[Senate Hearing 116-602]
[From the U.S. Government Publishing Office]
S. Hrg. 116-602
NOMINATIONS TO THE NATIONAL
TRANSPORTATION SAFETY BOARD, FEDERAL
MARITIME COMMISSION, AMTRAK BOARD
OF DIRECTORS, WHITE HOUSE OFFICE
OF SCIENCE AND TECHNOLOGY POLICY,
AND THE FOREIGN COMMERCIAL SERVICE
=======================================================================
HEARING
BEFORE THE
COMMITTEE ON COMMERCE,
SCIENCE, AND TRANSPORTATION
UNITED STATES SENATE
ONE HUNDRED SIXTEENTH CONGRESS
FIRST SESSION
__________
JULY 24, 2019
__________
Printed for the use of the Committee on Commerce, Science, and
Transportation
[GRAPHIC NOT AVAILABLE IN TIFF FORMAT]
Available online: http://www.govinfo.gov
__________
U.S. GOVERNMENT PUBLISHING OFFICE
52-730 WASHINGTON : 2023
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SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION
ONE HUNDRED SIXTEENTH CONGRESS
FIRST SESSION
ROGER WICKER, Mississippi, Chairman
JOHN THUNE, South Dakota MARIA CANTWELL, Washington,
ROY BLUNT, Missouri Ranking
TED CRUZ, Texas AMY KLOBUCHAR, Minnesota
DEB FISCHER, Nebraska RICHARD BLUMENTHAL, Connecticut
JERRY MORAN, Kansas BRIAN SCHATZ, Hawaii
DAN SULLIVAN, Alaska EDWARD MARKEY, Massachusetts
CORY GARDNER, Colorado TOM UDALL, New Mexico
MARSHA BLACKBURN, Tennessee GARY PETERS, Michigan
SHELLEY MOORE CAPITO, West Virginia TAMMY BALDWIN, Wisconsin
MIKE LEE, Utah TAMMY DUCKWORTH, Illinois
RON JOHNSON, Wisconsin JON TESTER, Montana
TODD YOUNG, Indiana KYRSTEN SINEMA, Arizona
RICK SCOTT, Florida JACKY ROSEN, Nevada
John Keast, Staff Director
Crystal Tully, Deputy Staff Director
Steven Wall, General Counsel
Kim Lipsky, Democratic Staff Director
Chris Day, Democratic Deputy Staff Director
Renae Black, Senior Counsel
C O N T E N T S
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Page
Hearing held on July 24, 2019.................................... 1
Statement of Senator Wicker...................................... 1
Statement of Senator Cantwell.................................... 2
Statement of Senator Moran....................................... 4
Statement of Senator Blumenthal.................................. 5
Statement of Senator Young....................................... 5
Statement of Senator Markey...................................... 107
Witnesses
Michael Graham, Nominee for Board Member, National Transportation
Safety Board................................................... 6
Prepared statement........................................... 8
Biographical information..................................... 9
Hon. Jennifer Homendy, Nominee to be a Member, National
Transportation Safety Board.................................... 18
Prepared statement........................................... 19
Biographical information..................................... 20
Hon. Robert L. Sumwalt III, Nominee for Chairman, National
Transportation Safety Board.................................... 29
Prepared statement........................................... 30
Biographical information..................................... 31
Carl W. Bentzel, Nominee to be Commissioner, Federal Maritime
Commission..................................................... 59
Prepared statement........................................... 61
Biographical information..................................... 63
Hon. Theodore (Todd) E. Rokita, Nominee to be Director, Amtrak
Board of Directors............................................. 69
Prepared statement........................................... 71
Biographical information..................................... 73
Michael J.K. Kratsios, Nominee for Associate Director, The White
House Office of Science and Technology Policy, and upon
confirmation, Chief Technology Officer of the United States.... 84
Prepared statement........................................... 86
Biographical information..................................... 87
Ian Paul Steff, Nominee to be Assistant Secretary of Commerce for
Global Markets and Director General, United States and Foreign
Commercial Service............................................. 93
Prepared statement........................................... 95
Biographical information..................................... 96
Appendix
Response to written questions submitted to Michael Graham by:
Hon. Maria Cantwell.......................................... 119
Hon. Tom Udall............................................... 119
Hon. Tammy Duckworth......................................... 120
Hon. Jon Tester.............................................. 120
Response to written questions submitted to Hon. Jennifer Homendy
by:
Hon. Maria Cantwell.......................................... 121
Hon. Tom Udall............................................... 121
Hon. Jon Tester.............................................. 123
Response to written questions submitted to Hon. Robert L. Sumwalt
III by:
Hon. Maria Cantwell.......................................... 123
Hon. Amy Klobuchar........................................... 124
Hon. Tom Udall............................................... 124
Hon. Tammy Duckworth......................................... 126
Hon. Jon Tester.............................................. 126
Response to written questions submitted to Hon. Theodore (Todd)
E. Rokita by:
Hon. Jerry Moran............................................. 127
Hon. Maria Cantwell.......................................... 128
Hon. Amy Klobuchar........................................... 129
Hon. Tom Udall............................................... 129
Hon. Jon Tester.............................................. 129
Response to written questions submitted to Michael J.K. Kratsios
by:
Hon. Jerry Moran............................................. 131
Hon. Maria Cantwell.......................................... 132
Hon. Jon Tester.............................................. 134
Response to written questions submitted to Ian Paul Steff by:
Hon. Maria Cantwell.......................................... 137
Hon. Amy Klobuchar........................................... 137
NOMINATIONS TO THE NATIONAL TRANSPORTATION SAFETY BOARD,
FEDERAL MARITIME COMMISSION,AMTRAK BOARD OF DIRECTORS,
WHITE HOUSE OFFICE OF SCIENCE AND TECHNOLOGY POLICY, AND
THE FOREIGN COMMERCIAL SERVICE
----------
WEDNESDAY, JULY 24, 2019
U.S. Senate,
Committee on Commerce, Science, and Transportation,
Washington, DC.
The Committee met, pursuant to notice, at 10:50 a.m. in
room SH-216, Hart Senate Office Building, Hon. Roger Wicker,
Chairman of the Committee, presiding.
Present: Senators Wicker [presiding], Cantwell, Moran,
Blumenthal, Young, and Markey.
OPENING STATEMENT OF HON. ROGER WICKER,
U.S. SENATOR FROM MISSISSIPPI
Senator Wicker. So I want to now thank our nominees for
being here.
We have seven nominees before our committee today who have
been nominated for important roles in a wide range of this
committee's various areas of jurisdiction.
Michael Graham has been nominated to serve as a Member of
the National Transportation Safety Board. Mr. Graham currently
serves as the Director of Flight Operations Safety, Security,
and Standardization for Textron Aviation. Prior to his safety-
centric work in the aviation industry, Mr. Graham served his
country as a naval aviator flying A7s and F/A-18s for nine
years.
Jennifer Homendy has also been nominated to serve as a
Member of the NTSB for a new 5-year term. She has served as a
Member of the NTSB since August 2018 and previously worked as a
Democratic Staff Director on the House Transportation and
Infrastructure Committee's Subcommittee on Railroads,
Pipelines, and Hazardous Materials.
Robert Sumwalt III, has been nominated to serve as Chairman
of the NTSB for a three-year term. He has served as Chairman of
the NTSB since August 2017, and has been on the Board since his
nomination by President George W. Bush in 2006.
Prior to his service at the NTSB, Mr. Sumwalt worked for
U.S. Airways as a check airman, instructor pilot, and air
safety representative between 1986 and 2004.
We're also joined today by Carl Bentzel, who has been
nominated to serve as Commissioner of the Federal Maritime
Commission. Mr. Bentzel currently works as a consultant on
energy and transportation policy issues at Bentzel Strategies,
LLC.
He previously spent 9 years as Democratic Senior Counsel to
the Senate Commerce Committee's then Subcommittee on Surface
Transportation and Merchant Marine, as well as 4 years as the
Democratic Counsel to the House Committee on Merchant Marine
and Fisheries.
Our fifth nominee today is Mr. Todd Rokita. He has been
nominated to be a Member of the Amtrak Board of Directors. Mr.
Rokita spent four terms in the House of Representatives
representing Indiana's 4th District, notably as a member of the
House Committee on Transportation and Infrastructure. He held
assignments on the Subcommittee on Railroads, Pipelines, and
Hazardous Materials as well as the Subcommittee on Aviation.
Before his time in the House, he served as Indiana's
Secretary of State. Upon election at 32 years of age, he was
the youngest Secretary of State in the country.
Also joining us today is Michael Kratsios, who has been
nominated to be an Associate Director of the Office of Science
and Technology Policy. Mr. Kratsios currently serves as
President Trump's top technology advisor in his capacity as
Deputy Assistant to the President for Technology Policy. He has
served in this role for over 2 years and advises the President
on a wide range of policy issues, including artificial
intelligence, unmanned aerial systems, autonomous vehicles,
telecommunications, and rural broadband.
And, finally, testifying today is Ian Steff, who's been
nominated to be Assistant Secretary of Commerce and Director
General of the United States and Foreign Commercial Service.
Mr. Steff currently serves as Deputy Assistant Secretary of
Commerce for Manufacturing and previously led then-Governor
Pence's Innovation and Entrepreneurship Initiative as Indiana's
Chief Innovation Officer.
I want to thank all of you for being here today and for
your willingness to serve in these key positions of public
service. I look forward to learning more about each of our
nominees' qualifications and backgrounds, but, first, I will
turn to Ranking Member Cantwell for her opening remarks.
STATEMENT OF HON. MARIA CANTWELL,
U.S. SENATOR FROM WASHINGTON
Senator Cantwell. Thank you, Mr. Chairman, and I'll try to
go as quickly as I can on this because we do have a crowded
agenda of nominees here today, and they are fulfilling very
important roles for the Nation.
I want to start by welcoming the NTSB Board Chairman Robert
Sumwalt and Jennifer Homendy and the nominee, Mr. Graham.
Obviously the NTSB plays a very important role in investigating
transportation accidents and making recommendations and I
appreciate the hard work the Board has put into the Amtrak
accident investigation in DuPont, Washington, and I know the
Board is working hard in conjunction with other stakeholders to
investigate the two recent crashes of Boeing 737 Max aircraft
and making appropriate recommendations on that, as well.
So having continuity at the NTSB is important and I know
Mr. Sumwalt's term is up on August 9. It's unfortunate the
White House didn't get us the paperwork until just this Monday,
but I'm still hopeful we can work through these issues and try
to get this done before the August break.
In addition, I hope the White House, though will work
expeditiously to fill the remaining open Board seat as soon as
possible. We urgently need an NTSB that is operating at full
strength.
I would also like to welcome former Representative Todd
Rokita, who we just had a chance to meet and talk, the Amtrak
Board of Directors nominee.
Amtrak is very important to the state of Washington, but it
needs investment to maintain services that are both efficient
and safe. So I look forward to hearing your comments on that.
And also the nominee of Michael Kratsios--is that how you
say it? Kratsios. OK. Thank you so much for your willingness to
be the Associate Director of the Office of Science and
Technology Policy and the U.S. Chief Technology Officer.
This is a very important position in the Nation setting up
technology priorities and the associated research budget.
I would note that the National Science Board recently
sounded the alarm about investments in making science a
priority because of China's leading in the second largest
investment of R&D, a key driver for global competitiveness, and
China is on track to overtake the U.S. in R&D in the next few
years.
So in spite of this, the Trump Administration has continued
to put forward budgets that request cuts in non-defense-related
science investments and so I look forward to hearing from you
about how we can change that because I certainly believe in
making major investments.
Mr. Steff's nomination to the Secretary of Commerce and
Director General of the United States Foreign Commercial
Service, your responsibilities in the ITA expanding exports
couldn't be a more important role.
As a state that has one in three people's jobs related to
trade exports, I guarantee you I believe in the growing economy
outside the United States. That's where 95 percent of consumers
are. So I hope that you will give us a very aggressive approach
to what the agency can do to further U.S. exports.
I have dialogued with the Chairman about just even further
fixing our port infrastructure because of the competitiveness
we're seeing from other nations and making sure that we not
only have the opportunities to do business with these countries
but that we can deliver our products in a timely fashion and
compete on a global basis.
And finally, Mr. Bentzel's nominee to be the Commissioner
of the Federal Maritime Commission. It's a critical mission to
monitor the law and practices of foreign governments that could
have discriminatory or negative impacts on shipping conditions.
So I look forward to hearing about those issues and thank you
for mentioning your time at the House Merchant Marine and
Fisheries.
So thank you very much.
Senator Wicker. Thank you, Senator Cantwell.
There is a series of votes on the Floor beginning at 11.
Senator Moran has graciously agreed to preside over this
hearing while I go and vote early and come right back and
before that, Senator Moran is recognized to say a few words of
introduction for Michael Graham.
Senator Moran, you're recognized.
STATEMENT OF HON. JERRY MORAN,
U.S. SENATOR FROM KANSAS
Senator Moran. Mr. Chairman, thank you.
Senator Wicker. You have the gavel.
Senator Moran. Thank you very much.
I'm proud to introduce Michael Graham to this committee. As
a Kansan, he has been nominated to the National Transportation
Safety Board.
Michael Graham, for the last three decades, has committed
his life to service and aviation safety. He was a naval aviator
and a flight instructor and now in his capacity as the Director
of Flight Operations, Safety, Security, and Standardization for
Textron Aviation.
As a naval aviator, Mr. Graham advanced from Ensign to
Lieutenant Commander, flew more than 1,800 flight hours. He has
flown multiple deployments, including piloting the F/A-18
Hornet in Operation Desert Storm.
Mr. Graham also spent time as a division leader, leading
combat air patrol missions over Iraq and Kuwait in support of
Operation Southern Watch.
After his deployment, he took on a new role as flight
instructor for all phases of student training in flying the F/
A-18.
Following his distinguished military service, Mr. Graham
continued his dedication to a career in flight safety, first at
Boeing McDonnell Douglas as an F/A-18 air crew instructor and
avionics integration engineer and eventually as Director of
Flight Operations, Safety, Security, and Standardization for
Textron, where he has now worked for over 20 years.
In this capacity, he is responsible for the safety and
security operations of all domestic and international flights
conducted in support of the company.
Finally, Mr. Graham serves in multiple capacities
throughout the aviation industry. He's the head of the National
Business Aviation Association's Safety Committee, Single Pilot
Safety Working Group, is a member of the General Aviation
Information Analysis Team of the Aviation Safety Information
Analysis and Sharing Program, and is Chair of the Air Charter
Safety Foundation.
Long and decorated career in service and safety and I'm
honored that he has been nominated and I look forward to his
testimony today in hopes that with real expectation that he
will impress my colleagues as much as he impresses me.
Mr. Graham, I thank you for your service to our country and
your willingness to continue that effort.
With that, I recognize the Senator from Connecticut,
Senator Blumenthal.
STATEMENT OF HON. RICHARD BLUMENTHAL,
U.S. SENATOR FROM CONNECTICUT
Senator Blumenthal. Thanks, Senator Moran, and I join in
welcoming Mr. Graham and congratulating him on his nomination
as well as Mr. Sumwalt on your renomination.
I particularly want to introduce to the Committee, Ms.
Homendy. As a native of Connecticut, and I hope her family in
Plainville, Southington, and Farmington, and New Britain
perhaps are watching today from afar, but she has performed
with real distinction and dedication as a member of this Board
so far and as we all know, the NTSB performs a vital function
in investigating unfortunate major crashes and transportation
disasters when they occur and providing recommendations which
need to be followed more rigorously and more frequently by the
agencies to which they are directed.
Ms. Homendy for years has served as one of the go-to
staffers in Congress on rail safety matters and outspoken in
her support of full implementation of positive train control
during her time at the NTSB and I look forward to her continued
service and congratulate her and her family on her great
performance and service to our Nation.
Thank you very much.
Senator Moran. I now recognize the Senator from Indiana,
Senator Young.
STATEMENT OF HON. TODD YOUNG,
U.S. SENATOR FROM INDIANA
Senator Young. Thank you, Mr. Chairman.
I'm pleased to introduce a fellow Hoosier, Mr. Ian Steff.
Since June 2017, Ian has served with distinction as the Deputy
Assistant Secretary of Commerce for Manufacturing.
Given his record of service, this February Ian was
nominated as Assistant Secretary of Commerce and Director
General of the U.S. Foreign and Commercial Service.
While Ian was born and raised near Buffalo, New York, we
are proud to call Ian a Hoosier. He's joined today by his wife
Brittany, a native Hoosier. I'm told Ian and Brittany's two
sons, Daniel and Owen, are at home in Indiana this morning
tuning in to watch Dad. So, Daniel, Owen, know that your dad's
going to do great serving our country. We're really proud of
him.
In addition to Ian's important work that I've already
mentioned and credentials being from the great state of
Indiana, throughout Indiana he's known for his sterling record
of service that began under then Governor Mike Pence and
continued through Indiana's current Governor Eric Holcomb.
Prior to Ian's tenure at the Department of Commerce, he
served as Indiana's first-ever Chief Innovation Officer. In
addition, in that capacity, Ian was the Executive Vice
President of the Indiana Economic Development Corporation. At
the IEDC, Ian was the state's senior-most advisor on science,
technology, and advanced manufacturing.
He spearheaded the state's effort to support Hoosier
entrepreneurship and innovation in the IT, life sciences,
nanotechnology, and energy storage sectors.
I'm pleased to watch Ian continue building on his record of
success at the Federal level and given his record so far, both
at the Department of Commerce and in the Hoosier State, I have
great confidence he's going to successfully lead the Department
of Commerce's Commercial Service.
He's well suited to support our Hoosier and American
businesses and help us grow our exports abroad.
Now it's my distinct honor to introduce a second Hoosier
this morning, my very good friend and fellow Hoosier,
Congressman Todd Rokita. Welcome, Todd.
In May, Representative Rokita was nominated to serve as a
Member of the Amtrak Board of Directors, a fitting position
given his prior service in Congress and his personal passion
for transportation.
In 2002, Todd, who is a native of Munster, Indiana, became
the Hoosier State's youngest Secretary of State. As Secretary,
Todd spearheaded Indiana's efforts to modernize and bring
efficiencies to Indiana's election infrastructure.
Following his successful tenure as Indiana Secretary of
State, he was elected to represent Indiana's 4th Congressional
District and I had the pleasure of beginning to serve Indiana
with Todd in 2011 as members of the U.S. House of
Representatives.
We served for 8 years together in Congress and throughout
that time, there's really one word that comes to mind when I
think of Todd and it's a fighter. He has fought hard and
supported the best interests of Hoosiers and the American
people and I have confidence this strong work ethic and his
passion for doing what is right will continue in his role in
overseeing Amtrak.
Throughout his 8 years of dedicated service representing
Hoosiers in the House of Representatives, Todd rose to become
Vice Chairman of the House Budget Committee but perhaps more
importantly for the hearing today, he was a senior member of
the House Transportation and Infrastructure Committee.
Given his background, I believe he is eminently qualified
to serve as a passionate and dedicated member of Amtrak's Board
of Directors.
Thank you, Mr. Chairman.
Senator Moran. Thank you, Senator Young.
We're now ready for what we're all gathered here to hear
from all of you and we will begin with the Kansan, Mr. Michael
Graham, and work our way down the table. Thank you.
STATEMENT OF MICHAEL GRAHAM, NOMINEE FOR BOARD MEMBER, NATIONAL
TRANSPORTATION SAFETY BOARD
Mr. Graham. Thank you, Senator.
Chairman Wicker, Ranking Member Cantwell, and Distinguished
Members of the Committee, I sincerely appreciate this
opportunity to appear before you today and I am honored to be
President Trump's Nominee to be a Member of the National
Transportation Safety Board.
Before I begin, I would like to introduce a very special
person joining me today, my wife Lori. She's my biggest
supporter and has blessed my life for over 30 years. Without
her, I would not be here today.
Not here today but watching online are my two sons, Matthew
Graham of Boston and Zachary Graham of Houston, who I am very
proud of.
Additionally, I would like to acknowledge and thank Drs.
Tom and Elsa Demubinski, Pam Darwin, and Doug Carr for joining
me today.
I started my career in service to my country in the U.S.
Navy and spent 9 years in that capacity. If confirmed, it would
be an honor and a privilege to serve my country again as a
Board Member of the NTSB.
My entire career has been in aviation with most of it in
the safety field. As a safety professional, my mandate has been
to serve my squadron or flight department by identifying risks
and eliminating or reducing them to an acceptable level while
completing the mission.
In my current role as Director of Safety at Textron
Aviation, I supervise and conduct safety investigations,
identify, troubleshoot, and problem-solve safety gaps to
develop recommendations for the company and the industry.
As a matter of fact, as a party member, my team of
investigators help the NTSB conduct countless investigations. I
am ready to hit the ground running.
While my background is in aviation, I am dedicated to
learning about and improving safety in all modes of
transportation. My focus is on zero--zero preventable deaths.
Should I be confirmed, I am committed to working with
Congress on this mission.
The safety roles I held in my professional career have been
organized similarly to the NTSB, an independent entity focused
solely on safety without a conflict of interest through
accuracy of factual information and transparency.
Like the NTSB, I work with all departments and their
leaders to advise them on their operational risk, make safety
policy and recommendations, highlight awareness, and
collaborate between functional departments and the industry to
ensure safe operations for all.
If confirmed, I bring a unique experience to the Board as
an original equipment manufacturer with a large flight
operation and as a military flight operations officer focused
on safety in the high-risk environment of aircraft carriers.
My extensive experience and training in safety management
systems can be implemented across all modes of transportation.
I have found that SMS is the most effective way of mitigating
risk while ensuring the safety of employees and the public.
I am not a lobbyist nor an academic. I'm a real world
operator who has been safely managing the risk of company
operations by building a robust safety culture. I lead by
example and strive to have organizations not just meet minimum
standards but to be world-class in their performance.
I work within the industry to develop best practices and
steer meaningful change in the interest of safety. You can
expect me to do the same at the NTSB, if confirmed. That is my
promise to Congress, the President, and the American people.
I appreciate your time and thank you for your consideration
of my nomination to serve as a Member of the National
Transportation Safety Board.
I'm happy to answer any questions you may have.
[The prepared statement and biographical information of Mr.
Graham follow:]
Prepared Statement of Michael Graham, Nominee for Board Member,
National Transportation Safety Board
Thank you, Chairman Wicker, Ranking Member Cantwell, and
distinguished members of the Committee. I sincerely appreciate this
opportunity to appear before you today, and I am honored to be
President Trump's nominee for Member of the National Transportation
Safety Board (NTSB).
Before I begin, I would like to introduce a very special person
joining me today, my wife, Lori. She is my biggest supporter and has
blessed my life for over 30 years. Without her, I would not be here
today. Not here today, but watching online are my two sons, Matthew
Graham of Boston, Massachusetts and Zachary Graham of Houston, Texas,
who I am very proud of. Additionally, I would like to acknowledge and
thank Jim Wilt, Drs Tom and Elsa Dembinski, and Pam Darwin for joining
me today.
I started my career in service to my country in the U.S. Navy and
spent 9 years in that capacity. If confirmed, it would be an honor and
privilege to serve my country again as a Board Member of the NTSB. My
entire career has been in aviation, with most of it in the safety
field. As a safety professional, my mandate has been to serve my
squadron or flight department by identifying risks and eliminating or
reducing them to an acceptable level while completing the mission.
In my current role as Director of Safety at Textron Aviation Inc.,
I supervise and conduct safety investigations, identify, troubleshoot
and problem solve safety gaps to develop recommendations for the
company and the industry. As a matter of fact, as a party member, my
team of investigators helped the NTSB conduct countless investigations.
I am ready to hit the ground running.
While my background is in aviation, I am dedicated to learning
about and improving safety in all modes of transportation. My focus is
on zero--zero preventable deaths. Should I be confirmed, I am committed
to working with Congress on this mission.
