment at the United States Merchant Marine Academy (USMMA), the
    position of Sexual Assault Response Coordinator (SARC) at the Academy
    has been vacant since December 2016--well before the new
    administration's hiring freeze and well past when USMMA received a
    waiver from the hiring freeze in February 2017. This vacancy is
    especially concerning because the SARC can change campus culture, and
    campus cultural is cited as the primary reason that the level of formal
    reporting of sexual assault and harassment is so low even as the level
    of anonymous reporting of sexual assault and harassment is so high.
        Why didn't the Academy fill the SARC position in December 2016?
        Answer. The previous SARC departed USMMA at the end of December. At
    the time of her departure, a decision had been made to expand the SARC
    to a four-person Sexual Assault Prevention and Response Office (SAPRO).
    Under the new structure, the SARC will also act as the SAPRO Program
    Manager; therefore, the position description for the SARC needed to be
    updated to reflect these new duties prior to the position being
    advertised. In addition to the SARC, the SAPRO will have two Victim
    Advocate/Prevention Educators and a Sea Year Coordinator.
        While the hiring freeze initially affected the hiring process, the
    Academy received an exemption from the hiring freeze for several
    critical positions, including the SARC position, on February 21, 2017.
    There currently is an acting SARC filling this role until a permanent
    SARC is hired.
        Question. In light of USMMA's waiver and the federal hiring freeze
    being lifted, how will USMMA go about swiftly filling the SARC
    position?
        Answer. The Academy will begin interviews shortly for the SARC/
    SAPRO director. In addition, the first of two victim advocate/educators
    is due to start at the Academy in June, a Sea Year coordinator is
    already on board, and we are presently conducting interviews for the
    second victim advocate/educator.
        Question. How will the end of the federal hiring freeze impact
    USMMA's efforts to fill other vacant positions? Please be specific
    about processes and which vacant positions USMMA needs to fill.
        Answer. DOT has granted the Academy the authority to hire for those
    positions which were identified for national security exceptions under
    the hiring freeze. The Academy also has permission to hire replacements
    when new vacancies come open. We are currently filling positions in
    priority using our normal hiring processes. In addition to the SAPRO
    positions identified above, the Academy is in the process of filling
    the following positions:

            * Academic Dean
            * Commandant
            * Music Director
            * Office of Human Resources Director
            * Special Victim Advocate/Attorney
            * Director of Information Technology
            * Information System Security Manager
            * Office of External Affairs Director
            * Sports Specialist/Head Basketball Coach
            * Electrical Engineering Instructor
            * Mechanical Engineering Instructor
            * Physics Laboratory Technician
            * Marine Machinery Mechanic
            * Project Manager
            * Wood Crafter Supervisor
            * Financial Management Clerk
            * Procurement Contract Specialist
            * Recruitment Specialist (2 positions)