The safety roles I held in my professional career have been
organized similarly to the NTSB--an independent entity focused solely
on safety, without a conflict of interest, through accuracy of factual
information and transparency. Like the NTSB, I worked with all
departments and their leaders to advise them on their operational
risks, make safety and policy recommendations, highlight awareness, and
collaborate between functional departments and the industry to ensure
safe operations for all.
If confirmed, I bring unique experience to the Board as an Original
Equipment Manufacturer with a large flight operation, and as a military
flight operations officer focused on safety in the high-risk
environment of aircraft carriers. My extensive experience and training
in Safety Management Systems (SMS) can be implemented across all modes
of transportation. I have found SMS is the most effective way of
mitigating risk while ensuring the safety of employees and the public.
I am not a lobbyist nor an academic. I am a real-world operator who
has been safely managing the risks of company operations by building a
robust safety culture. I lead by example and strive to have
organizations not just meet minimum standards, but to be world class in
their performance. I work within the industry to develop best practices
and steer meaningful change in the interest of safety. You can expect
me to do the same at the NTSB, if confirmed. That is my promise to
Congress, the President and the American people.
I appreciate your time and thank you for your consideration of my
nomination to serve as a Member of the National Transportation Safety
Board. I am happy to answer any questions you may have.
______
a. biographical information
1. Name (Include any former names or nicknames used): Michael
``Mike'' Edward Graham.
2. Position to which nominated: Board Member, National
Transportation Safety Board.
3. Date of Nomination: January 9, 2019.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
5. Date and Place of Birth: August 21, 1963; Albuquerque, NM.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Spouse: Lori Priddy Graham; Owner of Designing IHS, LLC;
Executive Director of 100th of the 19th Foundation
Son: Matthew Thomas Graham (28 years old); Son: Zachary John
Graham (25 years old).
7. List all college and graduate degrees. Provide year and school
attended.
BSME, University of New Mexico, Albuquerque, NM, 1986.
8. List all post-undergraduate employment, and highlight all
management level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
All previous employment relevant to nominated position.
(a) Naval Aviator/Fleet Pilot--F/A-18, A-7E / Flight Instructor
F/A-18--U.S. Navy; NAS Lemoore, CA, NAS Beeville, TX, NAS
Whiting Field, FL, & NAS Pensacola, FL; 1986-1995; Division
Leader, Training Officer, Avionics/Armament Division Officer,
Naval Air Training and Operation Procedures Standardization
(NATOPS) Evaluator, Navy Occupational Safety and Health (OSHA)
Officer, Assistant Safety Officer, Scheduling Officer, Drug and
Alcohol Program Manager, Communication Security (COMSEC)
Officer.
(b) F/A-18 Aircrew Instructor/Subject Matter Expert--Boeing/
McDonnell Douglas; St. Louis, MO; 1995-1997; Integration
Engineer and Operational Analyst.
(c) Director, Flight Operations Safety, Security &
Standardization--Textron Aviation, Inc. (Cessna/Hawker/
Beechcraft); Wichita, KS; 1997 to present; Demonstration/
Transportation/Production Flight Test & Delivery Pilot,
Oversees Managers of Air Safety Investigation, Airport
Operation and Control Tower, Training Supervisor.
9. Attach a copy of your resume. See Attachment 1.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last ten years. None.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last ten years.
(a) Air Charter Safety Foundation: Chairman July 2018 to
present, Vice Chairman July 2017-July 2018, Board of Governors
2013 to present.
(b) National Business Aviation Association Safety Committee,
Single Pilot Safety Working Group Lead, 2015 to present.
(c) General Aviation--Information Analysis Team, 2017 to
present.
12. Please list each membership you have had during the past ten
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religiously affiliated organization, private club, or other membership
organization. (For this question, you do not have to list your
religious affiliation or membership in a religious house of worship or
institution.). Include dates of membership and any positions you have
held with any organization. Please note whether any such club or
organization restricts membership on the basis of sex, race, color,
religion, national origin, age, or disability.
(a) Air Charter Safety Foundation, 2012 to present, Chairman,
Vice Chairman, Member
(b) National Business Aviation Association Safety Committee,
2012 to present, Single Pilot Safety Working Group Chairman,
Member
(c) General Aviation--Information Analysis Team, 2017 to
present, Member
(d) Westwood Presbyterian Church, 2015 to present, Member
(e) Eastminster Presbyterian Church, 2001-2015, Member
(f) Ninnescah Sailing Association, 2004-2009, Member and Junior
Sailing Chair
(g) Republican Precinct Committeeman, 2018 to present, Precinct
514
(h) American Legion Post 4 Wichita, KS, 2017 to present, Member
(i) Team RWB (Red, White & Blue), 2018 to present, Member
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt.
Republican Precinct Committeeman--No debt.
14. List all memberships and offices held with and services
rendered to, whether compensated or not, any political party or
election committee within the past ten years. If you have held a paid
position or served in a formal or official advisory position (whether
compensated or not) in a political campaign within the past ten years,
identify the particulars of the campaign, including the candidate, year
of the campaign, and your title and responsibilities.
Republican Precinct Committeeman, 2018-March 2019, Precinct 514
Wichita, Sedgwick County, KS.
15. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past ten years.
No donations over $500.
16. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
(a) U.S. Navy (1986-1995)
a. Navy Achievement Medal for OSHA Safety Program
b. Joint Meritorious Unit Commendation
c. Southwest Asia Service Medal w/Bronze Star
d. National Defense Service Medal
e. Armed Forces Expeditionary Medal
f. Battle ``E'' Award
g. Sea Service Deployment Ribbon (2nd Award)
h. Top Eleven Award (Air Wing 11) for best landing
grades on USS Abraham Lincoln (2 Awards), 1991
(b) McDonnell Douglas
a. Quality Achievement Award, McDonnell Douglas, 1997
(c) Cessna Aircraft Company
Leading Edge Award (3 Awards), Cessna Aircraft Company,
2001, 2005, 2006.
17. Please list each book, article, column, Internet blog posting,
or other publication you have authored, individually or with others.
Include a link to each publication when possible. Also list any
speeches that you have given on topics relevant to the position for
which you have been nominated. Do not attach copies of these
publications unless otherwise instructed.
Presentations:
2019 Air Charter Safety Symposium, March 12, 2019, NTSB
Training Center, Ashburn, VA, ``ACSF Year-in-Review &
Challenges Ahead''.
National Business Aviation Association--Business Aviation
Convention & Exhibition (NBAA-BACE) Single Pilot Safety
Standdown, October 15, 2018, Orlando, FL, ``Moving from Safety
Awareness to Safety Performance: Balancing Business and Flying
Priorities'', Panel Moderator and Presenter.
FAA InfoShare, September 20, 2018, New Orleans, LA, ``Aviation
Safety Action Program (ASAP) Reported Wake Turbulence Event.''
2018 Air Charter Safety Symposium, March 13, 2018, NTSB
Training Center, Ashburn, VA, ``Aviation Safety Action Program
(ASAP) Panel Discussion''.
FAA InfoShare, March 22, 2013, Baltimore, MD, ``Flying in/out
of an Uncontrolled Airport''.
Twin Cessna Flyers Fly-In Convention, Tucson, AZ, May 18, 2017,
``Single Pilot Accident Data and Safety Issues''.
FAA InfoShare, April 20, 2017, Pittsburgh, PA, ``Aviation
Safety Action Program (ASAP) at an Original Equipment
Manufacturer (OEM)''.
2017 Air Charter Safety Symposium, March 7, 2017, NTSB Training
Center, Ashburn, VA, ``Aviation Safety Action Program (ASAP) at
an Original Equipment Manufacturer (OEM)''.
18. List digital platforms (including social media and other
digital content sites) on which you currently or have formerly operated
an account, regardless of whether or not the account was held in your
name or an alias. Include the name of an ``alias'' or ``handle'' you
have used on each of the named platforms. Indicate whether the account
is active, deleted, or dormant. Include a link to each account if
possible.
Facebook: Mike Graham, Dormant,
https://www.facebook.com/profile.php?id=100011424901210
Twitter: Mike Graham@0989295, Dormant,
https://twitter.com/gra0989295
Linkedin: Mike Graham, Active,
https://www.linkedin.com/in/mike-graham-3a2918146/
DailyMile: Mike G., Deleted,
http://www.dailymile.com/people/citationdude#ref=tophd
Strava: Mike Graham, Active.
19. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony. None.
20. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
I started my career in service to my country in the U.S. Navy and
spent 9 years in that capacity. If confirmed, it would be an honor and
privilege to serve my country again as a Board Member of the NTSB. My
entire career has been in aviation, with the majority of it in the
safety field. As a safety professional, my mandate is to serve my
squadron or flight department by managing the risks of the operation
and reducing them to an acceptable level to complete the mission.
Advising Congress on programs that will do this nationwide in all modes
of transportation will be my focus.
The safety roles I held in my professional career have been
organized similar to the NTSB, as an entity embedded in the
organization but independently reports outside the organization to
ensure accuracy and transparency with no conflicts of interest. Like
the NTSB, I worked with all departments and their leaders to advise
them on their operational risks, make safety and policy
recommendations, highlight awareness, and collaborate between
functional departments and the industry to ensure safe operations for
all.
I bring unique experience to the Board as a Director of Safety.
With my dual experience as an Original Equipment Manufacturer with a
large flight operation and as a military flight operations officer with
a safety focus and operations in the high-risk environment of an
aircraft carrier. My extensive experience and training in Safety
Management Systems (SMS) can be implemented across all modes of
transportation. An SMS is the most effective way of mitigating risk
while maximizing resources.
I'm not a lobbyist, an academic, or a policy institute advisor. I'm
an operator who has been managing the risks of its operations by
following the rules and regulations in order to complete the company's
mission. I lead by example and strive to have organizations not just
meet minimum standards, but be world class in their performance. I work
within the industry to come up with best practices and steer meaningful
change in the interest of safety. You can expect for me to do the same
at the NTSB, if confirmed. That is my promise to Congress, the
President and the American people.
21. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
If confirmed, I will abide by the legislative mandate of the NTSB.
I will work closely with the Chairman, Board Members and the staff of
the NTSB to regularly evaluate and ensure the effectiveness and
accountability of the department. This includes being a good steward of
the budget provided by Congress and meeting all requests and deadlines
of Congressional committees.
My management training and experience started early in my aviation
career in the U.S. Navy. Besides being a Division Leader in Attack and
Strike Fighter aircraft, I managed and led an avionics/armament
division for a deployed fleet squadron. I also served as Training
Officer for the West Coast F/A-18 Fleet Replacement Squadron and
Assistant Safety/OSHA Officer for over 600 personnel.
As a military contractor, I helped lead a major avionics effort to
deliver critical design changes for the new Strike Fighter F/A-18 E/F
aircraft. I led the avionics integration effort as liaison between
software engineers and the U.S. Navy Flight Test and Weapons School
Community. The result was a quality product within price and on
performance, while reducing schedule and technical risks to the
production aircraft's software development.
As Director of Flight Operations Safety, Security & Standardization
at Textron Aviation, I am responsible for the safe and secure
operations of all domestic and international flights conducted in
support of the largest general aviation (GA) manufacturer in the world.
During my time as Director, I successfully led the aviation safety,
security, and standardization efforts in merging two iconic aircraft
companies, Cessna and Beechcraft, into one company with 9 separate and
unique flight departments.
I currently direct the Safety Management System (SMS) for all
flight operations which includes several hundred personnel. In
addition, I also oversee two operating airports, a control tower and
the largest and most active aircraft accident air safety investigator
department, second only to the NTSB.
Additionally, I collaborate across the aviation industry to promote
safety and awareness among single pilot operators, the charter industry
and general aviation. As China of the Single Pilot Safety Working Group
of the National Business Aviation Association's Safety Committee,
Chairman of the Air Charter Safety Foundation, and member of the
General Aviation--Information Analysis Team (GA-IAT), I work with other
industry experts to reduce the accident rate of single pilot, charter
and GA operators, providing best practices, awareness, training, tools
and resources for these operators. I am passionate about safety.
22. What do you believe to be the top three challenges facing the
department/agency, and why?
(a) Effectively Influencing Accident Rates for All Modes of
Transportation.
Determining probable cause of an accident is important so we can
categorize the event. This is also important for tracking and
determining trends of accident causation. If our strategy is to truly
decrease accident rates in all modes of transportation, then we need to
determine all the underlying factors behind the accident.
The only way to do this is to determine the human factors that
attributed to the cause of the accident and understand these issues. I
feel the NTSB should focus more time and effort on the human factors of
an accident. Many of the recent NTSB accident reports are void of human
factors analysis of the accident. More thorough analysis is required
and should be supported in the accident analysis and causation report.
This analysis includes a better understanding in four areas: People,
Environment, Actions and Resources.
Future investigations and reports should include thorough analysis
of the physical, physiological, psychological and psychosocial factors
of those involved in the accident. The environment is important but not
just the physical but the organizational environment that they
subjected to. Their actions need to be better understood for making a
determination of accident causation, as well as the resources they are
provided (or not provided) and how they interact and use these
resources. Until we determine the drivers behind the accident and
address these human factors, we cannot significantly decrease accident
rates.
(b) Data Downloads, Analysis and Sharing.
The NTSB is severely undermanned in its data lab. Major accidents
are given priority and are thoroughly analyzed quickly. However, the
majority of accidents are non ``Go Team'', and their data drives are
not downloaded or analyzed for as long as a year after the accident or
not at all. The lack of personnel in the lab is evident, but so is its
capability of the technology used.
Many of the Party Members to an accident currently have the
capability to download accident data on-site and the ability to start
analyzing it immediately, but they are not always allowed to do this.
Removing this hindrance would help the Investigators-in-Charge begin to
pinpoint possible accident causes earlier in the investigation. It also
would give the Party Members the ability to address areas of concern in
their products quicker and formulate fixes or warnings to the industry
faster, helping to avert another accident in this area. Eventually,
when the NTSB Data Lab gets to analyzing this accident at a later date,
they will be able to confirm the accuracy or inaccuracy of the data.
(c) Unmanned Vehicles.
Technology advances in unmanned vehicles is progressing quickly and
will soon inundate the transportation industry. Many modes of
transportation have already adopted unmanned transportation vehicles
and they are growing at an exponential rate. The NTSB needs to get
ahead of this and become experts in the field quickly.
Integration of these vehicles with manned vehicles will be an
issue, but so will the analysis of technical short falls in the
unmanned vehicles. This has the potential for causing accidents. The
NTSB needs to expand the staff of experts in the design, programming,
integration and fail-safe systems of unmanned vehicles. The
investigators have already worked on a few of these accidents, but no
one can fully appreciate the risk of unmanned vehicle accidents, with
how fast they are progressing and the increased numbers of vehicles
coming online.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
I have no financial arrangements, deferred compensation agreements
or other continuing dealings with business associates, clients or
customers. I have a retirement account created by my current employer,
Textron, Inc. which is a defined contribution plan. I will also
continue to participate in Textron, Inc.'s defined benefit pension
plan. The benefit value will be established upon my resignation from
Textron. Both plans are described in Part 3 of my Executive Branch
Personnel Public Financial Disclosure report.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain. No.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated. Explain how you will
resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the NTSB's DAEO to identify
potential conflicts of interest. I agreed to take those actions that
are outlined in my letter to the DAEO; a copy is enclosed. These
commitments constitute my ethics agreement as identified in the ethics
regulations.
Upon my confirmation, I will resign from my position with Textron,
Inc. Because I will continue to participate in this entity's defined
benefit pension plan, I will not participate personally and
substantially in any particular matter that to my knowledge has a
direct and predictable effect on the ability or willingness of Textron,
Inc. to provide this contractual benefit, unless I first obtain a
written waiver, pursuant to 18 U.S.C. Sec. 208(b)(l), or qualify for a
regulatory exemption, pursuant to 18 U.S.C. Sec. 208(b)(2). For a
period of one year after my resignation from Textron Inc., I also will
not participate personally and substantially in any particular matter
involving specific parties in which I know Textron, Inc. is a party or
represents a party, unless I am first authorized to participate,
pursuant to 5 C.F.R. Sec. 2635.502(d).
I will also resign from my positions with the Air Charter Safety
Foundation and the National Business Aviation Association. For a period
of one year after my resignation from each of these entities, I will
not participate personally and substantially in any particular matter
involving specific parties in which I know that entity is a party or
represents a party, unless I am first authorized to participate,
pursuant to 5 C.F.R. Sec. 2635.502(d).
My spouse is the sole owner of Designing IHS, LLC. As long as my
spouse is an owner of the company, I will not participate personally
and substantially in any particular matter that to my knowledge has a
direct and predictable effect on the financial interests of Designing
IHS, LLC, unless I first obtain a written waiver, pursuant to 18 U.S.C.
Sec. 208(b)(l). I also will not participate personally and
substantially in any particular matter involving specific parties in
which I know a client of my spouse is a party or represents a party,
unless I am first authorized to participate, pursuant to 5 C.F.R.
Sec. 2635.502(d).
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last ten years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated. Explain how you will resolve
each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the NTSB's DAEO to identify
potential conflicts of interest. I agreed to take those actions that
are outlined in the letter to the DAEO; a copy is enclosed. These
commitments constitute my ethics agreement as identified in the ethics
regulations. I am not aware of any other potential conflicts of
interest.
5. Identify any other potential conflicts of interest, and explain
how you will resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Governmental Ethics and the NTSB's DAEO to identify
potential conflicts of interest. Any potential conflicts of interest
will be resolved in accordance with the terms of an ethics agreement
that I have entered into with the NTSB' s DAEO and that has been
provided to this Committee. Pursuant to that agreement:
As required by 18 U.S.C. Sec. 208(a), I will not participate
personally and substantially in any particular matter in which
I know that I have a financial interest directly and
predictably affected by the matter, or in which I know that a
person whose interests are imputed to me has a financial
interest directly and predictably affected by the matter,
unless I first obtain a written waiver, pursuant to 18 U.S.C.
Sec. 208(b)(l), or qualify for a regulatory exemption, pursuant
to 18 U.S.C. Sec. 208(b)(2). I understand that the interests of
the following persons are imputed to me: any spouse or minor
child of mine; any general partner of a partnership in which I
am a limited or general partner; any organization in which I
serve as officer, director, trustee, general partner or
employee; and any person or organization with which I am
negotiating or have an arrangement concerning prospective
employment.
Upon confirmation, I will resign from my position with
Textron, Inc. I hold stock in Textron, Inc. I do not hold stock
options or restricted stock. If I rely on a de minimis
exemption under 5 C.F.R. Sec. 2640.202 with regard to any of my
financial interests, including Textron Inc., I will monitor the
value of those interests. If the aggregate value of interests
affected by a particular matter increases and exceeds the de
minimis threshold, I will not participate personally and
substantially in the particular matter that to my knowledge has
a direct and predictable effect on the interests, unless I
first obtain a written waiver pursuant to 18 U.S.C.
Sec. 208(b)(l). In that event, I understand I also may be
directed to divest my interest in Textron, Inc., and will do so
within 90 days of such order.
I also participate in Textron, Inc.'s defined benefit plan.
Because I will continue to participate in this entity's defined
benefit pension plan, I will not participate personally and
substantially in any particular matter that to my knowledge has
a direct and predictable effect on the ability or willingness
of Textron, Inc., to provide this contractual benefit, unless I
first obtain a written waiver, pursuant to 18 U.S.C.
Sec. 208(b)(l), or qualify for a regulatory exemption, pursuant
to 18 U.S.C. Sec. 208(b)(2). For a period of one year after my
resignation from Textron Inc., I also will not participate
personally and substantially in any particular matter involving
specific parties in which I know Textron, Inc. is a party or
represents a party, unless I am first authorized to
participate, pursuant to 5 C.F.R. Sec. 2635.502(d).
Upon confirmation, I will resign from my positions with the
Air Charter Safety Foundation and the National Business
Aviation Association. For a period of one year after my
resignation from each of these entities, I will not participate
personally and substantially in any particular matter involving
specific parties in which I know that entity is a party or
represents a party, unless I am first authorized to
participate, pursuant to 5 C.F.R. Sec. 2635.502(d).
My spouse is the sole owner of Designing IHS, LLC. I will
not participate personally and substantially in any particular
matter that to my knowledge has a direct and predictable effect
on the financial interests of Designing IHS; LLC, unless I
first obtain a written waiver, pursuant to 18 U.S.C.
Sec. 208(b)(l). I also will not participate personally and
substantially in any particular matter involving specific
parties in which I know a client of my spouse is a party or
represents a party, unless I am first authorized to
participate, pursuant to 5 C.F.R. Sec. 2635.502(d).
If I have a managed account or otherwise use the services of
an investment professional during my appointment, I will ensure
that the account manager or investment professional obtains my
prior approval on a case-by-case basis for the purchase of any
assets other than cash, cash equivalents, investment funds that
qualify for the exemption at 5 C.F.R. Sec. 2640.20l(a),
obligations of the United States, or municipal bonds.
I will meet in person with the NTSB's DAEO during the first
week of my service in the position of Board Member in order to
complete the initial ethics briefing required under 5 C.F.R.
Sec. 2638.305.
Within 90 days of my confirmation, I will document my
compliance with the ethics agreement by notifying OGE in
writing when I have completed the steps described in the ethics
agreement.
6. Describe any activity during the past ten years, including the
names of clients represented, in which you have been engaged for the
purpose of directly or indirectly influencing the passage, defeat, or
modification of any legislation or affecting the administration and
execution of law or public policy. None.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics,
professional misconduct, or retaliation by, or been the subject of a
complaint to, any court, administrative agency, the Office of Special
Counsel, professional association, disciplinary committee, or other
professional group? If yes:
a. Provide the name of agency, association, committee, or group;
b. Provide the date the citation, disciplinary action, complaint, or
personnel action was issued or initiated;
c. Describe the citation, disciplinary action, complaint, or
personnel action;
d. Provide the results of the citation, disciplinary action,
complaint, or personnel action.
No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain. No.
3. Have you or any business or nonprofit of which you are or were
an officer ever been involved as a party in an administrative agency
proceeding, criminal proceeding, or civil litigation? If so, please
explain. No.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain. No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain. No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination. None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by congressional committees, and that
your department/agency endeavors to timely comply with requests for
information from individual Members of Congress, including requests
from members in the minority? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect congressional witnesses and whistle blowers from reprisal
for their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
Attachment 1
Senator Moran. Mr. Graham, thank you very much.
Ms. Homendy.
STATEMENT OF HON. JENNIFER HOMENDY, NOMINEE TO BE A MEMBER,
NATIONAL TRANSPORTATION SAFETY BOARD
Ms. Homendy. Thank you, Chairman Wicker, Ranking Member
Cantwell, and Members of the Committee, for this opportunity.
Every time I appear before this committee, I recall all the
great memories of negotiating bipartisan legislation with my
Senate colleagues over the 14 years I served as the Democratic
Staff Director of the Subcommittee on Railroads, Pipelines, and
Hazardous Materials. I believe that experience provided me with
a strong foundation for the important work I'm doing today at
the NTSB.
Exactly one year ago today, the Senate confirmed me to be a
Member of the NTSB. It was, and continues to be, a great honor
and privilege to serve the American people and work with each
of you to improve transportation safety.
I'm honored that you're now considering my renomination for
a full term. I want to once again thank Senator Schumer for
recommending me and President Trump for nominating me.
I also want to thank my husband Mike who's with me today
for his strong support and for being a great father to our
daughter Lexi, and because this job can't be done alone, I want
to thank my team, my senior advisor Erik Strickland, and my
confidential assistant, Nick Greene.
I also want to thank Senator Blumenthal for his kind words
and for his unwavering commitment to safety.
This past year has been busy. I've launched to five
accidents: a series of natural gas pipeline explosions and
fires in Merrimack Valley, Massachusetts, with the Chairman; an
experimental aircraft crash in Fredericksburg, Virginia; a
natural gas pipeline release and subsequent fire in San
Francisco, California; a midair collision of two float-equipped
planes near Ketchikan, Alaska; and most recently, a sky-diving
plane crash on the Hawaiian Island of Oahu.
On behalf of the NTSB, I want to once again extend our
deepest sympathies to the families and friends of those who
died in these accidents and I wish the fullest recovery to
those who were injured.
Since last August, I participated in 11 Board meetings to
consider nine accident reports and two safety studies. I've
also made it one of my top priorities to visit each of our four
regional offices to get to know our investigators as well as
our Federal partners in the Department of Transportation and
U.S. Coast Guard and various stakeholders.
From just one year, I have three main take-aways I'd like
to share.
First, we have the most amazing staff. Whether it's our
investigators who stand ready 24/7 to travel throughout the
United States or internationally in response to transportation
disasters, our research and engineering team who provide
technical support to accident investigations and conduct
studies that examine critical safety issues in all modes of
transportation, our Transportation Disaster Assistance Division
who provide support to victims and family members affected by
accidents, or the hundreds of others at the NTSB who work
tirelessly to support our safety mission, their hard work,
professionalism, and dedication is why I believe the NTSB is so
highly regarded as the number one safety agency in the world.
Second, over the last decade, our Nation's transportation
system has seen significant improvements in safety. With that
said, when an accident occurs, the consequences are
devastating, particularly for those who've lost loved ones or
were injured.
The NTSB's goal is zero--zero accidents, zero injuries, and
zero deaths. Until that goal is reached, there's a lot more
that we as a nation can do to improve safety and that's why I
believe the NTSB's mission is so critical.
The traveling public counts on us to conduct thorough and
objective accident investigations and to issue reports and
safety recommendations that are substantiated by evidence and
based on facts.
Third, in my confirmation hearing last year, I committed to
working with this Committee to improve safety across all modes
of transportation. I believe and will continue to believe that
an ongoing dialogue between the Board and this committee is
crucial to address safety gaps identified through our accident
investigations and safety recommendations, many of which are
included on our Most Wanted List.
Thank you again for this opportunity, and I look forward to
answering your questions.
[The prepared statement and biographical information of Ms.
Homendy follow:]
Prepared Statement of Hon. Jennifer Homendy, Nominee to be a Member,
National Transportation Safety Board
Thank you, Chairman Wicker, Ranking Member Cantwell, and Members of
the Committee for the opportunity to appear before you today.
Every time I appear before this Committee, I recall fondly the
memories of negotiating bipartisan legislation with my Senate
colleagues over the 14 years I served as the Democratic Staff Director
of the Subcommittee on Railroads, Pipelines, and Hazardous Materials. I
believe that experience provided me with a strong foundation for the
important work I'm doing today at the National Transportation Safety
Board (NTSB).
Exactly one year ago today, the United States Senate confirmed me
to be a Member of the NTSB. It was and continues to be a great honor
and privilege to serve the American people and work with each of you to
improve transportation safety, prevent accidents and injuries, and save
lives. I'm honored that you are now considering my re-nomination for a
full term. I want to once again thank Senator Schumer for recommending
me and President Trump for nominating me.
I also want to thank a few people who are closest to me. First and
foremost, I want to thank my husband, Mike, for supporting me in all my
endeavors and for being a great father to our daughter, Lexi. Second,
this job can't be done alone so I want to thank my team: my senior
advisor, Erik Strickland, and my confidential assistant, Nick Greene. I
also want to thank my colleagues at the Board, Chairman Sumwalt, Vice
Chairman Landsberg, and all the NTSB staff for their continued
dedication to safety.
This past year has been busy. I've launched to five accidents: a
series of natural gas pipeline explosions and fires in Merrimack
Valley, Massachusetts (with Chairman Sumwalt); an experimental aircraft
accident in Fredericksburg, Virginia; a natural gas pipeline release
and subsequent fire in San Francisco, California; a mid-air collision
of two float-equipped planes near Ketchikan, Alaska; and, most
recently, a skydiving plane crash on the Hawaiian island of Oahu. On
behalf of the NTSB, I want to once again extend our deepest sympathies
to the families and friends of those who died in these accidents, and I
wish the fullest recovery to those who were injured.
Since last August, I've participated in 11 Board meetings to
consider nine accident reports--most recently, a school bus fire in
Oakland, Iowa, and the collision of an Amtrak train and CSX freight
train in Cayce, South Carolina--and two safety studies on pedestrian
safety and motorcycle safety. Additionally, I testified on pipeline
safety before the Subcommittee on Railroads, Pipelines, and Hazardous
Materials of the Committee on Transportation and Infrastructure (T&I),
highway safety before the T&I Subcommittee on Highways and Transit,
Amtrak oversight before this Committee, and motorcycle safety and rear
seat belt use before the Joint Committee on Transportation of the
Connecticut General Assembly.
From just one year, I have three main takeaways I'd like to share:
First, we have the most amazing staff at the Board. Whether it's
our investigators who stand ready 24/7 to travel throughout the United
States or internationally in response to transportation disasters; our
research and engineering team who provide technical support to accident
investigations and conduct studies that examine critical safety issues
in all modes of transportation; our transportation disaster assistance
division who provides support to victims and family members affected by
accidents; or the hundreds of others at the NTSB who work tirelessly to
support our safety mission, their hard work, professionalism, and
dedication is why I believe the NTSB is so highly regarded as the
number one safety agency in the world.
That's also why I've made it one of my top priorities to visit each
of our four regional offices (Anchorage, Alaska; Denver, Colorado;
Seattle, Washington; and Ashburn, Virginia) this year, as well as our
Federal partners in the U.S. Department of Transportation and U.S.
Coast Guard, and various stakeholders.
Second, over the last decade, our Nation's transportation system
has seen significant improvements in safety. With that said, when an
accident does occur, the consequences are devastating, particularly for
those who have lost loved ones or were injured. The NTSB's goal is
zero--zero accidents, zero injuries, and zero deaths. Until that goal
is reached, there is a lot more that we, as a nation, can do to improve
safety and that is why the NTSB's mission is so critical. The traveling
public counts on us to conduct thorough and objective accident
investigations and to issue reports and safety recommendations that are
substantiated by evidence and based on fact. Those recommendations
will, if implemented, prevent the reoccurrence of a similar tragedy,
and most importantly, save lives.
Third, in my confirmation hearing last year, I committed to working
with this Committee to improve safety across all modes of
transportation. I believe, and will continue to believe, that an
ongoing dialogue between the Board and this Committee is crucial to
address safety gaps identified through our accident investigations and
safety recommendations, many of which are included in our Most Wanted
List of Transportation Safety Improvements, such as reducing speeding-
related crashes, ending alcohol and other drug impairment,
strengthening occupant protection, and ensuring the safe shipment of
hazardous materials.
Chairman Wicker, I appreciate all the work that you and Ranking
Member Cantwell have undertaken to address safety, particularly your
oversight of positive train control implementation and your work to
strengthen aviation safety, child safety in automobiles, and the safety
of commercial motor vehicles. If confirmed, I look forward to
continuing to work with you and the Members of this Committee in your
endeavors.
Thank you again for this opportunity, and I look forward to
answering your questions.
______
a. biographical information
1. Name (Include any former names or nicknames used):
Jennifer Lynn Homendy
Jennifer Esposito Homendy
Jennifer Lynn Esposito (maiden name)
2. Position to which nominated: Member, National Transportation
Safety Board (reappointment), for a term expiring December 31, 2024.
3. Date of Nomination: January 9. 2019.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office address: National Transportation Safety Board, 490
L'Enfant Plaza East, SW, Washington, DC 20590.
5. Date and Place of Birth: November 26, 1971; New Britain, CT.
6. Provide the name. position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Michael Homendy (spouse) Software Development Manager Robbins-
Gioia, LLC
7. List all college and graduate degrees. Provide year and school
attended.
The Pennsylvania State University, Bachelor of Arts.
Humanities, 1994
8. List all post-undergraduate employment, and highlight all
management level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
Member, National Transportation Safety Board, August 2018 to
present (term expires December 31, 2019)
Democratic Staff Director, Subcommittee on Railroads,
Pipelines, and Hazardous Materials, Committee on Transportation
and Infrastructure, U.S. House of Representatives, June 2004 to
August 2018
Legislative Representative, International Brotherhood of
Teamsters, 1999 to June 2004
Legislative Representative, Transportation Trades Department,
AFL-CIO, 1997-1999
Manager of Government Relations, American Iron and Steel
Institute, 1996-1997 (Legislative Assistant, 1996)
Senate Assistant, National Federation of Independent Business
(NFIB), 1994-1996
Following graduation from The Pennsylvania State University in
September 1994, I served as a paid temporary staff assistant
for Congressman Lamar Smith (R-TX). I was offered a permanent
position but declined because I accepted a position with the
NFIB. Immediately prior to graduation, I worked as an unpaid
intern for Senator Arlen Specter (R-PA, at the time) in his
Harrisburg, Pennsylvania district office.
9. Attach a copy of your resume. See attached resume.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last ten years.
I have not held any advisory, consultative, honorary, or other
part-time service or positions with Federal, State, or local
governments, other than those listed above, within the last ten years.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last ten years.
2017: President, Baffa Academy Association, a parent
association for my daughter's dance academy (not compensated).
I resigned from this position upon confirmation on July 25,
2018, in accordance with the terms of my ethics agreement with
the NTSB's Designated Agency Ethics Official (DAEO). For a
period of one year after my resignation, I will not participate
personally and substantially in any particular matter involving
specific parties in which I know the Baffa Academy Association
is a party or represents a party, unless I am first authorized
to participate, pursuant to 5 C.F.R. Sec. 2635.502(d).
On and off from 2010-2016: Board Member and President of the
River Meadows Community Association (not compensated).
2012-2015: Partner, Mommy Trader Movement, LLC (MTM),
Fredericksburg, Virginia (not compensated). MTM was initially
formed to help 5,000 local mothers buy, sell, and trade used
toys, clothing, furniture, and other items through a Facebook
group page to help reduce family expenses. Over time, MTM
expanded to host events that raised funds for the benefit of a
local YMCA financial hardship campaign and various
Fredericksburg families-in-need. MTM also organized classes
aimed at reducing costs for families; promoted local family-
friendly events and small businesses; and published family-
friendly articles in Fredericksburg Parent and Family magazine.
Articles I authored, individually or with others, are listed
under Question #17.
12. Please list each membership you have had during the past ten
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religiously affiliated organization, private club, or other membership
organization. (For this question, you do not have to list your
religious affiliation or membership in a religious house of worship or
institution.). Include dates of membership and any positions you have
held with any organization. Please note whether any such club or
organization restricts membership on the basis of sex, race, color,
religion, national origin, age, or disability.
Member, Fredericksburg Country Club (2015 to present)
Member, YMCA (Fredericksburg, VA) (October 2017-March 2018)
Member, Cape Fear Triathlon Club (January 2018 to present)
Member, USA Triathlon (January 2014 to present)
President, Baffa Academy Association (August 2017-July 2018)
Member, American College of Sports Medicine (2013 to
present)
Member, Fredericksburg Cycle Club (2014)
None of the above organizations restrict membership on the basis of
sex, race, color, religion, national origin, age, or handicap.
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt.
I currently serve as a Member of the National Transportation Safety
Board. I was nominated by the President in April 2018 and confirmed by
the United States Senate in July 2018 (campaign debts/liabilities not
applicable).
14. List all memberships and offices held with and services
rendered to, whether compensated or not, any political party or
election committee within the past ten years. If you have held a paid
position or served in a formal or official advisory position (whether
compensated or not) in a political campaign within the past ten years,
identify the particulars of the campaign, including the candidate, year
of the campaign, and your title and responsibilities.
I have not held a membership or office with a state or national
political party or election committee. Additionally, I have not held a
paid position or served in a formal or official advisory position in a
political campaign within the past ten years.
15. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past ten years.
I have not made any political contributions to any individual,
campaign organization, political party, political action committee, or
similar entity of $500 or more in the past 10 years.
16. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Fellow, 115th Congress, Stennis Center for Public Leadership
Honorary Recognition and Membership Award, United
Transportation Union, adopted by the Board of Directors by
resolution in 2007, in recognition of my ``immeasurable
assistance in support of railroad workers and their welfare.''
17. Please list each book, article, column, Internet blog posting.
or other publication you have authored, individually or with others.
Include a link to each publication when possible. Also list any
speeches that you have given on topics relevant to the position for
which you have been nominated. Do not attach copies of these
publications unless otherwise instructed.
I have not authored, individually or with others, any books or
publications.
Articles, columns, and blogs
Drink or Drive-Pick One, NTSB Safety Compass, April 29, 2019.
Link: https://safetycompass.wordpress.com/2019/04/29/drink-or-
drive-pick-one/
Don't Rely on the Luck of the Irish for a Safe Ride Home, NTSB
Safety Compass, March 15, 2019. Link: https://
safetycompass.wordpress.com/2019/03/15/dont-rely-on-the-luck-
of-the-irish-for-a-safe-ride-home/
Connecticut Needs a Motorcycle Helmet Law, Hartford Courant,
March 10, 2019. Link: http://www.courant.com/opinion/op-ed/hc-
op-homendy-ntsb-motorcycle-helmet-law-03l0-20190310-
6obz2gtlbfcxpiwrd6fpoclxmu-story.html
Ten Year. Later: Remembering Chatsworth With Action, NTSB
Safety Compass, September 12, 2018. Link: https://
safetycompass.wordpress.com/2018/09/12/ten-years-later-
remembering-chatsworth-with-action/
Although they are not relevant to the position for which I have
been nominated, I authored (individually and with others) a column in
Fredericksburg Parent and Family Magazine in 2013 called Frugal Living
with Mommy Trader Movement. I also authored two articles in Penn State
Harrisburg's The Capital Times (student newspaper) in 1993.
Frugal Living with Mommy Trader Movement: Giving Back to Our
Community, Fredericksburg Parent and Family Magazine, November
2013
Frugal Living with Mommy Trader Movement: Dress to Impress
for Less, Fredericksburg Parent and Family Magazine, August
2013
Frugal Living with Mommy Trader Movement: 25 Free or Cheap
Things to Do in Fredericksburg and Beyond, Fredericksburg
Parent and Family Magazine, July 2013
Frugal Living with Mommy Trader Movement: Make Your Own
Beauty Products, Fredericksburg Parent and Family Magazine, May
2013
Frugal Living with Mommy Trader Movement: Making Money on
Household Cleaners, Fredericksburg Parent and Family Magazine,
April 2013
Frugal Living with Mommy Trader Movement: Trim Your
Waistline and Your Wallet, Fredericksburg Parent and Family
Magazine , February 2013
Strategy for Sensible Eating, Penn State Harrisburg's The
Capital Times, October 25, 1993
Aquatic Aerobics, Penn State Harrisburg's The Capital Times,
October 25, 1993
Speeches
Lifesavers National Conference on Highway Safety Priorities,
Workshop: Research and Efforts to Combat Speeding, March 31,
2019.
Brotherhood of Locomotive Engineers and Trainmen, Fourth
National Convention, October 5, 2018. Link: https://
www.ntsb.gov/news/speeches/JHomendy/Pages/homendy-20181003.aspx
Pipeline Safety Trust Annual Conference, October 19, 2018.
Link: http://pstrust.org/wp-content/uploads/2018/10/Homendy-
Presentation-web.pdf
From June 21, 2004 through August 19, 2018, I served as
Democratic Staff Director of the Subcommittee on Railroads,
Pipelines, and Hazardous Materials and participated in numerous
panel discussions on the legislative outlook in Congress and
various railroad, pipelines, and hazardous materials
transportation issues. I did not keep a list of those panel
discussions, but I have appeared before the following
organizations: the American Gas Association, the American
Public Transportation Association, the American Association of
State Highway and Transportation Officials, Women in
Transportation Seminar, Women in Government Relations, the
Transportation Trades Department, AFL CIO, the One Rail
Coalition, the Association of American Railroads, the
International Brotherhood of Locomotive Engineers and Trainmen,
and the International Brotherhood of Teamsters.
18. List digital platforms (including social media and other
digital content sites) on which you currently or have formerly operated
an account, regardless of whether or not the account was held in your
name or an alias. Include the name of an ``alias'' or ``handle'' you
have used on each of the named platforms. Indicate whether the account
is active, deleted, or dormant. Include a link to each account if
possible.
Facebook: Jennifer Ellie (active)
Twitter: Marlee the dog @marlee_milo (active). My husband
created another account for me in 2011 but it's inactive
(@JenHomeND).
Instagram: I created an account for my minor daughter using my
contact information; however, the account is managed by my
daughter (and in her name). I established the account solely
for oversight purposes. Please contact me should you have
further questions regarding this account.
Pinterest: I had an account through Facebook (Jennifer Ellie)
but it's dormant.
19. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony.
Subcommittee on Highways and Transit, Committee on
Transportation and Infrastructure, U.S. House of
Representatives, Every Life Counts: Improving the Safety of our
Nation's Roadways, April 9, 2019
Subcommittee on Railroads, Pipelines, and Hazardous Materials,
Committee on Transportation and Infrastructure, U.S. House of
Representatives, Pipeline Safety: Reviewing the Unmet Mandates
and Examining Additional Safety Needs, April 2, 2019
Committee on Commerce, Science, and Transportation, United
States Senate, April 12, 2018, Nomination of Jennifer L.
Homendy, of Virginia, to be a Member of the National
Transportation Safety Board for a term expiring December 31,
2019; confirmed July 24, 2018; sworn-in August 20, 2018
20. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
On August 20, 2018, I was sworn in as the 44th Member of the
National Transportation Safety Board (NTSB) for a term expiring
December 31, 2019. Since joining the NTSB, I have launched on the NTSB
Go-Team to two pipeline accidents: Merrimack Valley, Massachusetts
(training launch) and San Francisco, California. I have participated in
a number of Board meetings to consider and approve final accident
reports, findings, probable causes, and recommendations (in all modes
of transportation). Additionally, I spearhead three issues on the
NTSB's Most Wanted List of Transportation Safety Improvements:
implementation of positive train control, ending alcohol and other drug
impairment in transportation, and combatting speeding-related crashes.
If confirmed, I would consider it a great honor and privilege to
continue to serve my country to improve safety across all modes of
transportation to prevent accidents and injuries and save lives.
Prior to joining the NTSB, from June 2004 through August 2018, I
served as the Democratic Staff Director of the Subcommittee on
Railroads, Pipelines, and Hazardous Materials for the Committee on
Transportation and Infrastructure of the U.S. House of Representatives.
During that time, I worked extensively with the NTSB, the
Department of Transportation (DOT), the DOT's Inspector General, the
Amtrak Inspector General, the Government Accountability Office, and
transportation stakeholders to improve safety. I have also worked to
implement many of the NTSB's safety recommendations, including
recommendations on fatigue; worker training; implementing Positive
Train Control; retrofitting rail tank cars that transport crude oil and
other flammable liquids; installing excess flow valves on certain
distribution pipelines; enhancing drug and alcohol testing of
transportation workers; providing safety-critical information about
pipelines to State and local emergency responders; and improving the
safety of transporting hazardous materials.
Prior to my work on Capitol Hill, I served as a Legislative
Representative for the International Brotherhood of Teamsters and the
Transportation Trades Department, AFL-CIO, where I also focused on
transportation safety. In total, I have more than 20 years of
experience in surface transportation safety and some experience with
aviation safety (related to the transportation of hazardous materials
onboard aircraft).
Additionally, although I am not a fire fighter, I am certified in
Core HazMat Operations and Mission-Specific PPE and Product Control, as
prescribed by the National Fire Protection Association's 472 Standard
for Competence of Responders to Hazardous Materials/Weapons of Mass
Destruction Incidents, and accredited through the National Board on
Fire Service Professional Qualifications. This course, developed and
provided by the International Association of Fire Fighters, trains fire
fighters on how best to respond to transportation accidents involving
hazardous materials. Throughout my career, I have worked extensively to
strengthen safety and training standards for fire fighters, hazmat
teams, and other first responders.
21. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
If confirmed, I will work with the Chairman and other Board Members
and staff, including the Managing Director and Chief Financial Officer,
to ensure the Board effectively utilizes, manages, and conducts
oversight of the agency's resources.
22. What do you believe to be the top three challenges facing the
department/agency, and why?
Reducing human factor-caused accidents in all modes of
transportation. Accidents caused by human factors constitute
the largest category of accidents in all modes of
transportation. In rail, for example, human factors accounted
for 38 percent of all train accidents, or 36 percent of all
commuter and intercity passenger rail accidents, from 2012
through 2017. Technologies, such as positive train control, can
help prevent human factor-caused accidents, but we also need to
address the underlying issues that lead to these accidents,
including fatigue, inattention, and distraction.
Adapting to new technologies. Technology is changing the way we
live, work, and travel--from unmanned aircraft systems and
automated vehicles to positive train control and consumer
products powered by new technologies, such as lithium
batteries. Many of these technologies have the potential to
significantly reduce the number of transportation accidents and
save lives.
Technology also plays a significant role in accident response
and investigation techniques. with the NTSB and numerous State
and local response agencies now utilizing drones to assess
accident scenes. All of this means the Board and staff must
stay on top of emerging technology in the transportation
industry. which requires substantial and continual training,
the time to provide such training given the number of accidents
and limited number of NTSB investigators. and the ability to
purchase equipment to conduct complex accident investigations.
Reducing the time for completing accident reports. Currently,
it takes about 12 to 24 months for the NTSB to complete an
accident investigation and issue a final report; five
investigations have now exceeded 24 months. That time-frame
needs to be reduced in a manner that does not sacrifice the
integrity of the Board's investigations. Although the Board has
the authority to issue urgent or interim safety recommendations
prior to issuing final reports, it's crucial for the traveling
public, federal. state, and local agencies, and other
stakeholders to be made aware of the facts, analyses, findings.
and final recommendations of the Board in a timely manner so
that more immediate actions can be taken to improve safety.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
I have no financial arrangements, deferred compensation agreements,
or other continuing dealings with business associates, clients, or
customers. I have a Thrift Savings Plan and I participate in the
Federal Employees Retirement System, a defined benefit retirement plan.
Information related to my spouse's retirement account is fully
described in Part 3 of my Executive Branch Personnel Public Financial
Disclosure.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain. No.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated. Explain how you will
resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the NTSB's DAEO to identify
potential conflicts of interest. I agreed to take those actions that
are outlined in the letter to the DAEO; a copy is enclosed. These
commitments constitute my ethics agreement as identified in the ethics
regulations.
As explained in my ethics agreement, my spouse is employed by
Robbins-Gioia, LLC, from which he receives a fixed annual salary and
bonus tied to his performance. For as long as my spouse continues to
work for Robbins-Gioia, LLC, I will not participate personally and
substantially in any particular matter involving specific parties in
which I know my spouse's employer or any client of my spouse is a party
or represents a party, unless I am first authorized to participate,
pursuant to 5 C.F.R. Sec. 2635.502(d).
Additionally, upon my confirmation to the NTSB in July 2018, I
resigned from my position as President of the Baffa Academy
Association, a parent association of my daughter's dance academy. For a
period of one year after my resignation, I will not participate
personally and substantially in any particular matter involving
specific parties in which I know the Baffa Academy Association is a
party or represents a party, unless I am first authorized to
participate, pursuant to 5 C.F.R. Sec. 2635.502(d).
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last ten years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated. Explain how you will resolve
each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the National Transportation Safety
Board's DAEO to identify potential conflicts of interest. I agreed to
take those actions that are outlined in a letter to the DAEO; a copy is
enclosed. These commitments constitute my ethics agreement as
identified in the ethics regulations. I am not aware of any other
potential conflicts of interest.