        Question. At the hearing I noted that I had heard from numerous
    parents of USMMA students across Connecticut about the Sea Year
    suspension. These parents want their children to be safe, and they also
    want their children to get the education they were promised when they
    committed to USMMA.
        Can you detail the steps MARAD and USMMA will take to ensure
    students affected by Sea Year stand down will meet their Sea Year
    requirements and graduate on time?
        Answer. No midshipman who was affected by this stand down is going
    to have his or her graduation delayed because of the stand down. The
    Academy can ensure they will all get the necessary sea days prior to
    graduation.
                   Questions Submitted by Senator Joe Manchin
        Question. How does the Academy educate and advise midshipmen on the
    differences between restricted and unrestricted reporting, in both
    process and outcome?
        Answer. Midshipmen first receive training during indoctrination.
    Plebe candidates receive training addressing sexual assault, sexual
    harassment, dating and domestic violence, stalking, and bystander
    intervention. During this training, Midshipmen are instructed on
    reporting procedures, including the differences between restricted and
    unrestricted reports, the process for making a report, and the services
    and remedies available to the victim once a report is made. All
    Midshipmen receive frequent awareness training throughout their time on
    campus on a variety of sexual assault and sexual harassment topics.
    This includes training on restricted and unrestricted reporting
    procedures. Sea Year Midshipmen receive pre-Sea Year training to
    prepare them for the challenges of Sea Year, including training on how
    to report and incident while at sea.
        Question. The LMI report suggested that there was a lack of
    effective communication from leadership at MMA. How are you working to
    build relationships with your midshipmen, your faculty, and your staff
    to improve the culture of the academy?
        Answer. In response to the LMI recommendations, the Academy has
    begun a ``culture campaign'' to improve communication among Academy
    leadership, faculty, staff and Midshipmen. This campaign is primarily
    driven by the Midshipmen in order to get their buy-in and provide them
    with a sense of ownership. As part of this campaign, we are
    establishing forums to offer an opportunity for Midshipmen to express
    their concerns, ideas, and suggestions. In addition, we have created a
    committee that has representation from Midshipmen, faculty, and staff
    across the Academy that will provide regular feedback to Academy
    leadership. The mission of the culture campaign is to develop and
    facilitate a campus-wide discussion of Academy core values resulting in
    a unified Academy community. The intent is for this to be a multi-year
    campaign that provides strategies and opportunities to improve campus
    climate.
        In addition to the campus-wide culture campaign, I personally meet
    with Midshipmen and faculty on a regular basis during the daily
    operations of the Academy. I have set times to meet with two small
    groups of Midshipmen each week and I meet frequently with faculty
    members, including with the faculty as a group each month.
        Question. The LMI report revealed that midshipmen and alumni were
    warned during plebe indoctrination that if they go to the on-campus
    health clinic, they could be medically disqualified. This includes
    victims of sexual assault. How are you combatting this perception that
    seeking medical treatment would disqualify a midshipman?
        Answer. The goal of the Department of Health Services is to ensure
    Midshipmen receive the health care they need to continue their training
    and education. We have embarked on an education program for both the
    Midshipmen and the staff at our health clinic to ensure that it is
    understood the aim is the well-being of Midshipmen. The Director of
    Health Services has instituted patient satisfaction surveys to assess
    Midshipmen perceptions of the health clinic. He is meeting weekly with
    Midshipmen to further assess Midshipmen attitudes and correct
    misperceptions. He is also working with the clinic staff to address how
    they can improve Midshipmen confidence that their priority is healing
    their illnesses and injuries so they can continue their education and
    training. Midshipmen officers leading indoctrination training this
    summer will be reminded that as leaders, they are responsible for the
    health and well-being of their subordinates, which includes availing
    themselves of health care. In the overwhelming majority of cases,
    Midshipmen are able to recover and graduate. Unfortunately, there will
    always be some Midshipmen who through injury or illness will be unable
    to continue at USMMA. Since 2013, only 17 Midshipmen have been
    disenrolled for medical reasons.
        Question. Each of the five service academies has taken different
    approaches to addressing the issue of sexual assault. Has MMA
    considered some of the programs used by other academies when addressing
    sexual assault?
        Answer. The USMMA program is modeled after the programs used in at
    the U.S. Military Service Academies, which make up the other four
    service academies. The USMMA has reviewed the policies of all of the
    service academies and is in regular communication with those schools
    regarding best practices. USMMA personnel are also involved in efforts
    across all institutions of higher education regarding response and
    prevention efforts. For example, in January 2017, USMMA staff
    participated in a summit hosted by the U.S. Air Force Academy in which
    all of the U.S. Military Service Academies came together to focus on
    accelerating progress in sexual assault and sexual harassment
    prevention, reporting, and retaliation efforts. Part of this summit
    included training for adopting and implementing parallel programming
    among the service academies for addressing sexual assault and sexual
    harassment prevention and response. There is no one-size-fits-all
    approach to addressing these issues, but the USMMA continues to
    evaluate and revise its program as appropriate to meet the needs of its
    Midshipmen.
        Question. To what extent does the relative size of MMA determine
    your approach to this issue?
        Answer. The size of the Academy does not affect the fundamentals of
    addressing the challenges of preventing and responding to sexual
    assault. It creates unique challenges. Every institute of higher
    education has unique challenges to addressing sexual assault and sexual
    harassment. The size of the Academy, the Sea Year training component,
    and the regimental system all present challenges. For example, it is
    difficult to move a victim or an accused out of a class or barracks
    given the Academy's small size. The Academy continues to explore ways
    to address issues these unique challenges.
        Question. Section 3510 of the National Defense Authorization Act
    for Fiscal Year 2017 requires a working group to report to Congress by
    September on efforts to further address the issue of sexual assault
    prevention and reporting. What is the current status of this working
    group?
        Answer. As required by the National Defense Authorization Act for
    Fiscal Year 2017 (fiscal year 2017 NDAA), MARAD convened the Sexual
    Assault Prevention and Response Working Group (SAPR WG) on January 31,
    2017. The SAPR WG is on track to produce a findings report to Congress
    by September 2017. The SAPR WG was divided into three sub-groups each
    with co-chairs and a balance of membership expertise to address Climate
    Awareness, Reporting and Response, and USMMA sea-year training,
    respectively. In total, the membership will address all seven focus
    areas sited in the fiscal year 2017 NDAA language. Concurrently, public
    input is being sought through a Federal Register Notice which was
    published May 1, 2017 under docket number MARAD-2017-0079.
        Question. With the resumption of Sea Year training, what tools and
    indicators are being used onboard to monitor the improvement of safe
    conditions and sexual assault reporting?
        Answer. MARAD and the Academy will seek continuous feedback from
    both Midshipmen and the companies participating in Sea Year so problems
    can be identified and improvements to the Sea year experience can be
    made. The Academy and shipping companies will survey Midshipmen at the
    end of their sailing period to assess shipboard climate and the
    implementation of the requirements companies must meet to be Sea Year
    Eligible. The Academy will continue to assess the success of our
    programs through what we learn about Midshipmen experiences from
    surveys of Midshipmen, formal and informal focus groups, and listening
    sessions, and through tracking official reports of sexual assault and
    harassment. The SCCT will receive continuous feedback from the
    companies to consider improvements. The SCCT criteria will be reviewed
    annually and on-site audits will be performed by MARAD and the Academy
    onboard vessels and with companies.
        Question. Can you please report the dropout rate at USMMA for the
    last five years; of those midshipmen that dropped out, how many filed
    unrestricted or restricted reports of sexual assault?
        Answer. For Midshipmen entering the Academy from 2011 through 2105,
    the overall attrition rate to date is 19 percent. No Midshipman who
    filed an unrestricted report has resigned or been disenrolled. As the
    identities of victims filing restricted reports are kept confidential,
    we cannot ascertain if any have left USMMA prior to graduation.
        Question. Which shipping companies in the past five years had a
    midshipman report an incident of sexual assault or harassment?
        Answer. Two formal reports (one restricted and one unrestricted) of
    sexual assault have been made by Midshipmen involving two companies.
    Ten complaints have been made involving eight companies, about which
    Midshipmen did not want to pursue a formal investigation or provided
    the information anonymously. The complaints involved inappropriate
    touching, comments, and/or unwanted attention. Identifying specific
    companies that have had a report or a complaint made by a Midshipman on
    board one of their vessels could jeopardize the privacy of the
    Midshipman who made the report or complaint. Because of the small
    number of Midshipmen assigned to vessels for Sea Year training, it
    would not be difficult to identify which Midshipman made the report.
        Question. Of all the commercial shipping companies that have taken
    midshipmen for training over the past five years, how many ships had a
    midshipman report sexual harassment or assault? Please also specify
    whether the incident involved a crewmember or another midshipman.
        Answer. Twelve ships have had Midshipmen who made a report
    (restricted or unrestricted) or complaint of sexual assault or sexual
    harassment. One unrestricted report of sexual assault was made
    involving a crewmember. One restricted report of sexual assault was
    made involving another Midshipman. We have less information about the
    remaining ten complaints, because they did not rise to the level of a
    reported incident, but came to the Academy's attention because a
    Midshipman contacted the Academy for advice or assistance. Seven of
    those complaints involved crewmembers and three complaints did not
    include information on whether the incident involved a crewmember or
    another Midshipman. Identifying specific vessels that have had a report
    of sexual assault or sexual harassment made by a Midshipman on board
    could jeopardize the privacy of the Midshipman who made the report.
    Because of the small number of Midshipmen assigned to vessels for Sea
    Year training, it would not be difficult to identify which Midshipman
    made the report.
                                     ______