5. Identify any other potential conflicts of interest, and explain
how you will resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the NTSB's DAEO to identify
potential conflicts of interest. Any potential conflicts of interest
will be resolved in accordance with the terms of an ethics agreement
that I have entered into with the NTSB's DAEO and that has been
provided to this Committee. Pursuant to that agreement:
I will not participate personally and substantially in any
particular matter in which I know that I have a financial
interest directly and predictably affected by the matter, or in
which I know that a person whose interests are imputed to me
has a financial interest directly and predictably affected by
the matter, unless I first obtain a written waiver, pursuant to
18 U.S.C. Sec. 208(b)(l), or qualify for a regulatory
exemption, pursuant to 18 U.S.C. Sec. 208(b)(2). I understand
that the interests of the following persons are imputed to me:
any spouse and minor child of mine; any general partner of a
partnership in which I am a limited or general partner; any
organization in which I serve as officer, director, trustee,
general partner or employee; and any person or organization
with which I am negotiating or have an arrangement concerning
prospective employment.
Upon confirmation to the NTSB in July 2018. I resigned from my
position as President of the Baffa Academy Association. a parent
association of my daughter's dance academy. For a period of one year
after my resignation, I will not participate personally and
substantially in any particular matter involving specific parties in
which I know the Baffa Academy Association is a party or represents a
party, unless I am first authorized to participate, pursuant to 5
C.F.R. Sec. 2635.502(d).
My spouse is employed by Robbins-Gioia, LLC, from which he receives
a fixed annual salary and bonus tied to his performance. For as long as
my spouse continues to work for Robbins-Gioia. LLC, I will not
participate personally and substantially in any particular matter
involving specific parties in which I know my spouse's employer or any
client of my spouse is a party or represents a party. unless I am first
authorized to participate, pursuant to 5 C.F.R. Sec. 2635.502(d).
If I have a managed account or otherwise use the services of an
investment professional during my appointment, I will ensure that the
account manager or investment professional obtains my prior approval on
a case-by-case basis for the purchase of any assets other than cash.
cash equivalents, investment funds that qualify for the exemption at 5
C.F.R. Sec. 2640.201(a). obligations of the United States, or municipal
bonds.
I will meet in person with the DAEO during the first week of my
confirmation in order to complete the ethics briefing required under 5
C.F.R. Sec. 2638.305. Within 90 days of my confirmation. I will
document my compliance with the ethics agreement by notifying the
NTSB's DAEO in writing when I have completed the steps described in the
ethics agreement.
6. Describe any activity during the past ten years, including the
names of clients represented, in which you have been engaged for the
purpose of directly or indirectly influencing the passage, defeat, or
modification of any legislation or affecting the administration and
execution of law or public policy.
As stated in Section A, Question #19, in April 2019, I testified on
behalf of the NTSB before the House Committee on Transportation and
Infrastructure on various legislative issues (pipeline safety and
highway safety). In February, I testified on behalf of the NTSB before
the Joint Committee on Transportation of the Connecticut General
Assembly on House Bill 7140 in support of implementing certain NTSB
safety recommendations (universal motorcycle helmet law, rear seat belt
use, and Operation Lifesaver).
In addition, from June 21, 2004 through August 19, 2018, I served
as the Democratic Staff Director for the Subcommittee on Railroads,
Pipelines, and Hazardous Materials for the Committee on Transportation
and Infrastructure, U.S. House of Representatives, where I have engaged
in drafting and influencing the passage, defeat, or modification of
numerous pieces of legislation.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics,
professional misconduct, or retaliation by, or been the subject of a
complaint to, any court, administrative agency, the Office of Special
Counsel, professional association, disciplinary committee, or other
professional group? If yes:
a. Provide the name of agency, association, committee, or group;
b. Provide the date the citation, disciplinary action, complaint, or
personnel action was issued or initiated;
c. Describe the citation, disciplinary action, complaint, or
personnel action;
d. Provide the results of the citation, disciplinary action,
complaint, or personnel action.
No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain.
I have held security clearances since 2000 and have received
periodic background check investigations by law enforcement related to
those clearances. Additionally, as a teenager, in March 1990, I was
arrested for shoplifting. See Question #4 for further information.
3. Have you or any business or nonprofit of which you are or were
an officer ever been involved as a party in an administrative agency
proceeding, criminal proceeding, or civil litigation? If so, please
explain.
I have not been involved as a party in an administrative agency
proceeding, civil litigation, or criminal proceeding, except as
described in response to Question #4. To the best of my knowledge, the
businesses and nonprofits of which I am or was an officer have never
been involved as a party in an administrative agency proceeding, civil
litigation, or criminal proceeding.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain.
As a teenager, on March 19, 1990, a misdemeanor for shoplifting. I
deeply regret my actions. In addition to court-ordered penalties, I
volunteered for community service, which included speaking to students
and at-risk youth.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain. No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination.
Nothing unfavorable. As far as favorable information, I believe
that my extensive background and expertise in motor carrier, rail,
pipeline, and hazardous materials transportation safety has brought an
added professional, modal, and issue-area balance to the Board. Of the
40 ongoing major accident investigations listed on the NTSB's website,
8 involve freight and passenger railroads, including the collision of
an Amtrak train and CSX freight train in Cayce, South Carolina; an
accident involving two Southeastern Pennsylvania Transportation
Authority trains in Upper Darby, Pennsylvania; and, the Amtrak
derailment near DuPont, Washington. Five additional ongoing accident
investigations involve natural gas pipelines, including the August 2,
2017, gas explosion at the Minnehaha Academy School in Minneapolis,
Minnesota; the September 13, 2018, gas explosion and fire in Merrimack
Valley, Massachusetts; and the February 6, 2019, gas explosion and fire
in San Francisco, California. I launched as a Member of the NTSB Go-
Team to the Merrimack Valley and San Francisco pipeline releases.
I would also like the Committee to know that I have a proven track
record of working in environments that require collaboration,
deliberation, negotiation, and teamwork. I have strong working
relationships on both sides of the aisle, in the House and Senate and
in the Executive Branch, including the modal agencies, and with outside
entities.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for infonnation set by congressional committees, and that
your department/agency endeavors to timely comply with requests for
infonnation from individual Members of Congress, including requests
from members in the minority? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect congressional witnesses and whistle blowers from reprisal
for their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
Resume of Jennifer L. Homendy
Employment Background
Board Member, National Transportation Safety Board, from August 2018 to
present. Nominated by the President on April 12, 2018; Committee on
Commerce, Science, and Transportation hearing held on May 16, 2018;
ordered to be reported favorably on May 22, 2018; confirmed by the
Senate by voice vote on July 24, 2018; and sworn in on August 20, 2018.
Democratic Staff Director, Subcommittee on Railroads, Pipelines, and
Hazardous Materials, Committee on Transportation and Infrastructure,
U.S. House of Representatives, from June 2004 to August 2018.
Legislative areas of expertise include issues involving the railroad
industry and its employees; the safety of oil and natural gas
pipelines; and the transportation of hazardous material in commerce.
Specific duties include drafting, negotiating, and moving legislation
through the legislative process; developing legislative and oversight
agendas; preparing memos, speeches, and statements for Democratic
Members of Congress; delivering speeches and panel presentations on
behalf of the Committee; leading hearings and Committee investigations
of Federal programs, policies and regulations; and carrying out
oversight of Federal rail, pipeline, and hazardous material
transportation programs, including the Committee's extensive oversight
investigation of the Enbridge oil pipeline spill in Marshall, Michigan,
the Committee's audit of the Pipeline and Hazardous Materials Safety
Administration's special permits and approvals program, and the
Committee's 2017-2018 audit of the Department of Transportation's drug
and alcohol testing program (across all modes).
Legislative Representative, International Brotherhood of Teamsters,
from June 1999 to June 2004. Duties included representing the interests
of Teamster working families before Congress and the Executive Branch.
Areas of expertise included transportation and international trade.
Transportation work focused on motor carrier, rail, and hazardous
materials safety. Served as a cleared (classified) labor representative
on the President's Advisory Committee on Trade Policy and Negotiations
and the U.S. Department of Labor's Trade Advisory Committee.
Legislative Representative, Transportation Trades Department, AFL-CIO
(TTD), from August 1997 to June 1999. Duties included representing the
interests of transportation workers before Congress and the Executive
Branch. Areas of expertise included motor carrier, rail, hazardous
material, and nuclear waste transportation safety; domestic
manufacturing/Buy America; appropriations/budget; innovative financing,
including state infrastructure banks and credit enhancements; and
worker protections, including Section 13(c) of the Federal Transit Act
and Davis Bacon.
Manager of Government Relations, American Iron and Steel Institute
(AISI), from March 1996 to August 1997 (promoted from Legislative
Assistant). Duties included representing the interests of the American
steel industry and its employees before Congress in the areas of
transportation, environment, and energy; researching and preparing
policy analyses of various tax and trade issues; serving as Staff
Director of AISI's Committee on Traffic; coordinating political action
committee contributions to Members of Congress; representing AISI at
coalition meetings and fundraisers; presenting monthly reports to
AISI's Board of Directors on legislative developments; interacting with
Members of Congress, congressional staff, and AISI member companies;
and drafting correspondence and memoranda.
Senate Assistant for Federal Governmental Relations, National
Federation of Independent Business (NFIB), from September 1994 to March
1996. Duties included researching issues that affect small businesses;
serving as a member of the Guardian Advisory Council Taskforce, a team
of staff assigned to restructure the organization's activist/grassroots
lobbying efforts; interacting with congressional staff; drafting
correspondence and memoranda on various small business issues;
organizing membership participation in, and issue development for, the
White House Conference on Small Business held in June 1995; and
providing legislative and administrative support to the Director of
Federal Governmental Relations and three Senate lobbyists.
Intern, Senator Arlen Specter (R-PA, at the time), Harrisburg, PA, from
1993 to 1994.
Educational Background
Certificate, Accident Investigation Orientation for Rail Professionals,
the National Transportation Safety Board, May 2017
Fellow, 115th Congress, Stennis Center for Public Leadership
The National Board on Fire Service Professional Qualifications (through
the International Association of Fire Fighters), Certified in Core
HazMat Operations and Mission-Specific PPE and Product Control (hazmat
operations-level responder training)
The Pennsylvania State University, Bachelor of Arts in Humanities with
concentrations in Public Policy and Journalism, graduated 1994
Certified Personal Trainer, American College of Sports Medicine
Senator Moran. Thank you very much.
Mr. Sumwalt.
STATEMENT OF HON. ROBERT L. SUMWALT III, NOMINEE FOR CHAIRMAN,
NATIONAL TRANSPORTATION SAFETY BOARD
Mr. Sumwalt. Thank you very much.
Chairman Moran, Chairman Wicker, Ranking Member Cantwell,
and Distinguished Members of the Committee, I'm honored to
appear before you today as you consider my nomination to be
Chairman of the National Transportation Safety Board, and I'm
grateful to President Trump for the confidence that he has
placed in me through this nomination.
I'd like to express particular appreciation to the
Committee staff on both sides of the aisle for the hard work
that they've done to squeeze me in to this hearing today. I
really appreciate that.
Due to the short notice, my wife and daughter could not be
here. My daughter is watching from Durham, North Carolina, and
my wife is trying to figure out how to use the internet.
[Laughter.]
Mr. Sumwalt. But I am pleased that my nephew Frank Beal,
who's a second-year law student, is able to join us today.
Thank you, Frank, for being here.
During my tenure on the NTSB, I've served as a Member, Vice
Chairman, Acting Chairman, and now for the last two years as
Chairman. Under my leadership as Chairman, the agency's ranking
in the Best Places to Work in the Federal Government has
advanced 33 percent to our current position of number six of 29
small agencies, a position that we've held for the last two
consecutive years, and according to the Partnership for Public
Service, our rating for executive leadership, senior leaders
has improved 22 percent over the past 2 years. Our engagement
score is at an all time high, including our rating for support
for diversity, which has increased 12 percent.
I've placed high management focus on addressing unresolved
management accountability and controls issues, a risk to the
agency. We have also prioritized eliminating the backlog with
our Freedom of Information Act requests and I'm also pleased to
report that we've made significant progress in each of these
areas.
In addition to providing agency leadership, my tenure on
the Board has clearly demonstrated my solid record as a fierce
advocate for improving safety in all modes of transportation,
including teen driver safety, impaired driving, distractions in
transportation, positive train control, tank car and pipeline
safety, and professionalism in aviation.
I've testified before this Committee regarding pipeline,
rail, and aviation safety. And, I believe that to truly improve
transportation safety, our investigations must not stop at
simply finding the obvious cause. I'm known for dogmatically
seeking to uncover each underlying factor that may have led to
the accident and I believe that if we only focus on the
superficial causes, then we miss accident prevention
opportunities.
Before joining the Board, I was a captain for a major U.S.
airline where I flew the Boeing 737 and other transport
category airplanes. I've testified twice to Congress this year
regarding the 737 Max.
I believe that my demonstrated agency leadership, my safety
focus, as well as my experience piloting Boeing 737s and other
transport aircraft, I think that brings a unique and vital
perspective to the role of NTSB Chairman.
Despite our progress, I believe there's still unfinished
work that needs to be done, both from an agency leadership
perspective as well as improving the safety of our Nation's
transportation system.
Regarding agency leadership, we are actively seeking and
implementing ways to allow the agency to be more effective and
efficient, including measures to complete accident
investigations in a more timely manner, and on the safety
front, we are continuing to push for successful adoption of our
safety recommendations.
I am honored to have been renominated to continue this work
and if confirmed, I pledge to work diligently to lead the
agency in functioning more effectively and efficiently as well
as continuing to serve as a fierce advocate for improving
transportation safety through timely, quality accident
investigations and safety recommendations.
Mr. Chairman, if confirmed, I look forward to continuing to
work in a professional and collegial fashion with my fellow
Board members, the dedicated NTSB staff, and, of course, this
committee as we work to enhance transportation safety.
Thank you very much.
[The prepared statement and biographical information of Mr.
Sumwalt follow:]
Prepared Statement of Hon. Robert L. Sumwalt III, Nominee for Chairman,
National Transportation Safety Board
Thank you, Chairman Wicker, Ranking Member Cantwell, and
distinguished Members of the Committee. I am honored to appear before
you today as you consider my nomination as Chairman of the National
Transportation Safety Board (NTSB). I am grateful to President Trump
for the confidence he has placed in me through this nomination.
During my tenure on the NTSB, I have served as Member, Vice
Chairman, Acting Chairman, and, for the past two years, Chairman.
Under my leadership as Chairman, the agency's ranking in the Best
Places to Work in the Federal Government has advanced 33 percent to our
current position of Number 6 of 29 small agencies--a position we have
held for the past two consecutive years. According to the Partnership
for Public Service, our rating for Effective Leadership: Senior Leaders
improved 22 percent over the past two years. Our engagement score is at
all all-time high, including our rating for Support for Diversity,
which increased 12 percent.
I have placed a high management focus on addressing unresolved
Management Accountability and Controls (MAC) risks to the agency. We
have also prioritized eliminating the excessive backlog with Freedom of
Information Act requests. I'm pleased to report that we have made
significant progress on each of these priorities.
In addition to providing agency leadership, my tenure on the Board
has clearly demonstrated my solid record as a fierce advocate for
improving safety in all modes of transportation, including such issues
as teen driver safety, impaired driving, distractions in
transportation, positive train control, tank car and pipeline safety,
and professionalism in aviation. I have testified before this Committee
regarding pipeline, rail, and aviation safety.
I believe that to truly improve safety, our investigations must not
simply stop at finding the obvious error. I'm known for dogmatically
seeking to uncover each underlying factor that may have led to an
accident. I believe that if we only focus on superficial causes, we
miss opportunities for true safety improvements.
Before joining the Board, I was a Captain for a major U.S. airline,
where I flew a Boeing 737 and other transport aircraft. I have
testified to Congress twice on the 737 Max issues. I believe my
demonstrated agency leadership, my safety focus, as well as my
experience in piloting Boeing 737s and other transport category
aircraft, brings a unique and vital perspective to the role of NTSB
Chairman.
Despite our progress, I believe there is unfinished work that needs
to be done--both from the agency leadership perspective, as well
improving the safety of our Nation's transportation system. Regarding
agency leadership, we are actively seeking and implementing ways to
allow the agency to be more effective and efficient, including measures
to complete accident investigations in a more-timely manner. On the
safety front, we are continuing to push for successful adoption of our
safety recommendations.
I am honored to have been re-nominated to continue this work and,
if confirmed, pledge to work diligently to lead the agency in
functioning more efficiently and effectively, as well as continuing to
serve as a fierce advocate for improving transportation safety through
timely, quality accident investigations and safety recommendations.
Mr. Chairman, if confirmed, I look forward to continuing to work in
a professional and collegial fashion with my fellow Board Members, the
dedicated NTSB staff, and this Committee, to enhance transportation
safety for all.
Thank you for your time and I look forward to answering your
questions.
______
a. biographical information
1. Name (Include any former names or nicknames used):
Robert Llewellyn Sumwalt III.
2. Position to which nominated: Chairman, National Transportation
Safety Board.
3. Date of Nomination: July 17, 2019.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: National Transportation Safety Board, 490 L'Enfant
Plaza, Washington, DC 20594.
5. Date and Place of Birth: June 30, 1956; Columbia, SC.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Anne Macdonald Sumwalt (spouse), Sales Associate, Talbots,
Inc.; 4809 Forest Drive, Columbia, SC 29206.
Kaylyn Mackenzie Sumwalt (daughter) Age 25
7. List all college and graduate degrees. Provide year and school
attended.
Bachelor of Science, 1979
Business Administration
University of South Carolina
Master of Aeronautical Science, 2014
Aviation/Aerospace Safety Systems and Human Factors in Aviation
Systems
Embry-Riddle Aeronautical University
8. List all post-undergraduate employment, and highlight all
management level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
National Transportation Safety Board
Incumbent ANTS Board Member (August 2006 to present)
Acting Chairman (March 2017-August 2017)
Chairman (August 2017 to present)
SCANA Corporation
Manager of Aviation
November 2004-August 2006
(Managing corporate flight department for a Fortune 500
company)
US Airways
Airline Pilot
February 1981-November 2004
Assigned to Corporate Safety Department on temporary
assignment, 1997-2004
Aviation consultant
1991-2006
Self employed while working as an airline pilot and
aviation department manager
9. Attach a copy of your resume.
Resume is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last ten years. None.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last ten years. None.
12. Please list each membership you have had during the past ten
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religiously affiliated organization, private club, or other membership
organization. (For this question, you do not have to list your
religious affiliation or membership in a religious house of worship or
institution.). Include dates of membership and any positions you have
held with any organization. Please note whether any such club or
organization restricts membership on the basis of sex, race, color,
religion, national origin, age, or disability.
Note: None of these organizations restrict membership on the basis
of sex. race, color, religion. national origin, age or handicap.
Palmetto Club
2016 to present
Academie de L' Air et de L'Espace
Foreign Associate Member
2014 to present
Aircraft Owners and Pilots Association
Member
2005-2019
Columbia Ball
Member
Approximately 1995-2014
Cotillion Ball
Member
Approximately 2003-2014
Eastminster Presbyterian Church
Member
1995 to present
Forest Lake Club
Member
1981-2010
International Society of Air Safety Investigators
Member
Approximately 1995 to present
Royal Aeronautical Society
Fellow
2014 to present
University of South Carolina Alumni Association
Member
Approximately 1980 to present
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt. No.
14. List all memberships and offices held with and services
rendered to, whether compensated or not, any political party or
election committee within the past ten years. If you have held a paid
position or served in a formal or official advisory position (whether
compensated or not) in a political campaign within the past ten years,
identify the particulars of the campaign, including the candidate, year
of the campaign, and your title and responsibilities. None.
15. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past ten years.
Henry McMaster for Governor of SC. $1,000. (2017)
16. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Highway Safety Hero, Advocates for Highway and Auto Safety,
2019
Honorary Doctorate, Embry-Riddle Aeronautical University, 2018
Joseph T. Nall Safety Award, International Air & Transportation
Safety Bar Association, 2018
Honorary Doctor of Science, University of South Carolina, 2017
Cecile S. Hatfield Award for Excellence in Aviation, 2017
Bombardier Safety Standdown Award, 2016
Fellow, Royal Aeronautical Society, 2014
Association of Air Medical Services Public Service Award, 2010
South Carolina Aviation Hall of Fame, 2009
Professional Pilot Magazine Aviation Safety Advocate of the
Year, 2009
ALPA Air Safety Award, 2004
Flight Safety Foundation's Laura Taber Barbour Air Safety
Award, 2003
17. Please list each book, article, column, Internet blog posting,
or other publication you have authored, individually or with others.
Include a link to each publication when possible. Also list any
speeches that you have given on topics relevant to the position for
which you have been nominated. Do not attach copies of these
publications unless otherwise instructed.
Please see attached
18. List digital platforms (including social media and other
digital content sites) on which you currently or have formerly operated
an account, regardless of whether or not the account was held in your
name or an alias. Include the name of an ``alias'' or ``handle'' you
have used on each of the named platforms. Indicate whether the account
is active, deleted, or dormant. Include a link to each account if
possible.
LinkedIn (active): https://www.linkedin.com/in/robertlsumwalt/
Twitter (not actively used): https://twitter.com/smudgedad
19. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony.
May 15, 2019--Testimony Before Subcommittee on Aviation,
Committee on Transportation and Infrastructure, United States
House of Representatives. Status of the Boeing 737 MAX,
Washington, D.C.
April 10, 2019--Testimony Before the Committee on Commerce,
Science, and Transportation Subcommittee on Transportation and
Safety, United States Senate. Pipeline Safety: Federal
Oversight and Stakeholder Perspectives, Washington, D.C.
March 27, 2019--Testimony Before the Committee on Commerce,
Science, and Transportation Subcommittee on Aviation and Space
on The State of Airline Safety: Federal Oversight of Commercial
Aviation, Washington, D.C.
November 26, 2018--Testimony Before the Committee on Commerce,
Science, and Transportation, United States Senate on Pipeline
Safety in the Merrimack Valley: Incident Prevention and
Response, Field Hearing in Lawrence, MA.
September 13, 2018--Testimony Before the Subcommittee on
Railroads, Pipelines, and Hazardous Material Committee on
Transportation & Infrastructure United States House of
Representatives on The State of Positive Train Control
Implementation in the United States, Washington, D.C.
February 15, 2018--Testimony Before the Subcommittee on
Railroads, Pipelines, and Hazardous Materials Committee on
Transportation & Infrastructure United States House of
Representatives on Oversight of Positive Train Control
Implementation in the United States, Washington, D.C.
June 8, 2017--Testimony before the Committee on Commerce,
Science, and Transportation, United States Senate. Confirmation
Hearing for consideration to be reappointed as NTSB Board
Member, Washington, D.C.
February 26, 2014--Testimony before the Subcommittee on
Railroads, Pipelines, and Hazardous Materials Committee on
Transportation and Infrastructure, United States House of
Representatives, Hearing on Oversight of Passenger and Freight
Rail Safety, Washington, D.C.
April 22, 2009--Testimony Before the Subcommittee on Aviation,
Committee on Transportation and Infrastructure, United States
House of Representatives, Hearing on the Oversight of
Helicopter Medical Services, Washington, D.C.
February 24, 2009--Testimony Before the Subcommittee on
Aviation, Committee on Transportation and Infrastructure,
United States House of Representatives, Hearing on the U.S.
Airways Flight 1549 Accident, Washington, D.C.
February 13, 2008--Testimony Before the Subcommittee on
Aviation, Committee on Transportation and Infrastructure,
United States House of Representatives, Hearing on Runway
Safety, Washington, D.C.
May 22, 2007--Testimony Before Committee on Commerce, Science
and Transportation, Subcommittee on Surface Transportation and
Merchant Marine, Infrastructure, Safety, and Security, United
States Senate, Hearing on Rail Safety Legislation, Washington,
D.C.
January 30, 2007--Testimony Remarks Before the Subcommittee on
Railroads, Pipelines and Hazardous Materials, Committee on
Transportation and Infrastructure, United States House of
Representatives, on safety of U.S. Railroads, Washington, D.C.
July 27, 2006--Testimony before the Committee on Commerce,
Science, and Transportation, United States Senate. Confirmation
Hearing for consideration to become Member of the National
Transportation Safety Board, Washington, D.C.
20. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
In establishing the NTSB, Congress charged the agency with
investigating transportation accidents and crashes, determining the
probable cause, and issuing safety recommendations to prevent future
accidents and crashes. As discussed below, I believe my 13-year
experience at this agency and the outcomes achieved as the Chairman
support my qualification for this position.
Demonstrated Leadership:
I have led the NTSB as Acting Chairman (March 2017-August 2017) and
Chairman (August 2017 to present). I have provided strong leadership to
establish a vision, values, and goals for the agency, which helped
advance the NTSB's standing from the 9th Best Place to Work in the
Federal Government to Number 6--a position we have retained for the
past two consecutive years. I have set a goal for our agency to become
the top-rated small Federal agency and we are working in pursuit of
that goal. Our engagement score is at an all-time high. Through my
leadership, the agency is actively taking measures to improve the
timeliness of filling personnel vacancies, complete accident
investigations in a more timely manner, and continue to strengthen
employee engagement. We are actively seeking and implementing ways to
allow the agency to be more effective and efficient.
To enhance effectiveness and efficiency, I have provided leadership
for these specific processes:
Addressed unresolved Management Accountability and Controls
(MAC) risks to the agency, with special attention on ''high
risk'' items.
Prioritized eliminating the excessive backlog with Freedom
of Information Act responses.
Directed the successful development of a computerized
dashboard to facilitate accident investigation tracking and
accountability.
Initiated a bi-weekly meeting with all modal directors so
agency leadership can resolve investigative bottlenecks and
keep investigations on schedule.
Initiated routine meetings with the agency CFO to ensure
fiscal responsibility of the agency's annual budget of $110.4
million of American taxpayers' dollars. These meetings also are
to ensure Management Accountability Controls are in place to
prevent fraud, waste, or abuse.
A contributing factor to our team effectiveness as an agency is our
active leadership in promoting diversity and inclusion. Under my
tenure, I appointed the agency's first African American Managing
Director, and upon his retirement, the agency's first female Managing
Director. I also hired the agency's first female General Counsel, and I
promoted the agency's first female African American to lead one of the
agency's divisions.
Experience:
In addition to providing agency leadership, my 13 years on the
Board has clearly demonstrated my solid record as being a fierce
advocate for improving transportation safety and accident investigation
processes in all transportation modes. I have been involved with
deliberating and determining the probable cause of over 200
transportation accident investigations. I have been Board Member On
Scene for 35 transportation accidents, which involved conducting well
over 100 media briefings, interfacing with families of victims, and
meeting with elected officials. Additionally, while serving as a Member
of the NTSB, I have presented over 300 speeches, as well as testified
to Congress and State legislatures regarding transportation safety
issues.
Why I Wish to Serve:
I believe there is unfinished work that needs to be done--both from
the agency leadership perspective, as well improving the safety of our
Nation's transportation system. I am honored to have been renominated
to continue this work and, if confirmed, pledge to work diligently to
ensure the agency functions more efficiently and effectively, as well
as continue to serve as a fierce advocate for improving transportation
safety through timely, quality accident investigations and the
resulting safety recommendations.
21. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
Ensuring the agency is not subjected to adverse publicity or
findings is a major responsibility of being Chairman. When I took over
as Acting Chairman, I learned there were several outstanding risk items
on our Management Accountability and Controls (MAC) program. I charged
our management team with developing an action plan--one that required
management accountability--for closing-out risks items that were
identified by the agency's Senior Management Oversight Council (SOC). I
meet on a regular basis with the agency's CFO to be kept abreast of the
agency's financial status. I am holding the CFO accountable for
ensuring the agency receives another clean (unmodified) audit opinion
with no management letters or significant deficiencies.
I meet on a regular basis with the agency EEODI officer to ensure
we are complying with all applicable requirements for equal
opportunity, diversity and inclusion. Likewise, I hold regular meetings
with the agency General Counsel to ensure we are meeting our legal
obligations.
22. What do you believe to be the top three challenges facing the
department/agency, and why?
For 2019, together with our Senior Leadership Team, I set the
following three priorities for the agency:
1) Timeliness of Investigations. Some of our investigations are
taking longer to complete than perhaps absolutely necessary.
Through the development of the project dashboard, we now meet
with the department heads bi-weekly to track progress of
investigations. Bottlenecks are identified and resolved.
Schedules for completion are established and accountability is
in place. We are undertaking a review of our investigative
processes to find further efficiency and effectiveness gains.
The underlying rule, however, is that the quality of
investigations must not suffer. We are not looking to rush
completion of reports; we are, however, actively working to
improve our processes.
2) Hiring. In order to accomplish our Congressional mandate, we need
people to perform those duties. The length of time it was
taking to fill vacancies had become excessive. We lacked a
transparent and accountable method of tracking hiring actions.
I appointed a Chief Human Capital Officer to develop a strategy
for improving this, and progress is being made.
3) Employee Engagement. We want to ensure that we are accomplishing
these goals without dramatically affecting work-life balance.
Therefore, employee engagement is important to foster a safe,
healthy work environment for our employees.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
I am retired from U.S. Airways, for which I served as an airline
pilot for approximately 24 years. The retirement/pension to which I
should have been entitled is now provided and handled under the
auspices of the Pension Benefit Guaranty Corporation, a governmental
agency. I began receiving these retirement benefits effective June 30,
2006, and they will continue until my death.
US Airways was acquired by America West in 2005, but the merged
airline kept the U.S. Airways name. In 2013, that airline acquired
American Airlines and retained the name of American Airlines. Upon
consulting with the Office of Government Ethics for my last Ethics
Agreement dated May 11, 2017, OGE believed it was no longer necessary
to specifically mention U.S. Airways since they are no longer a viable
entity due to the merger.
This information is described fully in my Form 278e Public
Financial Disclosure Form.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain. No.
3. Indicate any investments, obligations, liabilities, orother
relationships which could involve potential conflicts of interest in
the position to which you have been nominated. Explain how you will
resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the NTSB's DAEO to identify
potential conflicts of interest. I agreed to take those actions that
are outlined in my ethics agreement letter to the DAEO. These
commitments constitute my ethics agreement as identified in the ethics
regulations.
I received an honorary degree from Embry-Riddle Aeronautical
University in May 2018. For the duration of my holding the position of
Chairman, I will not participate personally and substantially in any
particular matter involving specific parties in which Embry-Riddle
Aeronautical University is a party or represents a party, unless I am
first authorized to participate pursuant to 5 C.F.R. Sec. 2635.502(d).
As explained in my ethics agreement, my spouse is employed by
Talbots, Inc., from which she receives an hourly salary. For as long as
my spouse continues to work for Talbots, Inc., I will not participate
personally and substantially in any particular matter involving
specific parties in which I know my spouse's employer or any client of
my spouse is a party or represents a party, unless I am first
authorized to participate, pursuant to 5 C.F.R. Sec. 2635.502(d).
Additionally, I will not participate personally and substantially
in any particular matter in which I know that I have a financial
interest directly and predictably affected by the matter, or in which I
know that a person whose interests are imputed to me has a financial
interest directly and predictably affected by the matter, unless I
first obtain a written waiver. pursuant to 18 U.S.C. Sec. 208(b)(1), or
qualify for a regulatory exemption, pursuant to 18 U.S.C.
Sec. 208(b)(2).
Because my accounts are managed by a brokerage firm, on July 18,
2019, in accordance with my EA, I notified my account manager of the
need obtain my prior approval on a case-by-case basis for the purchase
of any assets other than cash, cash equivalents, investment funds that
qualify for the exemption at 5 C.F.R. Sec. 2640.201(a), obligations of
the United States, or municipal bonds. He has agreed to comply.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last ten years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated. Explain how you will resolve
each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the National Transportation Safety
Board's DAEO to identify potential conflicts of interest. I agreed to
take those actions that are outlined in my ethics agreement letter to
the DAEO. These commitments constitute my ethics agreement as
identified in the ethics regulations. I am not aware of any other
potential conflicts of interest.
5. Identify any other potential conflicts of interest, and explain
how you will resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the NTSB's DAEO to identify
potential conflicts of interest. Any potential conflicts of interest
will be resolved in accordance with the tenens of an ethics agreement
that I have entered into with the NTSB's DAEO and that has been
provided to this Committee. Pursuant to that agreement:
I will not participate personally and substantially in any
particular matter in which I know that I have a financial
interest directly and predictably affected by the matter, or in
which I know that a person whose interests are imputed to me
has a financial interest directly and predictably affected by
the matter, unless I first obtain a written waiver, pursuant to
18 U.S.C. Sec. 208(b)(1), or qualify for a regulatory exempt
ion, pursuant to 18 U.S.C. Sec. 208(b)(2). I understand that
the interests of the following persons are imputed to me: my
spouse and minor child of mine; any general partner of a
partnership in which I am a limited or general partner; any
organization in which I serve as officer, director, trustee,
general partner or employee; and any person or organization
with which I am negotiating or have an arrangement concerning
prospective employment.
I received an honorary degree from Embry-Riddle Aeronautical
University in May 2018 . For the duration of my holding the
position of Chairman, I will not participate personally and
substantially in any particular matter involving specific
parties in which Embry-Riddle Aeronautical University is a
party or represents a party, unless I am first authorized to
participate pursuant to 5 C.F.R. Sec. 2635.502(d).
My spouse is employed by Talbots, Inc., from which she
receives an hourly salary. For as long as my spouse continues
to work for Talbots, Inc., I will not participate personally
and substantially in any particular matter involving specific
parties in which I know my spouse's employer or any client of
my spouse is a party or represents a party, unless I am first
authorized to participate, pursuant to 5 C.F.R.
Sec. 2635.502(d).
I have a managed account or otherwise use the services of an
investment professional during my appointment. I will ensure
that the account manager or investment professional obtains my
prior approval on a case-by-case basis for the purchase of any
assets other than cash, cash equivalents, investment funds that
qualify for the exemption at 5 C.F.R. Sec. 2640.201(a),
obligations of the United States, or municipal bonds.
If confirmed, I will meet in person with the DAEO during the
first week of my confirmation in order to complete the ethics
briefing required under 5 C.F.R. Sec. 2638.305. Within 90 days
of my confirmation, I will document my compliance with the
ethics agreement by notifying the NTSB's DAEO in writing when I
have completed the steps described in the ethics agreement.
6. Describe any activity during the past ten years, including the
names of clients represented, in which you have been engaged for the
purpose of directly or indirectly influencing the passage, defeat, or
modification of any legislation or affecting the administration and
execution of law or public policy. None.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics,
professional misconduct, or retaliation by, or been the subject of a
complaint to, any court, administrative agency, the Office of Special
Counsel, professional association, disciplinary committee, or other
professional group? No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain.
In 1977, I was arrested and charged with reckless driving. It
taught me a very good lesson. I acted irresponsibly. However, since
that time 42 years ago, I have had a perfectly spotless driving record.
Truthfully, l obey all traffic rules. Furthermore, I work hard to
advance traffic safety through my work at the NTSB.
3. Have you or any business or nonprofit of which you are or were
an officer ever been involved as a party in an administrative agency
proceeding, criminal proceeding, or civil litigation? If so, please
explain.
In consultation with the NTSB's General Counsel, the following list
of cases identify matters in which I am included in the name of the
matter because of my role as Chairman of the agency. None of these
matters include allegations of wrongdoing on my part, and I have not
been deposed or otherwise participated in any of these matters. As
Chairman, I am aware that the agency is involved in litigation, but
because I may be the ultimate arbiter on behalf of the agency, I am not
familiar with the details of any of these matters.
None of these cases are in a public forum; therefore, only the case
number is provided. An Official Use Only key is provided separately.
1. EEOC Appeal No. 0120182487 for EEOC Hearing No. 570-2016-00773X
(Agency No. NTSB-2015-02 and NTSB-2017-02)--Matter pending
2. EEOC Appeal No. 0120180038 (Agency Nos. NTSB-2014-01 and NTSB-
2015-01)--Final Agency Decision finding no discrimination by
the agency; complainant's appeal of that Decision is pending
3. EEOC Appeal No. 120171835 for EEOC Hearing No. 450-20I4-00254X
(Agency Nos. NTSB-2013-04N, NTSB-2013-05)--Final Agency
Decision found no discrimination by the agency; Decision upheld
on appeal
4. Agency No. NTSB-2017-01--Final Agency Decision found no
discrimination by the agency; Decision was not appealed
5. EEOC Appeal No. 20190010137 for EEOC Hearing No. 570-2017-01219X
(Agency No. NTSB-2017-03)--Final Agency Decision finding no
discrimination by the agency; complainant's appeal of that
Decision is pending
6. EEOC Hearing No. 570-2017-00760X (Agency No. NTSB 2016-0 2)--
matter settled at minimal cost to the agency
7. EEOC Hearing No. 570-2017-01208X (Agency No. NTSB-2017-02)--
matter pending
8. EEOC Hearing No. 570-2018-00457X (Agency No. NTSB-2017-07)--
matter settled at minimal cost to the agency
9. Agency No. NTSB-2017-06--Final Agency Decision found no
discrimination by the agency; Decision was not appealed
10. EEOC Hearing No. 570-2019-00052X (Agency No. NTSB-2018-01)--
matter pending
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain.
Per question C-2, I was convicted of reckless driving in 1977. It
taught me a very important lesson.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain. No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination.
Despite my transgression of reckless driving 42 years ago--one for
which I am truly sorry, I have devoted my adult life to trying to
improve transportation safety. In March of this year, I was recognized
for my advocacy efforts by Advocates for Highway and Auto Safety. As I
have for 13 years as an NTSB Board Member, if confirmed, and given the
chance, I will continue to work diligently to use my knowledge, skills,
and experience to help improve safety in all modes of transportation
safety. My work ethic is unsurpassed. Thank you, sincerely, for your
consideration.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by congressional committees, and that
your department/agency endeavors to timely comply with requests for
information from individual Members of Congress, including requests
from members in the minority? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect congressional witnesses and whistleblowers from reprisal for
their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
Resume of Robert L. Sumwalt
Profile: Strong leader and prominent safety executive with a sustained
record of leading a Federal agency and advancing domestic and
international transportation safety. Worked across a range of roles and
responsibilities to decisively lead improvements to safety performance
in large, complex, dynamic transportation organizations in both the
private and public sectors.
Experience and Achievements
National Transportation Safely Board, Washington, DC--2006 to Present
Chairman, Acting Chairman, Vice Chairman and Board Member (Presidential
appointee)
Appointed by President Donald J. Trump, and unanimously confirmed by
the United States Senate, to lead the world's preeminent transportation
safety and accident investigation agency. Provided strong leadership to
establish a vision, values, and goals for the agency, which helped
advance the NTSB's standing to be listed as one of the Best Places to
Work in the Federal Government. Drove leadership focus to address
unresolved Management Accountability and Controls (MAC) risks to the
agency. Led effectively to achieve measurable improvements in employee
engagement, which is now at an all time high. Directed the successful
development of a computerized project dashboard which enables
management to actively track and manage the ongoing progress of
accident investigations to ensure timely completion. Successfully
addressed an excessive backlog with Freedom of Information Act
responses. Directed fiscal responsibility of an annual budget of $110.4
million of tax dollars.
Nationally recognized transportation safety advocate and accident
investigation authority. Responded as part of NTSB's Go-Team to 35
transportation casualties in all modes of transportation. Conducted
well over 100 on-scene media events including live national television
and radio network appearances. Provided individual and collective
review of over 200 major transportation investigations to determine
accident probable cause and subsequent recommendations to prevent
recurrence. Presented over 300 speeches to domestic and international
audiences. Testified to U.S. Congress on issues involving aviation and
surface transportation safety.
SCANA Corporation, Columbia, SC--2004 to 2006
Manager of Aviation
Provided strong leadership for operations, personnel, and resources for
a Fortune 500 company aviation department, including safety,
operations, maintenance, budgeting, and all associated fiduciary
matters. Led departmental employees into a cohesive, well-functioning
team. Managed disposition, acquisition, and deployment of multi-million
dollar aircraft and support assets, including construction planning for
a multi-milllon dollar aviation facility to house company aircraft and
personnel. Supervised department personnel, including hiring of
departmental employees. Led development of first-ever department
strategic plan, flight operations manual, and formulated practices to
ensure standardization in critical flight and maintenance practices.
US Airways, Charlotte, NC--1981 to 2004
Airline Captain
Experienced airline captain in US domestic and Latin American markets.
Served as check airman, instructor pilot and air safety representative.
Heavily involved in introducing new jet aircraft into airline service.
Over 14,000 flight hours and FAA type ratings in five multi-engine,
turbine-powered aircraft.
Air Safety Representative 1986 to 2004
Served as Chairman of Air Line Pilots Association's (ALPA) Human
Factors and Training Group. Engaged in the development and
implementation of several airline safety programs. Served on the U.S.
Airways Flight Operations Quality Assurance (FOQA) Monitoring Team.
Directed the U.S. Airways Line Operations Safety Audit (LOSA).
Contributed heavily in procedural development of the USAir Altitude
Awareness Program. Co-founded the ALPA Critical Incident Response
Program.
NASA Aviation Safety Reporting System (ASS)--1991 to 1999
Aviation Safety Research Consultant
Conducted aviation safety research as a consultant to the NASA ASRS.
Principal Investigator for three ASRS research initiatives and authored
articles for ASRS publications.
University of Southern California Aviation Safety Program--2003 to 2006
Human Factors Instructor
Developed and presented academic curriculum for a one-week course on
``Human Factors in Aviation Safety.'' Taught the course in the
classroom on seventeen occasions on the US campus, as well as for the
U.S. Navy, and internationally in Mexico, Trinidad, and Brazil.
Publications
Published over 100 articles and papers in industry magazines and trade
journals with a focus on aircraft accident investigation, flight crew
procedural issues, human performance, and crew resource management. Co-
authored a book profiling aircraft accidents, their cause, and lessons
learned. Co-authored book chapters in two books pertaining to Crew
Resource Management, and authored book chapters In two books on
effective aircraft accident investigation procedures. Authored foreword
in book on safety leadership and one on investigating human error.
Awards and Recognition
Advocates for Highway and Auto Safety--Highway Safety Hero, 2019
Honorary Doctorate, Embry-Riddle Aeronautical University, 2018
Joseph T. Nall Safety Award, International Air & Transportation Safety
Bar Association, 2018
Honorary Doctor of Science, University of South Carolina, 2017
Cecile S. Hatfield Award for Excellence in Aviation, 2017
Bombardier Safety Standdown Award, 2016
Fellow, Royal Aeronautical Society, 2014
Foreign Associate Member, Academie de L'Air et de L'Espace, 2014
Association of Air Medical Services Public Service Award, 2010
South Carolina Aviation Hall of Fame, 2009
Professional Pilot Magazine Aviation Safety Advocate of the Year, 2009
ALPA Air Safety Award, 2004
Flight Safety Foundation's Laura Taber Barbour Air Safety Award, 2003
Education
Master of Aeronautical Science (With Distinction)
Aviation/Aerospace Safety Systems and Human Factors in Aviation Systems
Embry-Riddle Aeronautical University, 2014
Bachelor of Science
Business Administration
University of South Carolina, 1979
Blogs, Publications, Speeches and Presentations
Blogs
NTSB Safety Compass Blogs
March 2011. NTSB Safety Compass Blog. NASA Administrator Bolden Kicks
off NTSB Speaker Series
https://safetycompass.wordpress.com/2011/03/24/nasa-administrator-
bolden-kicks-off-ntsb-speaker-series/
May 2011. NTSB Safety Compass Blog. Raising Safe Teen Drivers-Talking
Parent to Parent
https://safetycompass.wordpress.com/2011/05/23/raising-safe-teen-
drivers-%e2%80%93-talking-parent-to-parent/
May 2011. NTSB Safety Compass Blog. Exploring Ways to Improve Truck and
Bus Safety
https://safetycompass.wordpress.com/2011/05/10/exploring-ways-to-
improve-truck-and-bus-safety/
May 2011. NTSB Safety Compass Blog. Graduated Drive, Licensing--We've
Come a Long Way
https://safetycompass.wordpress.com/2011/05/09/graduated-driver-
licensing-%e2%80%93-we%e2%80%99ve-come-a-long-way/
June 2011. NTSB Safety Compass Blog. The Urgent Need for Safer Bus
Transportation
https://safetycompass.wordpress.com/2011/06/01/the-urgent-need-for-
safer-bus-transportation/
June 2011. NTSB Safety Compass Blog. John Nance's Insights on Safety
and Independence
https://safetycompass.wordpress.com/category/speaker-series/
October 2011. NTSB Safety Compass Blog. Saving Lives: Helping More
Teens Drive Safely
https://safetycompass.wordpress.com/2011/10/21/saving-lives-helping-
more-teens-drive-safely/
January 2012. NTS8 Safety Compass Slog. Looking back 30 years
https://safetycompass.wordpress.com/2012/01/13/looking-back-30-years/
February 2012. NTSB Safety Compass Blog. Looking back, but yet ahead
https://safetycompass.wordpress.com/2012/02/01/looking-back-but-yet-
ahead/
February 2012. NTS8 Safety Compass Blog. Trending in the Wrong
Direction--Teen Deaths in Auto Accidents Increase
https://safetycompass.wordpress.com/2012/02/22/trending-in-the-wrong-
direction-teen-deaths-in-auto-accidents-increase/
March 2012. NTSB Safety Compass Blog. Aviation's Growth Means More
Professional Pilots Will Be Needed
https://safetycompass.wordpress.com/2012/03/13/aviations-growth-means-
more-professional-pilots-will-be-needed/
July 2012. NTSB Safety Compass Blog. Looking without seeing
https://safetycompass.wordpress.com/2012/07/19/looking-but-not-seeing/
August 2012.. NTSB Safety Compass Blog. The Importance of Communication
https://safetycompass.wordpress.com/2012/08/31/the-importance-of-
communication/
October 2012. NTSB Safety Compass Blog. Working Together
https://safetycompass.wordpress.com/2012/10/18/working-together/
January 2013. NTSB Safety Compass Blog. Saving Thousands of lives
https://safetycompass.wordpress.com/2013/01/14/saving-thousands-of-
lives/
March 2013. NTSB Safety Compass Blog. On Track for Rail Safety
https://safetycompass.wordpress.com/2013/03/14/on-track-for-rail-
safety/
April 2013. NTSB Safety Compass Blog. Celebrating the NTSB's 46th
Anniversary
https://safetycompass.wordpress.com/2013/04/04/celebrating-the-ntsbs-
46th-anniversary/
September 2013. NTSB Safety Compass Blog. Building a Safety Culture
https://safetycompass.wordpress.com/2013/09/25/building-a-safety-
culture/
February 2014. NTSB Safety Compass Blog. NTSB Investigative Hearings: A
Window into NTSB Accident Investigations
https://safetycompass.wordpress.com/2014/02/19/ntsb-investigative-
hearings-a-window-into-ntsb-accident-investigations/
Feb 2014. NTSB Safety Compass Blog. Positive Train Control Saves Lives
https://safetycompass.wordpress.com/2014/02/26/positive-train-control-
saves-lives/
Feb 2014. NTSB Safety Compass Blog. Distracted driving--debunking the
myth
https://safetycompass.wordpress.com/2014/02/10/distracted-driving-
debunking-the-myth/
June 2014. NTSB Safety Compass Blog. Safety performance and the
financial bottom line
https://safetycompass.wordpress.com/2014/06/03/safety-performance-and-
the-financial-bottom-line/
Sept 2014. NTSB Safety Compass Blog. After 25,000 flight hours and 49
years in aviation, a good friend retires.