                      Question Submitted to Calvin Scovel
                   Question Submitted by Senator Patty Murray
        Question. Inspector General Scovel, first, thank you for your past
    work to review efforts by the U.S. Merchant Marine Academy (Academy) to
    address their ongoing issues with sexual assault and sexual harassment.
    In your testimony you indicate that by June 2017 you will start a new
    review of the Academy.
        While the National Defense Authorization Act for fiscal year 2017
    requires that your review focus on the Academy's Sexual Assault
    Prevention and Response program, I ask that you expand your review to
    encompass the entirety of the recently completed Culture Audit and the
    Academy's Action Plan. Further, I respectfully request that your review
    and subsequent recommendations help the Academy prioritize the more
    than 50 immediate and near-term actions in the Academy's Action Plan.
    Will you commit to taking these steps?
        Answer. Yes. My office has already planned to include the Culture
    Audit and Action Plan in the scope of our upcoming review of the
    Academy's Sexual Assault Prevention and Response program--mandated by
    the National Defense Authorization Act for fiscal year 2017. While the
    mandate did not specifically mention the culture plan, our review will
    assess the Academy's progress with all recent reports and associated
    recommendations.
        Furthermore, we continue to encourage the Academy to prioritize the
    more than 50 immediate and near-term actions items in its Action Plan.
    As part of our upcoming review, we will examine the Academy's process
    and procedures for prioritizing the many actions from recent reports,
    as well as how risk is factored into those decisions. It is important
    to note, however, that while we will bring attention to actions that
    might warrant greater attention and priority, it is ultimately the
    responsibility of the Department's leadership to establish the actual
    priorities and determine how they will be carried out within the
    appropriate milestones, deadlines, and applicable policies.

                              SUBCOMMITTEE RECESS

        Senator Collins. I want to thank all of our witnesses for
    participating. And this hearing is now adjourned.
        [Whereupon, at 11:39 a.m., Wednesday, April 5, the hearing
    was concluded and the subcommittee was recessed, to reconvene
    at a time subject to the call of the Chair.]