https://safetycompass.wordpress.com/2014/09/23/after-25000-flight-
hours-and-49-years-in-aviation-a-good-friend-retires/
February 2015. NTSB Safety Compass Blog. Disconnect from Deadly
Distractions
https://safetycompass.wordpress.com/2015/02/03/disconnect-from-deadly-
distractions/
March 2015. NTSB Safety Compass Blog. Trains and Trespassing: Ending
Tragic Encounters
https://safetycompass.wordpress.com/2015/03/25/trains-and-trespassing-
ending-tragic-encounters/
March 2015. NTSB Safety Compass Blog. Enhance Public Helicopter Safety
https://safetycompass.wordpress.com/2015/03/13/enhance-public-
helicopter-safety/
April 2015. NTSB Safety Compass Blog. Distractions in Transportation:
Roundtable of Experts and Advocates from all Transportation Modes
Gather to Discuss Solutions
https://safetycompass.wordpress.com/2015/04/0l/distractions-in-
transportation-roundtable-of-experts-and-advocates-from-all-
transportation-modes-gather-to-discuss-solutions/
April 2015. NTSB Safety Compass Blog. Deadly Addictions
https://safetycompass.wordpress.com/2015/04/14/deadly-addictions/
April 2015. NTSB Safety Compass Blog. Cognitive Distraction and the
Hands-Free Device ``Myth''
https://safetycompass.wordpress.com/2015/04/21/cognitive-distraction-
and-the-hands-free-device-myth/
April 2015. NTSB Safety Compass Blog. Protect Your Business, By
Protecting Your Employees
https://safetycompass.wordpress.com/2015/04/28/protect-your-business-
by-protecting-your-employees/
June 2015. NTSB Safety Compass Blog. A Beautiful Mind; A Tragic Loss
https://safetycompass.wordpress.com/2015/06/29/a-beautiful-mind-a-
tragic-loss/
August 2105. NTSB Safety Compass Blog. Three Minutes Could Save Your
Life
https://safetycompass.wordpress.com/2015/08/19/three-minutes-could-
save-your-life/
November 2015. NTS8 Safety Compass Blog. Primary Enforcement of Seat
Belts--A Law we can't Live Without
https://safetycompass.wordpress.com/2015/11/20/primary-enforcement-of-
seat-belts-a-law-we-cant-live-without/
January 2016. NTSB Safety Compass Blog. More needs to be done to
improve Helicopter EMS safety
https://safetycompass.wordpress.com/2016/01/07/more-needs-to-be-done-
to-improve-helicopter-ems-safety/
February 2016. NTSB Safety Compass Blog. Rally Tank car Improvements--
MakeThem Now
https://safetycompass.wordpress.com/2016/02/18/rail-tank-car-
improvements make-them-now/
February 2016. NTSB Safety Compass Blog. PTC Must Not Go Into Double
Overtime
https://safetycompass.wordpress.com/2016/02/03/ptc-must-not-go-into-
double-overtime/
April 2016. NTSB Safety Compass Blog. Addressing Dangers on the Roads:
This Is No April Fools!
https://safetycompass.wordpress.com/2016/04/01/addressing-dangers-on-
the-roads-this-is-no-april-fools/
April 2016. NTSB Safety Compass Blog. What's Changed About Distracted
Driving? We Hope, At Least, You
https://safetycompass.wordpress.com/2016/04/29/whats-change-about-
distracted-driving-we-hope-at-least-you/
May 2016. NTSB Safety Compass Blog. An Apology
https://safetycompass.wordpress.com/2016/05/06/an-apology/
June 2016. NTSB Safety Compass Blog. Weather. . .or not
https://safetycompass.wordpress.com/2016/06/20/weatheror-not/
June 2016. NTSB Safety Compass Blog. The `100 Deadliest Days': a tragic
reality
https://safetycompass.wordpress.com/2016/06/28/the-100-deadliest-days-
a-tragic-reality/
July 2016. NTSB Safety Compass Blog. Safely Fueling the Future
https://safetycompass.wordpress.com/2016/07/11/safety-fueling-the-
future/
August 2016. NTSB Safety Compass Blog. Roundtable Review--Part 1: The
latest on rail tank car safety
https://safetycompass.wordpress.com/2016/08/01/roundtable-review-part-
1-the-latest-on-rail-tank-car-safety/
August 2016. NTSB Safety Compass Blog. Reflecting back on 10 years as a
Board Member
https://safetycompass.wordpress.com/2016/08/22/reflecting-back-on-10-
vears-as-a-board-member/
Aug 2016. NTSB Safety Compass Blog. Roundtable Review--Part 2: The
latest on rail tank car safety
https://safetycompass.wordpress.com/2016/08/11/roundtable-review-part-
2-the-latest-on-rail-tank-car-safety/
Jan 2017. NTSB Safety Compass Blog. Fahrenheit 1,100: Lithium Batteries
in Aviation
https://safetycompass.wordpress.com/2017/01/23/fahrenheit-1100-lithium-
batteries-in-aviation/
March 2017. NTSB Safety Compass Blog. Act to End Deadly Distractions
https://safetycompass.wordpress.com/2017/03/13/act-to-end-deadly-
distractions/
March 2017. NTSB Safety Compass Blog. Women of the NTSB
https://safetycompass.wordpress.com/2017/03/31/women-of-the-ntsb/
April 2017. NTSB Safety Compass Blog. NTSB: 50 Years of Asking Why?
https://safetycompass.wordpress.com/2017/04/03/ntsb-50-years-of-asking-
why/
April 2017. NTSB Safety Compass Blog. Act To End Deadly Distractions
https://safetycompass.wordpress.com/2017/04/25/act-to-end-deadly-
distractions-2/
May 2017. NTSB Safety Compass Blog. Act to End Distracted Driving: One
Life at a Time
https://safetycompass.wordpress.com/2017/05/02/act-to-end-distracted-
driving-one-life-at-a-time/
November 2017. NTSB Safety Compass Blog. Travelers, Put Safety First
this Holiday Season
https://safetycompass.wordpress.com/2017/11/20/travelers-put-safety-
first-this-holiday-season/
November 2017. NTSB Safety Compass Blog. Disconnect this Thanksgiving
https://safetycompass.wordpress.com/2017/11/21/disconnect-this-
thanksgiving/
March 2018. NTSB Safety Compass Blog. Most Wanted List Progress Report:
Rail Safety
https://safetycompass.wordpress.com/2018/03/26/most-wanted-list-
progress-report-rail-safety/
March 2018. NTSB Safety Compass Blog. Refusing to Take ``No'' for an
Answer
https://safetycompass.wordpress.com/2018/03/29/refusing-to-take-no-for-
an-answer/
March 2018. NTSB Safety Compass Blog. Recognizing Important Women
Leaders at NTSB From Yesterday and Today
https://safetycompass.wordpress.com/2018/03/23/recognizing-important-
women-leaders-at-ntsb-from-yesterday-and-today/
April 2018. NTSB Safety Compass Blog. Introducing ``I Am NTSB''
https://safetycompass.wordpress.com/2018/04/26/introducing-i-am-ntsb/
April 2018. NTSB Safety Compass Blog. Focus on Distracted Driving
https://safetycompass.wordpress.com/2018/04/02/focus-on-distracted-
driving/
May 2018. NTSB Safety Compass Blog. Roundtable Discussion About Loss of
Control in Flight Yields Some Important Ideas
https://safetycompass.wordpress.com/2018/05/14/roundtable-discussion-
about-loss-of-control-in-flight-yields-some-important-ideas/
May 2018. NTSB Safety Compass Slog. The Age of Reason
https://safetycompass.wordpress.com/18/05/01/the-age-of-reason/
Aug 2018. NTSB Safety Compass Blog. Two Years and Counting . . . Still
no FAA Action
https://safetycompass.wordpress.com/2018/08/27/two-years-and-counting-
still-no-faa-action/
August 2018. NTSB Safety Compass Blog. NTS8 Safety Compass Blog.
Working for Safety
https://safetycompass.wordpress.com/2018/08/31/working-for-safety/
August 2018. NTSB Safety Compass Blog. National Aviation Day
https://safetycompass.wordpress.com/2018/08/19/national-aviation-day/
November 2018. NTSB Safety Compass Blog. Add a Day of Remembrance for a
Balanced Holiday Season
https://safetycompass.wordpress.com/2018/11/16/add-a-day-of-
remembrance-for-a-balanced-holiday-season/
Dec 2018 NTSB Safety Compass Blog. Good News . . . At Last!
https://safetycompass.wordpress.com/2018/12/14/good-news-at-last/
Feb 2019. NTSB Safety Compass Blog. 2019-2020 Most Wanted List
https://safetycompass.wordpress.com/2019/02/06/2019-92020-most-wanted-
list/
March 2019. NTSB Safety Compass Blog. Ethiopia Airlines Flight 302,
Annex 13, and the NTSB's International Mission
https://safetycompass.wordpress.com/2019/03/15/ethiopia-airlines-
f1ight-302-annex-13-and-the-ntsbs-international-mission/
March 2019. NTSB Safety Compass Blog. When it Comes to Safety, Not All
Flights are Created Equal
https://safetycompass.wordpress.com/2019/03/22/when-it-comes-to-safety-
not-all-flights-are created-equal/
NTSB LinkedIn ``Chairman's Messages''
Chairman's Message #1: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #2: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #3: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #4: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #5: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #6: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #7: Linkedin
https://www,linkedin.com/feed/update/
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Chairman's Message #8: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #9: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #10: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6422839751151571584/
Chairman's Message #11: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #12: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #13: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #14: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #15: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #16: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #17: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #18: Linkedin
https://www.linkedin.com/feed/update/
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Chairman's Message #19: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6471018309054Z22048/
Chairman's Message #20: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6478592008456847360/
Publications
Published Books or Book Chapters
Sumwalt, R., Lemos, K., and McKendrick , R. (2019). The Accident
Investigator's Perspective. Crew Resource Management Third Edition.
Kanki, B.G, Anca, J. and Chidester, T.R. (Eds), Academic Press
(Elsevier): London.
Sumwalt, R.L. (2017). Foreword in Strauch, B. Investigating human error
(2nd ed). CRC Press: Boca Raton, FL.
Sumwalt, R.L. (2016). Foreword, in Schultz, J., Fielkow, B. Leading
people safety: How to win on the business battlefield. Minneapolis:
North Loop Books.
Sumwalt, R.L. (201S). The role of the NTSB, In Blumen et al., (Eds.)
Principles and Direction of Air Medical Transport, 2nd edition. Salt
Lake City: Air Medical Physician Association.
Sumwalt, R.L., & Lemos, K. A. (2010). The accident investigators
perspective, in Kanki, B., Helmrelch, R., & Anca, J. (Eds.) Crew
Resource Management, 2nd Edition. San Diego: Academic Press.
Sumwalt, R.L. (2002). Aircraft accident and incident investigation, in
The Standard Handbook for Aeronautical and Astronautical Engineers. New
York: McGraw Hill.
Walters, J. M., & Sumwalt, R. L. (2000) . Aircraft Accident Analysis:
Final Reports. New York: McGraw Hill.
Schwa, b A., & Sumwalt, R.L. (1990). The Terminal Checklist Book.
Alexandria, VA: Queensmith Publications.
Articles, Columns, Publications
Sumwalt, R.L. (2016). A unique perspective: Moving from the Airbus left
seat to the NTSB board seat. Safety Preflight. American Airlines flight
safety publication. April, 2016.
Sumwalt, R.L. (2016). Call to action asks air med operators to
voluntarily adopt NTSB recommended practices, training and new
equipment. Professional Pilot Magazine. February, 2016.
Sumwalt, R.L. (2015). The Gulfstream IV operator had all the appearance
of a good operation but the flightcrew lacked cockpit discipline.
Professional Pilot Magazine. November, 2015.
Sumwalt, R.L. (2015). The effect of national culture on crew resource
management. Vectors. Fall Issue.
Sumwalt, R., Cross, D., & Lessard, D.(2015). Examining breakdowns in
pilot monitoring of the aircraft flight path. International Journal of
Aviation, Aeronautics, and Aerospace, 2(3).
Sumwalt, R.L. (2015). NTSB places public helicopter safety on its 2015
Most Wanted List. Professional Pilot Magazine. February 2015.
Sumwalt, R.L. (2015). Public helicopter safety on NTSB 2015 Most Wanted
list. Rotor. Winter 2015.
Sumwalt, R.L. (2015). Challenges remain in public helicopter safety:
Crash mistakes and mindsets. Air Beat. January/February 2015.
Sumwalt, R.L. (2014). You, me and NTSB: Setting the record straight.
Professional Pilot Magazine. February 2015.
Sumwalt, R.L. (2013). Safety management systems are proving their value
in fixed-wing and helo flight ops. Professional Pilot Magazine. May
2013.
Sumwalt, R.L. & Dalton, S.L. (2012). Navigating the course to a true
safety culture. Marine Technology. April 2013.
Sumwalt, R.L. (2011, September 27). A message to the HEMS community.
Association of Air Medical Services web page.
Sumwalt, R.L. ``NTSB Most Wanted list.'' Professional Pilot Magazine.
August, 2011.
Sumwalt, R. L. ``Equipment, Training and Infrastructure-Three Keys to
Improving HEMS Safety.'' Professional Pilot Magazine. October, 2010.
Sumwalt, R. L. ``Helicopter EMS: Life-saving Changes Needed for a Life-
Saving Industry.'' Op Ed piece in The State. September 26, 2010.
Sumwalt, R. L. ``NTSB Studies Helicopter EMS Safety, Acts to Improve
it.'' Professional Pilot Magazine. January 2010.
Sumwalt, R. L. ``Professionalism Means Doing the Right Things--Even
When no one is Watching.'' Professional Pilot Magazine. January 2008.
Sumwalt, R. L. ``Do You Have a Safety Culture?'' AeroSafety World. July
2007.
Sumwalt, R. L. ``Get Habitual Drinking Drivers off South Carolina's
Highways.'' Op Ed piece in The State. November, 2006.
Sumwalt, R. L., & Boyer, R.D., ``Applying Operational Risk Management
in Corporate Flight Operations.'' In Proceedings from the 51st annual
Flight Safety Foundation / National Business Aviation Association
Corporate Aviation Safety Seminar (CASS), May 9-11, 2006. Phoenix, AZ.
Sumwalt, R.L. ``Accident Analysis: Failure to Monitor Airspeed Leads to
Loss of Control.'' Professional Pilot Magazine. November 2005.
Sumwalt, R.L., ``Enhancing Flight-crew Monitoring Skills Can Increase
Corporate Aviation Safety.'' In Proceedings from the 49th annual Flight
Safety Foundation/National Business Aviation Association Corporate
Aviation Safety Seminar (CASS), April 27-29, 2004. Tucson, Arizona.
Walters, J.M., & Sumwalt, R.L ``Accident Analysis: Aspen CFIT
Accident.'' Professional Pilot Magazine. October 2003.
Sumwalt, R.L. ``Airplane Upset Recovery Training: A Line Pilot's
Perspective.'' Flight Safety Digest. July August 2003.
Sumwalt, R.L., Thomas, R.J., & Dismukes, R.K. ``The Last Line of
Defense Against Aviation Accidents.'' Viewpoint Editorial in Aviation
Week and Space Technology. August 25, 2003.
Sumwalt, R.L. ``Cockpit Monitoring.'' Professional Pilot Magazine.
August 2003.
Sumwalt, R.L., & O'Neill, J. ``Runway Changes: Managing the Threat.''
Safety Online. Spring, 2003.
Sumwalt, R.L., Thomas, R.J., & Romeo, C. ``Newly implemented Line
Operations Safety Audit produces valuable data for air carrier.'' ICAO
Journal. Number 1, 2003. Volume 58.
Sumwalt, R.L., & Walters, J.M. ``Accident Analysis: Missing the Runway
Completely.'' Professional Pilot Magazine. January 2003.
Sumwalt, R.L., ``Setting the FCU Improperly can Lead to an Unauthorized
Open Descent.'' Safety On Line. Winter, 2003.
Sumwalt, R.L., Thomas, R.J., & Dismukes, R.K. ``Enhancing Flight-crew
Monitoring Skills can Increase Flight Safety.'' In Proceedings from the
Joint Meeting of the 55th annual FSF International Air Safety Seminar
(IASS), 32th IFA International Conference. November 4-7, 2002. Dublin,
Ireland.
Sumwalt, R.L., ``How to Set Up a LOSA--US Airways Experience.'' Chapter
4 in ICAO Line Operations Safety Audit (LOSA) Manual. ICAO Document
9803 AN/761. First Edition--2002.
Sumwalt, R.L. and Walters, J.M. ``Accident Analysis: Lear 35A vanishes
from radar near LES.'' Professional Pilot Magazine. June 2002.
Sumwalt, R.L., & Thomas, R.J. ``Findings from the U.S. Airways line
Operations Safety Audit (LOSA).H Safety On Line. Spring 2002.
Sumwalt, R.L., & Walters, J.M. ``Accident Analysis: Falcon 900 overrun.
Hyannis, MA, March 17, 2000.'' Professional Pilot Magazine. April 2002.
Sumwalt, R.L. ``Error management gives pilots weapons against taxiway
and runway problems.'' Professional Pilot Magazine. January 2002.
Sumwalt, R.L., & Walters, J.M. ``Accident Analysis: Destabilized flare
and hard landing lead to disaster''. Professional Pilot Magazine.
November 2001.
Sumwalt, R.L., & Walters, J.M. ``Accident Analysis: Niner Mike is in
trouble.'' Professional Pilot Magazine. September 2001.
Sumwalt, R.L., & Walters, J.M. ``Accident Analysis: Failure to monitor
level-off at MDA leads to CFIT accident.'' Professional Pilot Magazine.
April 2001.
Sumwalt, R.L., & Walters, J.M. ``Accident Analysis: Nothing good comes
from an unstabilized approach.'' Professional Pilot Magazine. March
2001.
Walters, J.M., & Sumwalt, R.L. ``Accident Analysis: Revisiting the
steps that can lead to disaster,'' Professional Pilot Magazine.
December 2000.
Walters, J.M., & Sumwalt, R.L. ``Accident Analysis: On HOU to IAH,
First Approach was Bad, Second was Fatal.'' Professional Pilot
Magazine. March 2000.
Sumwalt, R.L., & Thomas, R.J. ``Enhancing Safety Through Error
Management'' In Proceedings from the Joint Meeting of the 52nd annual
FSF International Air Safety Seminar (IASS), 29th IFA International
Conference. November 8-11, 1999. Rio de Janeiro, Brazil.
Sumwalt, R.L. ``Enhancing Flight-crew Monitoring Skills Can Increase
Flight Safety.'' FlightSafety Digest. March 1999.
Sumwalt, R.L. ``Enhancing Safety Though Error Management.'' US Airways
SAFETY ON LINE. March 1999.
Sumwalt, R.L. ``The Wrong Stuff: Troubled Cockpit Interpersonal
Relations Can Affect Safety.'' Professional Pilot Magazine. February
1999.
Dismukes, K., Young, G., and Sumwalt, R. L. ``Cockpit Interruptions and
Distractions.'' ASRS Directline. December, 1998.
Sumwalt, R.L. ``Integrating Human Factors into Aircraft Accident
Investigations.'' ISASI Forum. June-August 1998. International Society
of Air Safety Investigators.
Sumwalt, R.L. ``Closing the Gap on CFIT.'' Professional Pilot Magazine.
January 1998.
Sumwalt. R.L. ``Can You Throw Another Log on the Fire: Be Careful What
You Say.'' US Airways SAFETY ON LINE. December 1997.
Sumwalt, R.L., Morrison, R.F., Watson, A. and Taube, E. ``What ASRS
Date Tell About Inadequate Flight Crew Monitoring.'' In Proceedings of
the Ninth International Symposium on Aviation Psychology, Columbus,
Ohio. April, 1997. (This paper prepared under subcontract for NASA's
Aviation Safety Reporting System.)
Sumwalt. R.L. ``Avoiding the Fate of Icarus.'' Air Line Pilot. April
1997.
Sumwalt, R.L. ``A Human Performance Evaluation: The Effects of Airport
Curfews on Flight Crew Performance.'' Air Line Pilot. March, 1997.
Sumwalt, R.L. ``Finding Fault.'' Professional Pilot Magazine. February
1997.
Sumwalt, R.L. ``Aircraft Malfunctions Require Crew Coordination.''
Professional Pilot Magazine. January 1996.
Sumwalt, R.L. ``Altitude Awareness Programs Can Reduce Altitude
Deviations.'' Fight Safety Digest. December, 1995.
Sumwalt, R.L. ``ASRS Incident Data Reveal Details of Flight-crew
Performance During Aircraft Malfunctions.'' Flight Safety Digest.
October, 1995.
Sumwalt, R.L. ``The Quest for Aviation Safety's Holy Grail: Finding
Underlying Causes of Accidents and Incidents, or, If You Really Want to
Improve Aviation Safety, You Must First Identify Systemic Problems.''
In Proceedings of Workshop on Accident and Incident Human Factors. FAA,
June 199S.
Mancuso, V., & Sumwalt, R.L. Human Factors Evaluation: Runway Collision
Between TWA Flight 427 and Superior Aviation Cessna 441, STL Airport,
November 22, 1994. Air Line Pilots Association, May 1995.
Sumwalt, R.L. ``Coping with Tiredness--Fatigue Part 2.'' Professional
Pilot Magazine. May 1995.
Sumwalt, R.L. ``Flying Alert--Fatigue, Part 1.'' Professional Pilot
Magazine. April 1995.
Sumwalt, R.L., & Watson, A. ``What ASRS Incident Data Tell About Flight
Crew Performance During Aircraft Malfunctions.'' In Proceedings of the
Eighth International Symposium on Aviation Psychology, Columbus, Ohio.
April,1995.) (This paper prepared under subcontract for NASA's Aviation
Safety Reporting System.)
Sumwalt, R.L., & Cox, J.M. ``Aircraft Incident Report. Controlled
Flight Into Terrain: American West Flight 754, DFW Airport, December 8,
1993.'' Airline Pilots Association. September 1994.
Sumwalt, R.L. ``Accident and Incident Reports Show Importance of
`Sterile Cockpit' compliance,'' Flight Safety Digest. July 1994.
Sumwalt, R.L. ``Crew Resource Management for All Operators.'' ASRS
Callback. July 1994. (This paper prepared under subcontract for NASA's
Aviation Safety Reporting System.)
Sumwalt, R.L. ``There's No Such Thing as a Little Ice.'' Professional
Pilot Magazine. January 1994.
Sumwalt, R.L. ``Watch Your Altitude.'' ASRS Callback. December 1993.
(This paper prepared under subcontract for NASA's Aviation Safety
Reporting System.)
Sumwalt, R.L. ``Incident Reports Highlight Problems Involving Air
Carrier Ground Deicing/Anti-icing.''Flight Safety Foundation Airport
Operations. September/October 1993.
Sumwalt, R.L. ``The Sterile Cockpit.'' ASRS Directline. June 1993.
(This paper prepared under subcontract for NASA's Aviation Safety
Reporting System.)
Sumwalt, R.L. ``Aircraft Ground Deicing Problems: Recommendations from
Analysis of ASRS Incident Data.'' In Proceedings of SAE Aircraft Ground
Deicing Conference, Salt Lake City, Utah, June 1993.
Sumwalt, R.L. ``ASRS Problems Involving Air carrier Ground Deicing/
Anti-icing.'' In Proceedings of the Seventh International Symposium on
Aviation Psychology, Columbus, Ohio. April, 1993. (This paper prepared
under subcontract for NASA's Aviation Safety Reporting System.)
Sumwalt, R.L. ``Ground Deicing Problems in Air Carrier Operations.''
ASRS Callback. February 1993. (This paper prepared under subcontract
for NASA's Aviation Safety Reporting System.)
Sumwalt, R.L. ``Rejected Take-off considerations for Fokker 100 and
F28.'' Fokker Aircraft Wingtips. December 1992.
Sumwalt, R.L. ``Preventing Pilot-caused Runway Incursions.''
Professional Pilot Magazine. December, 1992.
Sumwalt, R.L. ``Accident Investigation School Teaches How to Find
Probable Cause.'' An inside look at the NTSB's accident investigation
school. Professional Pilot Magazine. October, 1992.
Sumwalt, R.L. ``Leadership on the Flightdeck Reflects Training.''
Professional Pilot Magazine. June 1992.
Sumwalt, R. L. ``Taxi!'' ASRS Directline. Summer 1992. (This paper
prepared under subcontract for NASA's Aviation Safety Reporting
System.)
Sumwalt, R.L. ``NTSB's John Lauber Digs for Probable Cause.''
Professional Pilot Magazine. January 1992.
Sumwalt, R.L. ``Weather or Not to Go.'' Professional Pilot Magazine.
January 1992.
Sumwalt, R.L. ``Be Prepared to Abort: Rejected Takeoffs, Part Two.''
Professional Pilot Magazine. December 1991.
Sumwalt, R.L. ``Rejected Takeoffs, Part One.'' Professional Pilot
Magazine. November 1991.
Sumwalt, R.L. ``The Importance of Proper Aviation Weather Dissemination
to Pilots: An Airline Captain's Perspective.'' In Proceedings of the
Fourth International Symposium on Aviation Weather Systems, Paris,
France. June 1991.
Sumwalt, R.L. ``Eliminating Pilot-Caused Altitude Deviations: A Human
Factors Approach.'' In Proceedings of the Sixth International Symposium
on Aviation Psychology, Columbus, OH. May 1991.
Sumwalt, R.L. ``Checking the Checklist,'' Professional Pilot Magazine.
March 1991.
Sumwalt, R.L. ``Altitude Callouts: Who, When and Why.'' Airwaves.
February 1991.
Sumwalt, R.L. ``Flightcrew Interactions,'' Professional Pilot Magazine.
November 1990.
Sumwalt, R.L. ``Altitude Awareness,'' Professional Pilot Magazine.
September 1990.
Sumwalt, R.L. ``Gulfstream 4 Phase 2 Flightcheck,'' Professional Pilot
Magazine. February 1990.
Sumwalt, R.L. ``Piagglo Pl80 Avanti Flightcheck,'' Professional Pilot
Magazine. July 1989.
Sumwalt, R.L. ``Slippery When Wet,'' Professional Pilot Magazine. March
1989.
Sumwalt, R.L ``Stop! More Efficiently,'' Professional Pilot Magazine.
September 1988.
Sumwalt, R.L. ``The Cat's Eye (FUR Technology to Enhance Instrument
Landings),'' Professional Pilot Magazine. September 1988.
Sumwalt, R.L. ``Fokker 50 Flightcheck,'' Professional Pilot Magazine.
August 1988.
Sumwalt, R.L. ``Advanced Avionics: The New Generation,'' Professional
Pilot Magazine. May 1988.
Sumwalt, R.L. ``Fokker 100 Flightcheck,'' Professional Pilot Magazine.
March 1988.
Sumwalt, R.L. ``Cockpit Resource Management,'' Professional Pilot
Magazine. December 1987.
Sumwalt, R.L. ``Category 3 Operations,'' Piedmont Airlines B737 Flight
Crew Training Manual. September 1987.
Sumwalt, R.L. ``TCAS Growing Pains,'' Professional Pilot Magazine.
April 1987.
Sumwalt, R.L. ``Improving Stopping Efficiency,'' Piedmont Airlines
Operations Update. December 1986.
Sumwalt, R.L. ``Improving Pilot Interpretation of Airborne Weather
Radar,'' Professional Pilot Magazine. June 1986.
Sumwalt, R.L. ``F28Flightcheck,'' Professional Pilot Magazine. March
1986.
Sumwalt, R.L. ``Low Visibility Operations,'' Professional Pilot
Magazine. February, 1986.
Sumwalt, R.L. ``Deadly Persuader: Low Altitude Windshear,''
Professional Pilot Magazine. October, 1985.
Sumwalt, R.L. ``Fuel Management Guide for Pilots.'' Piedmont Airlines
Route Manual. August 1985.
Sumwalt, R.L. ``Flying By the Book,'' Professional Pilot Magazine. May
1985.
Sumwalt, R.L. ``Descent Techniques for Fuel Efficiency,'' Piedmont
Airlines Operations Update. Piedmont Airlines. March 1985.
Sumwalt, R.L. ``Fuel Conservation,'' Piedmont Airlines Operations
Update. December, 1984.
Speeches and Presentations
July 10, 2019--Investigating Fatigue In Transportation: A Board
Member's Perspective--presentation to NTSB's Investigating Human
Fatigue Factors course, Ashburn, VA
May 8, 2019--Keynote address to International Symposium on Aviation
Psychology, Dayton, OH
May 3, 2019--Presentation to American Harbor and Docking Pilots
Association, Savannah, GA.
April 30, 2019--Presentation to Air Transport International Instructors
and Check Airmen, Cincinnati, OH
April 5, 2019--Luncheon Speech to the Aero Club of Washington,
Washington, DC
April 2, 2019--Presentaiton to Customs and Border Protection Air &
Marine Operations Safety Recurrent Training Program, Dallas, TX
February 28, 2019--Presentation to the Royal Aeronautical Society
Conference on the Risk of Lithium Batteries in Aviation, London,
England
February 19, 2019--Presentation to American Academy of Forensic
Sciences Workshop on Impairment in Transportation, Baltimore, MD
February 17, 2019--Most Wanted List Remarks, Washington, DC
December 17, 2018--Presentation to the Columbia Rotary Club, Columbia,
SC
November 29, 2018--Keynote address at the 2018 APTA Mid-year Safety
Seminar. Washington, DC
October 25, 2018--The Accident--Now What? Managing the Aftermath
through Effective Crisis Communications, Ashburn, VA
October 25, 2018--Presentation to the AOPI-API Leadership Meeting,
Washington, DC
October 18, 2018--Presentation to Auburn University Aviation Students,
Auburn, AL
October 2, 2018--Keynote remarks to American Pilots Association
Biennial Convention, Savannah, GA
September 22, 2018--Dinner speech for FlightSafety International's
``Best of the Best'' Celebration
July 20, 2018--Presentation to the Lawyer-Pilots Bar Association Summer
2018 Meeting, South Lake Tahoe, CA
June 28, 2018--Presentation to the Road to Zero Coalition, Washington,
DC
June 14, 2018--Presentation to Academie de I'Air ed de L'Espace,
Bretigny, France
June 13, 2018--Presentation to Section 3 of Academie de I'Air ed de
L'Espace, Paris, France
May 12, 2018--Opening Remarks to Americas Marine Accident
Investigators' Forum Eighth Annual Meeting, NTS8 Training Center,
Ashburn VA
May 31, 2018--``Trained for Life: Human-Centered Approach to Safety''
presentation at ALPA's Human Factors Conference, Washington, DC
May 30, 2018--Presentation to the Accident Investigation Orientation
for Rail Professionals, NTSB Training Center, Ashburn, VA
May 5, 2018--Commencement Address to Embry-Riddle Prescott Campus,
Prescott, AZ.
May 3, 2018--Presentation to International Society of Air Safety
Investigators Mid Atlantic Regional Chapter, Herndon, VA
April 5, 2018--Presentation to the SMU Air Law Symposium, Dallas, TX
March 19, 2018--Keynote Address to Boeing's Flight Operations
Symposium, Seattle, WA
February 7, 2018--Presentation to the Aviation Symposium, McLean, VA
January 31, 2018--Presentation to the NBM Safety Committee, NTSB
Training Center, Ashburn, VA
January 10, 2018--Presentation to Airbus Mobile, Airbus Engineering
Center, Mobile, AL
December 7, 2017--``Lessons from the Ashes: Improving International
Aviation Safety through Accident Investigations'' 14th Annual Assad
Kotaite Lecture Montreal Branch of the Royal Aeronautical Society,
Montreal, Quebec
November 2, 2017--Presentation to the Bombardier Safety Standdown,
Wichita, KS
October 28, 2017--Remarks to the General Aviation Manufacturers
Association (GAMA) Fall Board of Directors Meeting, Palm Beach, FL
October 26, 2017--Presentation at the Managing Communications During an
Aircraft Accident or Incident Course, NTSB Training Center, Ashburn, VA
October 24, 2017--Presentation to the FTA Joint State Safety Oversight
and Rail Transit Agency Workshop, Arlington, VA
October 13, 2017--Presentation to the National Road to Zero Coalition,
Washington, DC
October 12, 2017--Investigating Fatigue in Transportation Accidents: A
Board Member's Perspective. presentation at the Investigating Human
Fatigue Factors Course, Ashburn, VA
October 10, 2017--Opening Remarks to National Business Aviation
Association (NBM) Business Aviation Convention & Exhibition, Las Vegas,
NV
August 22, 2017--Keynote Speech: ``Investigations: Do They Make a
Difference?'' to the International Society of Air Safety Investigators,
San Diego, CA
June 10, 2017--Presentation to APTA Rail Safety Committee and TRB Rail
Operational Safety Committee, Baltimore, MD
May 24, 2017--Remarks to Airline Pilots Association, International
Pilots Assistance Forum, Chantilly, VA
May 17, 2017--Presentation at the Accident Investigation Orientation
for Rail Professionals, NTS8 Training Center, Ashburn, VA
May 9, 2017--Presentation to the NorCal Business Aviation Association--
Meeting your customers' safety expectations. Mountain View, CA
April 25, 2017--Board Meeting Opening and Closing Statements: Aircraft
Accident Report--Collision with Terrain, Promech Air, Inc., de
Havilland DHC-3, N270PA, Ketchikan, Alaska, June 25, 2015
March 31, 2017--Presentation on Leadership to the American Studies
Program, Washington, DC
March 7, 2017--Presentation to the Air Charter Safety Foundation, NTSB
Training Center, Ashburn, VA
February 14, 2017--Presentation to the Wichita Aero Club, Wichita, KS
January 24, 2017--Presentation to the NBAA Safety Committee Annual Risk
Assessment Meeting, Fort Lauderdale, FL
January 12, 2017--Presentation on the critical importance of flight
path monitoring at Atlas Air WW, Miami, FL
December 12, 2016--Presentation to the FAA Chief Counsel's December All
Hands meeting, Washington, DC
December 9, 2016 Opening and closing Statements--NTSB Investigative
Hearing: Accident Involving Heart of Texas Balloons near Lockhart, TX.
Hearing conducted in Washington, DC
December 1, 2016--Presentation at the NTSB Training Center's
``Investigating Human Fatigue Factors'' course, NTSB Training Center,
Ashburn, VA
November 14, 2016--Speech to students in the American Studies Program,
Washington, DC
November 9, 2016--Presentation to Middle Tennessee State University,
Murfreesboro, TN
October 31, 2016--Presentation to National Business Aviation
Association Emergency Response Seminar, Orlando, FL
October 27, 2016--Presentation to the Railway Tie Association's Annual
Symposium and Technical Conference. Bonita Springs, Florida
October 19, 2016--Presentation to the AQP Working Group conference,
Dallas, TX
October 17, 2016--Dinner speech for Flight Safety International's
``Best of the Best'' celebration, Grapevine, TX
October 14, 2016--Presentation at the University of North Texas'
Aviation Logistics Program, Denton, TX
October 12, 2016--Web presentation to the Kent State Student Chapter of
American Association of Airport Executives (AAAE): Improving Safety
Through Accident Investigation
October 6, 2016--Keynote speechon professionalism at the 2016 Mid-
Atlantic Safety Standdown in New Castle, Delaware.
September 29, 2016--Presentation to Bombardier Safety Standdown: ``Ten
Years of Learning with The NTSB'' in Wichita, Kansas.
September 27, 2016--``Your company plane just crashed: Are you prepared
to deal with the NTSB?'' Workshop presentation at the Bombardier Safety
Standdown, Wichita, Kansas.
September 22, 2016--Presentation to the Safety Leadership Symposium &
Workshop, Houston, Texas.
September 9, 2016--Presentation to Boeing North Charleston Employees
about making safety a core value.
September 1, 2016--Presentation to North Texas Business Aviation Safety
Show Down.
August 18, 2016--``Improving Safety Through Accident Investigation''
presentation to the Atlanta Aero Club, Atlanta, Georgia.
July 23, 2016--Presentation at Jack Henry Safety Day 2016 in Monett,
Missouri: ``Are your customers getting what they expect?''
July 23, 2016--Presentation at Jack Henry Safety Day 2016 in Monett,
Missouri: ``Case studies of two aircraft accidents.''
July 13, 2016--Roundtable discussion: ``A Dialogue on What's Next in
Rail Tank Car Safety.''
June 28, 2016--Presentation to Westchester Aviation Association's
annual safety standdown.
June 21, 2016--NTSB Forum: ``PIREPs: Pay it Forward . . . Because
Weather for One is Weather for None.''
June 8, 2016--Safety Leadership: Presentation to the International
Association of Missionary Aviation.
June 2, 2016--Speech to the Academie de I'Air et d'Espace on aircraft
automation. Toulouse, France.
May 10, 2016--Commencement address to the Embry-Riddle Aeronautical
University commencement, Daytona Beach, Florida.
May 6, 2016--Crisis communications presentation to the Flight Safety
Foundation's Business Aviation Safety Summit.
April 29, 2016--Presentation to the International Air and
Transportation Safety Bar Association's Spring Conference, Washington,
DC.
April 28, 2016--Presentation to the Twin Cessna Flyers organization at
the annual convention in Charleston, South Carolina.
April 27, 2016--Presentation to the Carolinas Aviation
Professionals Association's Regional Safety Seminar in Charlotte, North
Carolina.
April 22, 2016--Presentation at Vaughn College in New York, New York.
April 14, 2016--Presentation at NTSB Training Course for Junta de
Investigacion de Accidentes de Aviacion Civil (JIAAC), Buenos Aires,
Argentina.
April 6, 2016--Webinaron distractions in transportation, with National
Safety Council.
March 30, 2016--Presentation to JetBlue instructor pilots on the
importance of standardization.
March 11, 2016--Presentation to Hardwood Manufacturers Association
National Conference about creating a positive safety culture, Fort
Worth, Texas.
March 8, 2016--Presentation to employees of Koppers Inc., about
creating a future of safety.
February 26, 2016--Presentation on the SpaceShip Two investigation to
the American Bar Association's Forum on Air and Space law, Washington,
DC.
February 3, 2016--Presentation on Crisis Communications at the Airline
Symposium, McLean, Virginia.
January 22, 2016--Presentation to Embry-Riddle Aviation Law & Insurance
Symposium in Orlando, Florida.
January 19, 2016--Interview on CBS Baltimore ``Baltimore Barristers''
with Alex Bush.
January 16, 2016--Presentation on a case study of the Bedford,
Massachusetts G-IV crash at A3IR Conference in Arizona.
January 16, 2016--Presentation about ways to improve aviation emergency
response at A3IR Conference in Arizona.
January 11, 2016--Presentation to TRB Task Force on Transit Safety.
January 7, 2016--Presentation to the University Aviation Association.
November 11, 2015--Webinar presentation: ``Improving Safety Through
Accident Investigation'' at ERAU Worldwide.
November 2, 2015--Presentation on crisis communications to Flight
Safety Foundation International Air Safety Summit in Miami, FL
October 20, 2015--Presentation to JetBlue Executive Leadership in New
York City
October 13, 2015--Presentation to the Patriot Rail's Leadership
Workshop in Jacksonville, FL
October 8, 2015--Workshop on Safety Culture, at the Bombardier Safety
Standdown, Wichita, KS
October 7, 2015--Presentation to the Bombardier Safety Standdown,
Wichita, KS
September 29, 2015--Investigating Fatigue in Transportation Accidents:
A Board Member's Perspective, NTSB Training Center, Ashburn, VA
September 14, 2015--Presentation to Michigan State University Railway
Management Program, Washington, DC
September 10, 2015--Luncheon Speech, Short Line Safety Institute Forum,
Washington, DC
August 26, 2015--Presentation to SC Aerospace Conference, Columbia, SC
July 30, 2015--Keynote Address at the Flight Safety Foundation 3rd
Annual Dinner, Washington, DC
July 22, 2015--Remarks at the Air Line Pilots Association,
International (ALPA) ``Keep America Flying: A Flight Plan for Safe and
Fair Skies'' Safety Forum, Washington, DC
June 17, 2015--Presentation to American Express Safety Standdown,
Newburgh, NY
May 20, 2015--Presentation to Sky Regional Airlines, Toronto, Canada
May 12, 2015--Presentation to Northeast Aviation Safety Roundtable at
the Flight Safety Foundation's Business Aviation Safety Summit in
Weston, FL
May 6, 2015--Speech to Stanford University engineering on
organizational accidents & risk management, Stanford, CA
May 2, 2015--Commencement Address to the Embry-Riddle Aeronautical
University Worldwide Campus, Daytona Beach, FL
April 24, 2015--Presentation at the College of Aeronautics at Vaughn
College, New York, NY
April 23, 2015--Presentation to Chicago Area Business Aviation
Association, Glenview, IL
April 21, 2015--Keynote Speech at the FAA International Rotorcraft
Safety Conference, Hurst, TX
March 31, 2015--Roundtable: Disconnect from Deadly Distractions--
Opening Statement
March 23, 2015--Presentation to NBAA International Operators
Conference, San Antonio, TX
March 18, 2015--Presentation to the Aviation Law Enforcement
Association (ALEA) Midwest Regional Safety Seminar in Chicago, IL
March 10, 2015--Presentation to Air Charter Safety Foundation at NTSB
Training Center, Ashburn, VA
February 13, 2015--Speech to Columbia, SC Rotary Club
January 30, 2015--Panel Discussion of New Realities in International
Aviation, Orlando, FL
January 16, 2015--Keynote address to the Aviation, Aeronautics,
Aerospace International Research (A3IR) Conference, Phoenix, AZ
January 16, 2015--Presentation to the Aviation, Aeronautics, Aerospace
International Research (A3IR) conference on breakdowns in flight path
monitoring & flight path deviations, Phoenix, AZ
January 14, 2015--Presentation to students visiting from Southern
Illinois University, Washington, DC
October 20, 2014--Presentation to National Business Aviation
Association's Emergency Response Planning Workshop, Orlando, FL
October 16, 2014--Keynote Speaker at LifeFlight Eagle Safety Symposium,
Kansas City, MO
October 9, 2014--Presentation to Bombardier Safety Standdown, Wichita,
KS
October 8, 2014--Presentation to United Airlines Leadership Safety
Summit, Denver, CO
September 25, 2014--Presentation to the Bristow Group operations
leadership team at the NTSB Training Center, Ashburn, VA
September 15, 2014--Presentation to the 2nd Annual VA Distracted
Driving Summit, Richmond, VA
September 5, 2014--Presentation to the Cincinnati Business Aviation
Symposium, Cincinnati, OH
August 11, 2014--Controlled Flight Into Terrain (CFIT) The problem that
never went away. Presentation to Bombardier Safety Standdown, Sao
Paulo, Brazil
July 27, 2014--The Crash of Asiana Flight 214. Presentation to Aviation
Section of American Association of Justice, Baltimore, MD
July 24, 2014--Presentation to the Lawyer Pilot Bar Association in
Albuquerque, NM
June 6, 2014--Presentation The NTSB's Approach to Accident
Investigation to the Junta de Investigacion de Accidentes de Aviacion
Civil, Buenos Aries, Argentina
May 29, 2014--Presentaiton on the critical role of safety leadership,
Houston's Transportation Safety Day, Houston, TX
May 29, 2014--Presentation on the Anatomy of an NTSB Investigation,
Houston's Transportation Safety Day, Houston, TX
May 21, 2014--Accident Investigation Orientation for Rail
Professionals, NTSB Training Center, Ashburn, VA
May 12, 2014--Luncheon speech at Annual Meeting of Aerospace Medical
Association, San Diego, CA
May 2, 2014--Speech at the 261st Anniversary of the Winyah Indigo
Society, Georgetown, SC
April 30, 2014--Presentation to Duke Energy Aviation Safety Seminar,
Charlotte, NC
April 17, 2014--Presentation to the 59th annual Business Aviation
Safety Summit in San Diego, CA
April 2, 2014--The Impact of hands-free cellphone use, presentation at
National Safety Council webinar on distraction
March 18, 2014--Presentation to the Regional Airlines Association
Symposium in Orlando, Florida
March 5, 2014--Presentation to the Air Charter Safety Foundation at the
NTSB Training Center, Ashburn, VA
February 27, 2014--Keynote to the International Helicopter Safety
Symposium banquet, Anaheim, CA
February 27, 2014--Keynote to the International Helicopter Safety
Symposium banquet, Anaheim, CA
February 8, 2014--Presentation to Inspection Authorization Renewal
Seminar, Hickory, NC
February 4, 2014--Presentation on aviation professionalism to the
Aviation Institute at the University of Nebraska, Omaha, NE
February 4, 2014--Presentation to Nebraska Business Aviation
Association, Omaha, NE
January 18, 2014--Presentation to FAA Wings Seminar, Phoenix, AZ
January 17, 2014--Keynote presentation to Aerospace International
Research (A3IR) Conference, Phoenix, AZ
January 14, 2014--Presentation to Southeastern Aviation Safety
Roundtable on Enhancing Crew Monitoring and Cross-checking,
Huntersville, NC
January 12, 2014--TRB Human Factors Luncheon Speaker, Washington, DC
January 10, 2014--Presentation to the University Aviation Association,
Washington, DC
December 6, 2013--Presentation on safety culture at Embry-Riddle
President's Safety Education Day, Daytona Beach, FL
December 5, 2013--Presentation to the Embry Riddle student chapter of
ISASI about the mission of the NTSB, Daytona Beach, FL
November 14, 2013--ALTA Airlines Leaders Forum in Cancun, Mexico
November 11, 2013--Presentation to the Patriot Rail Leadership
Conference in Jacksonville, FL
October 31, 2013--Presentation at the Flight Safety Foundation
International Air Safety Summit in Washington, DC
September 27, 2013--Presentation on creating a healthy safety culture
to Embry-Riddle Aeronautical University's Prescott campus, Prescott, AZ
September 16, 2013--Presentation on Standard Operating Procedures to
Southern California Aviation Association
September 16, 2013--Presentation on Working with the NTSB to Southern
California Aviation Association
August 8, 2013--Presentation to International Business Class, Wichita
State University
August 7, 2013--Presentation to the Wichita Aero Club, Wichita, KS
July 17, 2013--Presentation to the ALPA 59th Air Safety Forum,
Washington, DC
June 25, 2013--Keynote address to Fourth Pan American Safety Summit,
San Jose, Costa Rica
May 23, 2013--Presentation to the Southwest Airlines Flight Operations
Spring Symposium
May 16, 2013--Presentation to the Washington Area National Business
Aviation Association, Ashburn, VA
May 5, 2013--Presentation to Aviation Insurance Association, Orlando,
FL
April 15, 2013--Presentation to Bombardier's Safety Standdown about
creating a positive safety culture, Shanghai, China
April 4, 2013--Presentation to Pacific Northwest Business Aviation
Association (PNBAA), Seattle, WA
April 4, 2013--Presentation to Pacific Northwest Business Aviation
Association (PNBAA), Seattle, WA
March 4, 2013--Presentation to HELI-EXPO, Las Vegas, NV
February 13, 2013--Presentation to the South Carolina Aviation
Association about working with the NTSB after an accident, Myrtle
Beach, SC
February 7, 2013--Inadequate Monitoring and Cross-checking--How do we
make vast improvements?, Atlanta, GA
January 24, 2013--Presentation to Patriot Rail Operations Team
Leadership Workshop, Jacksonville, FL
January 14, 2013--Presentation to the Transportation Research Board on
Human, Organizational, and Cultural Factors in Accidents
January 13, 2013--Presentation to the Transportation Research Board
Human Factors Workshop on Automation, Washington, DC
January 13, 2013--Presentation to the Transportation Research Board
Human Factors Workshop on Safety Data, Washington, DC
December 10, 2012--Telecon presentation to SteelRiver Infrastructure
Partners on role of leadership in preventing organizational accidents
December 7, 2012--Luncheon Remarks for International Air and
Transportation Safety Bar Association, Washington, DC
December 3, 2012--Keynote Remarks for National Organizations for Youth
Safety (NOYS)--Teen Distracted Driving Prevention Summit, Washington,
DC
November 27, 2012--Presentation to U.S. Air Force's Safety Center,
Albuquerque, NM
November 7, 2012--Presentation on Inadequate Monitoring and Cross-
checking ``The Problem that Never Went Away'' Human Factors industry
roundtable, Irving, TX
October 29, 2012--Presentation on Threat and Error Management at NBAA's
Single Pilot Safety Standdown in Orlando, FL
October 24, 2012--Presentation on how to create the right kind of
safety culture, Railway Tie Assn Symposium in Tampa, FL
October 23, 2012--Presentation on Understanding the Critical Role of
Leadership in Preventing Organizational Accidents, at CPUC Safety
Leadership Conference, Los Angeles, CA
October 18, 2012--Luncheon Remarks Before American Bar Association Tort
Trial & Insurance Practice Section, Aviation and Space Law Committee,
Washington, DC
October 8, 2012--Safety Management Systems workshop at Bombardier
Safety Standdown in Wichita, KS
August 26, 2012--Presentation to Flight Safety Foundation in
Alexandria, VA, on working with the NTSB after an accident occurs
August 20, 2012--Presentation to Boeing Training and Flight Services
personnel in Seattle on adherence to standard op procedures, Seattle,
WA
August 8, 2012--Presentation to Avantair employees on the importance of
adhering to standard ops procedures, Clearwater, FL
July 11, 2012--Presentation to the M&N Aviation Safety Standdown,
Englewood, CO
June 26, 2012--California Public Utilities Commission (CPUC) Safety
Leadership Conference in San Francisco, CA
June 26, 2012--California Public Utilities Commission (CPUC) Safety
Leadership Conference in San Francisco, CA
June 12, 2012--Pllot and ATC professionalism presentation to Beaver
County Community College
May 8, 2012--Remarks for Launch of Global Youth Traffic Safety Month,
Washington, DC
May 7, 2012--Remarks to NTSB Youth Open House, Washington, DC
May 3, 2012--Remarks to To the International Society of Air Safety
Investigators, Mid Atlantic Regional Chapter (MARC), Washington, DC
April 26, 2012--Presentation to the Chicago Area Business Aviation
Association conference, Chicago, IL
April 25 2012--Remarks at Meharry-State Farm Alliance Teen Safe Driving
Champion Award Presentation and ThinkFast Program Blythewood, South
Carolina
April 19, 2012--Presentation at Flight Safety's Corporate Aviation
Safety Seminar in San Antonio, TX
April 17, 2012--Presentation to Purdue University on Professionalism in
Aviation, West Lafayette, IN
April 4, 2012--Presentation to the Volpe Center's Roundtable on
Automation and the Human, Cambridge, MA
March 29, 2012--Presentation to Embry-Riddle Aeronautical University,
Daytona Beach, FL
March 20, 2012--Presentation at the SCRRA seminar, Los Angeles, CA
March 8, 2012--Presentation at the Veriforce 2012 Annual Contractor
Safety and Training Conference
March 1, 2012--Presentation at the 24th Annual European Air Safety
Seminar (EASS) of the Flight Safety Foundation (FSF), Dublin, Ireland
November 11, 2011--Presentation to the 2011 Interstate Natural Gas
Association of America (INGAA) Foundation Annual Meeting, San Diego, CA
November 9, 2011--Presentation at the Fifth International Helicopter
Safety Symposium, Fort Worth, TX
October 26, 2011--A Practical Look at Establishing a Safety Culture,
presented to the Bombardier 15th Annual Safety Standdown, Wichita, KS
October 26, 2011--Address on SMS to the Bombardier 15th Annual Safety
Standdown, Wichita, KS
October 26, 2011--Address to the Bombardier 15th Annual Safety
Standdown: Raising the Bar on Pilot Professionalism, Wichita, KS
October 17, 2011--September 28, 2011-Keynote address to General
Aviation Air Safety Investigator Workshop, Wichita, KS.
August 23, 2011--luncheon keynote address to the American Association
of Motor Vehicle Administrators Annual International Conference,
Milwaukee, WI
June 28, 2011--Keynote address to University of Southern California/
Metrolink Safety Conference, Los Angeles, CA
June 21, 2011--Presentation at the Airborne Law Enforcement Law
Enforcement Association Conference, New Orleans, LA
June 7, 2011--Remarks to the American Waterways Operators Safety Costa
(Committee Summer Meeting, Las Vegas, NV
May 10, 2011--Opening Remarks at the Truck and Bus Safety Forum,
Washington, DC
May 5, 2011--Remarks to the Chicago Area Business Aviation
Association's Annual Safety Stand-Down, St. Charles, IL
May 4, 2011--Remarks to the Society of Chest Pain Centers 14th
Congress, Miami, FL
April 20, 2011--Remarks at Flight Safety Foundation's 56th Annual
Corporate Aviation Safety Seminar 2011, San Diego, CA
March 30, 2011--Remarks to the University of North Dakota John D.
Odegard School of Aerospace Sciences' Spring Aviation Safety Seminar,
Grand Forks, ND
March 26, 2011--Remarks at South Carolina Aviation Safety Council
2011Safety Fly-In, Rock Hill, SC
March 23, 2011--Remarks to NTSB Training Center Aircraft Accident
Investigation for Aviation Professionals (AS 301) Course, Ashburn, VA
January 25, 2011--Remarksbefore the Transportation Research Board 90th
Annual Meeting, Washington, DC
January 19, 2011--Remarks to the Dombroff, Gilmore, Jaques, & French
5th Annual 2011 Airline Symposium, McLean, VA
November 16, 2010--Remarks on Eliminating Distractions for Young
Drivers, Most Wanted List Press Conference: State Issues, Washington,
DC
November 12, 2010--Remarks to the Trauma Center Association of America
Annual Conference, San Diego, CA
October 13-14, 2010--Public Forum on Fishing Vessel Safety, Washington,
DC--Chairman's Opening Remarks, Washington, DC
September 21, 2010--Remarks to the Flight Safety Foundation's Corporate
Advisory Committee Workshop, Alexandria, VA
September 18, 2010--Commencement address to the Embry-Riddle
Aeronautical University Worldwide Beaufort Teaching Site, Charleston,
and Greenville Campus, Charleston, SC
September 9, 2010--Remarks before the Transit Rail Advisory Committee
for Safety Meeting, Washington, DC
September 1, 2010--Remarks before the Georgia Business Aviation
Association's Annual Safety Day, Marietta, GA
August 24, 2010--Keynote Address for the 2010 Training, Standardization
and Compliance Conference, Concord, NC
May 12, 2010--Remarks before the Flight Safety Foundation's 55th Annual
Corporate Aviation Safety Seminar, Tucson, AZ
March 17, 2010--Remarks before the 2010 Association of Air Medical
Services Spring Conference, Washington, DC
March 2, 2010--Remarks before the NASA Langley Research Center--
Colloquium and Sigma Series Lectures, Hampton, VA
February 23-24, 2010--Public Hearing on Collision of Two Washington
Metropolitan Area Transit Authority Trains Near Fort Totten Station,
Washington, DC, June 22, 2009--Chairman's Opening Statement,
Washington, DC
February 12, 2010--Remarks before the South Carolina Aviation
Association's 32nd Annual Aviation Conference, Myrtle Beach, SC
February 11, 2010--Keynote Address for the South Carolina Aviation
Association, Hall of Fame Banquet, Myrtle Beach, SC
January 8, 2010--Remarks before the Embry-Riddle Aeronautical
University's 21st Annual Aviation Law & Insurance Symposium, Orlando,
FL
December 10, 2009--Remarks before the Massachusetts Institute of
Technology Flying Club, Boston, MA
December 7, 2009--Remarks to the 2nd Annual Gulfstream Safety
Standdown, Savannah, GA
December 1, 2009--Remarks to the FAA International Runway Safety
Summit, Washington, DC
November 3, 2009--Remarks to the Flight Safety Foundation's 62nd Annual
International Air Safety Seminar, Beijing, China
October 21, 2009--Remarks to the National Business Aviation
Association's 62nd Annual Meeting & Convention, Safety Town Hall
Meeting, Orlando, FL
October 8, 2009--Remarks to the Flight Safety Foundation Corporate
Advisory Committee, Alexandria, VA
October 5, 2009--Remarks to the American College of Emergency
Physicians Meeting, Boston, MA
September 29, 2009--Remarks to the Third International Helicopter
Safety Symposium, Montreal, Quebec, Canada
September 17, 2009--Remarks to the International Society of Air Safety
Investigators (ISASI) 2009 40th Annual Seminar, Orlando, Florida
September 2, 2009--Remarks to the 21st Annual FAA/ATA International
Symposium on Human Factors in Maintenance and Ramp Safety, San Diego,
CA
July 9, 2009--Remarks to the Lawyer-Pilots Bar Association Golden
Anniversary Meeting, Mackinac Island, Michigan
June 23, 2009--Remarks to the PALMATT 2nd Aviation Safety and Risk
Management Symposium, Teaneck, NJ
June 11, 2009--Opening Statement for the Public Hearing on U.S. Airways
Flight 1549 Airbus A320, N106US, Hudson River, NJ January 15, 2009,
Washington, DC
June 3, 2009--Remarks to the Federal Interagency Committee on EMS,
Arlington, VA
May 20, 2009--Remarks to the Training Committee, Regional Airlines
Association Annual Convention, Salt Lake City, UT
May 6, 2009--Remarks to the Advanced Qualification Program Conference,
Phoenix, AZ
April 28, 2009--Remarks on Human Error in the Context of Accidents to
the Society of Experimental Test Pilots, Flight Test Safety Workshop,
Ottawa, Canada
April 28, 2009--Remarks on Threat and Error Management to the Society
of Experimental Test Pilots, Flight Test Safety Workshop, Ottawa,
Canada
March 18, 2009--Remarks to Flight Safety Foundation's European Aviation
Safety Seminar (EASS), Nicosia, Cyprus
March 11, 2009--Remarks to the Association of Air Medical Services
Spring Conference, March 11, 2009, Washington, DC
March 3, 2009--Remarks to the 2009 Air Charter Safety Foundation
Symposium, Ashburn, VA
February 3, 2009--Opening Statement at the Public Hearing the in the
Matter of the Issues on Emergency Medical Services, Helicopter
Operational Safety, Washington, DC
January 22, 2009--Remarks to the 2009 Cessna Safety Stand-down,
Wichita, KS
October 29, 2008--Remarks to the Regional Airlines Association's
Presidents Council Luncheon, Washington, DC
October 22, 2008--Remarks to the 2008 Airports Council International--
North America (ACI-NA) Accident Response Workshop, Arlington, VA
October 20, 2008--Remarks to the Air Medical Transport Conference 2008,
Minneapolis, MN
October 7, 2008--Remarks to NBAA Safety Town Hall Meeting, Orlando, FL
September 10, 2008--Remarks to the Flight Deck Automation Working
Group, Washington DC
August 19, 2008--Remarks to the FAA Air Traffic Organization Leadership
Summit, Washington, DC
July 31, 2008--Remarks to the Pipeline and Hazardous Materials Safety
Administration's Public Workshop for Stakeholders: Transporting
Hazardous Materials Safely--the Next 100 Years, July 31, 2008,
Washington, DC
July 20, 2008--Remarks to the FlightSafety's Senior Leadership Course,
Orlando, FL
July 9, 2008--Remarks to the Pipeline and Hazardous Materials Safety
Administration, Washington, DC
June 26, 2008--Remarks to the Southern Gas Association's Safety and
Health Round Table during the Environmental, Safety, and Training
Conference, Charlotte, NC
June 19, 2008--Remarks to the South Carolina Electric and Gas Company,
Columbia, SC
June 17, 2008--Keynote Remarks to the FM Aviation Fatigue Management:
Partnerships for Solutions Symposium, Vienna, VA
May 28, 2008--Keynote Remarks to the Federal Aviation Administration
Shared Vision of Aviation Safety Conference, San Diego, CA
May 22, 2008--Remarks to the Regional Air Cargo Carriers Association,
7th Anniversary Spring Conference, Chantilly, VA
May 14, 2008--Remarks to the Nautical Institute Seminar, United States
Merchant Marine Academy, Kings Point, New York
May 8, 2008--Remarks of Robert Sumwalt, Vice Chairman to the 27th
Annual Conference of the Aviation Law Association of Australia and New
Zealand, Sydney, Australia
May 1, 2008--Remarks to the International Society of Air Safety
Investigators, Mid Atlantic Regional Chapter, Washington, DC
April 17, 2008--Remarks to the 2008 International Boating and Water
Safety Summit, San Diego, CA
April 9, 2008--Remarks to Embry-Riddle Aeronautical University, Daytona
Beach, FL
February 28, 2008--Remarks to the National Business Aviation
Association 2008 Leadership Conference, San Antonio, TX
February 21, 2008--Remarks to the SMU Air Law Symposium, Dallas, TX
February 19, 2008--Remarks to the Air Charter Safety Foundation,
Alexandria, VA
February 8, 2008--Remarks to the South Carolina Aviation Association,
Hilton Head, SC
January 14, 2008--Opening Remarks to the Southeastern Transportation
Center Student Breakfast during the Transportation Research Board of
the National Academies' 87th Annual Meeting, Washington, DC
January 9, 2008--Remarks to the University Aviation Association,
Washington, DC
December 6, 2007--Opening Remarks to the Aviation Directors Roundtable,
Washington, DC
November 6, 2007--Opening Remarks Before the NATA Aviation Business
Roundtable, Washington, DC
October 15, 2007--Opening Remarks Before the Airline Dispatchers
Federation Safety Symposium, Houston, TX
September 19, 2007--Opening Remarks Before the General Aviation Air
Safety Investigators (GAASI) 2007 Advanced Technical Workshop, Wichita,
Kansas
September 6, 2007--Remarks to 19th FAA/ATA International Symposium
Human Factors in Maintenance and Ramp Safety, Orlando, Florida
August 22, 2007--Remarks to the Chief Aircraft Accident Investigators
Programme of Air Accident Investigation Bureau of Singapore and
Singapore Aviation Academy, Singapore, Republic of Singapore
August 8, 2007--Remarks to the Air line Pilots Association,
International, 2007 Air Safety & Security Forum, Washington, DC
May 23, 2007--Remarks Before the Flight Safety Foundation Board of
Governors, Washington, DC
May 17, 2007--Remarks to the Regional Air Cargo Carriers Association
5th Anniversary Spring Conference, Scottsdale, AZ
May 12, 2007--Remarks to the National Coalition of Motorcyclists,
Charlotte, NC
April 11, 2007--Remarks to the Air Line Pilots Association,
International Pilots Assistance Forum, Denver, CO
February 12, 2007--Remarks Before the Columbia (SC) Rotary Club,
Columbia, SC
February 2, 2007--Remarks Before the Embry-Riddle Aeronautical
University's Eighteenth Annual Aviation Law & Insurance Symposium,
Orlando, FL
January 18, 2007--Remarks Before the United Motorcoach Association
Motorcoach EXPO 2007, New Orleans, LA
November 18, 2006--Remarks Before the 68th Annual Conference, National
Foundation for Women Legislators, Avon, CO
November 10, 2006--Keynote Address for the 30th Anniversary Celebration
NASA Aviation Safety Reporting System, San Carlos, CA
November 3, 2006--Introductory Remarks Before the FAA 3rd Annual
International Aviation Safety Forum, Chantilly, VA
September 24, 2006--Remarks During Swearing-In Ceremony, Washington, DC
Senator Wicker. Thank you very much.
I believe, Mr. Bentzel, you are next, so you're recognized.
STATEMENT OF CARL W. BENTZEL, NOMINEE TO BE A COMMISSIONER,
FEDERAL MARITIME COMMISSION
Mr. Bentzel. Chairman Wicker, Ranking Member Cantwell,
Members of the Committee, good morning, and thank you for the
opportunity to appear before you today as the nominee to be
Commissioner of the Federal Maritime Commission.
I would respectfully ask to have the formal text of my
testimony be submitted for the record.
Senator Wicker. And that will be done for all of our
witnesses.
Mr. Bentzel. I would be remiss and in serious trouble if I
did not recognize my wife Susanne Bentzel, my son CJ Bentzel,
my mother Sarah Bentzel, and sisters Paige, Ann, and Carter,
who are all sitting in attendance.
I wish to publicly thank them for being here and for their
love and encouragement.
I understand the Chairman and Commissioners of the Federal
Maritime Commission had also hoped to be here today but their
obligations as hosts of the Global Regulatory Summit with the
EU and Chinese regulators precluded them from joining.
Mr. Chairman and Ranking Member Cantwell, it is a great
honor for me to sit before the membership of the Senate
Commerce Committee to be considered for a position as the
Commissioner of the FMC.
As members representing states with large maritime ports
and sustaining large maritime industrial-based industries, you
are able to appreciate the value that the maritime industry
plays to our economy, but many others in this country only have
fleeting knowledge of the value that it plays across all
regions and segments of business.
Every day millions of tons of cargo are unloaded at U.S.
ports. The Department of Transportation's latest statistics
indicated that in 2017, major U.S. ports handled over 51
billion tons of cargo, both foreign and domestic, and the
container fleets regulated by the FMC made 20,630 international
trade calls and carried 13 million containers.
Historically, U.S. manufacturers, exporters, and retailers
have been able to be more competitive because of the envious
state of our intermodal transportation system.
Ocean shipping rates and actual dollar amounts have been
reduced by 17 percent over the past decade. However, this
advantage is in jeopardy of erosion as we struggle to
accommodate the next generation of trade in an acceptable way.
The increases in vessel size, enhancements to the Panama
Canal, the expansion of trade increasingly strains our
abilities. Populations surrounding ports are increasingly
demanding efforts from the maritime industry to mitigate the
environmental and other societal costs of moving cargo.
I believe that the FMC can and should play a role in
facilitating a balance of interests in helping mitigate
movement costs.
The FMC plays an important role in overseeing the terms and
services provided by international regularly scheduled shipping
lines, regulates joint action agreements that have been
considered by the Commission not to be anticompetitive,
protects the shipping public from certain prohibited acts,
oversees the regulation of ocean freight forwarders and non-
vessel-owning common carriers, provides surety that passenger
vessels adhere to contractual obligations.
Congress has also provided the FMC with trade authorities
to adjust unfavorable conditions imposed on U.S. shipping by
foreign governments and the agency's required to more closely
scrutinize the commercial practices of ocean common carriers
who are controlled by foreign governments to ensure that they
do not engage in predatory practices.
In sum, the FMC's objectives are to maintain an open,
competitive, reliable international ocean shipping system and
protect the shipping public from unlawful, unfair, deceptive
ocean shipping practices.
By keeping our foreign commerce free and unrestricted, the
FMC ultimately benefits U.S. consumers and manufacturers.
I came to Washington, D.C., with an intense interest in the
career in maritime policy after graduating from Tulane
University's LLM Program in Admiralty Law. I first experienced
the FMC as an agency as a young maritime attorney hired to work
for the now-defunct House Committee on Merchant Marine and
Fisheries in 1990.
The first hearing that I was assigned to cover was the FMC
Authorization and for close to 15 years, I was the Democrat
staffer assigned responsibility for the functioning of the
agency.
In 1995, I was hired to work as the Senior Counsel for the
Senate Commerce Committee where I worked for Senators Hollings,
Breaux and Inouye on maritime and surface transportation
issues. During this time, we worked closely and on a bipartisan
basis with Senators Stevens and Lott to deregulate the ocean
shipping industry.
My time spent as a staffer working for the Senate Commerce
Committee was a work career highlight and furnished me with the
ability to learn more about ocean shipping and the maritime
industry than perhaps any other employment position.
I have had the opportunity to experience firsthand port and
marine terminal operations, visit shipping lines to understand
their logistics challenges, and garner a greater understanding
of intermodal trucking and rail issues pertaining to services
through our ports. I feel graced to have had this opportunity.
Mr. Chairman and Ranking Member Cantwell, if given the
privilege of serving as a Federal Maritime Commissioner, I
pledge to you that I will follow the statutory requirements of
the law in an objective and unbiased basis.
I also pledge to you that I will be fully responsive and
engaged with any demand or requests of this committee as you
discharge of your legislative and regulatory oversight of the
FMC.
I wish to thank you and your staffs once again and I am
pleased to answer any questions that you might have.
[The prepared statement and biographical information of Mr.
Bentzel follow:]
Prepared Statement of Carl W. Bentzel, Nominee to be a Commissioner,
Federal Maritime Commission
Chairman Wicker, Ranking Member Cantwell, and members of the
Committee, good morning and thank you for the opportunity to appear
here before you today as a nominee to be Commissioner of the Federal
Maritime Commission (FMC). I would also thank you both for the
courtesies that your staff extended to me throughout the nomination
process. Finally, I would like to thank President Trump for nominating
me for this position, and Senator Schumer for recommending me to be
nominated for this position.
The FMC is an independent agency with specialized experience in the
international ocean transportation industry. The agency is charged with
the responsibility of administering a law that provides a focused
antitrust regulatory regime tailored to the particular factors
affecting regularly scheduled international ocean shipping trade. Under
the Shipping Act of 1984, as amended by the Ocean Shipping Reform Act
of 1998, Congress found that collaborative joint venture agreements
between and among ocean carriers and marine terminal operators may and
do provide efficiencies and reduced costs that ultimately benefit U.S.
exporters, and save the U.S. consumer money provided that such
agreements are reviewed by the Commission and determined to not be
materially anti-competitive. The FMC reviews and monitors these joint
collaborations and agreements under the Shipping Act to ensure that
pro-competitive efficiencies and cost savings are obtained for the
benefit of U.S. consumers, and that any anti-competitive effects are
prevented or properly mitigated.
The FMC also engages in a variety of activities to protect the
public from financial harm, including licensing, registration, and
monitoring the practices of intermediaries and implementing financial
bond requirements for over 6,000 ocean transportation intermediaries
(OTI); investigating and prosecuting unreasonable or unjust practices,
ruling on private party complaints alleging Shipping Act violations,
and helping mediate and resolve disputes concerning the shipment of
goods or the carriage of passengers. These activities contribute to the
competitiveness, integrity, fairness, and efficiency of the Nation's
import and export supply chains and ocean transportation system. The
FMC is also charged with the responsibility of ensuring that passenger
vessel operators maintain proper financial coverage to reimburse cruise
passengers in the event their cruise is cancelled or to cover liability
in the event of death or injury at sea.
The FMC has authority under the Foreign Shipping Practices Act of
1988, and Section 19 of the Merchant Marine Act, 1920 to evaluate the
practices of foreign governments to determine whether they are
unfavorable or discriminatory. The FMC is authorized to take certain
actions in response to the discriminatory practices of foreign
governments, after investigation and due process, to help address anti-
competitive discriminatory foreign shipping practices. Finally, the FMC
is required to impose certain additional protections with respect to
foreign carriers that are operate under government control to ensure
that they do not engage in predatory pricing practices to the detriment
of commercial carriers.
In sum, the FMC's objectives are to maintain an open, competitive
reliable international ocean shipping system, and protect the shipping
public from unlawful, unfair and deceptive ocean shipping practices.
It is with great pleasure and honor that I was nominated for this
position. After graduating from Tulane University's L.L.M. program in
Admiralty Law, I first experienced the FMC as an agency as a young
maritime attorney, hired to work for the now-defunct House Committee on
Merchant Marine and Fisheries in 1990. The first area that I was
assigned to cover as a staffer, was the FMC, and for close to 15 years,
I was the Democrat staffer assigned responsibility for the functioning
of the agency. During this time frame, I also participated as a
Congressional Staff representative to the Presidential Advisory
Commission on Conferences in Ocean Shipping (``ACCOS'') which evaluated
the agencies regulatory structure and worked on issues related to
agency oversight.
In 1995, I was hired to work as a Senior Counsel for the Senate
Committee on Commerce, Science and Transportation where I worked for
Senators Hollings, Breaux and Inouye on maritime and surface
transportations issues. During this time, we worked closely and on a
bi-partisan basis with Senators Stevens and Lott to deregulate ocean
shipping requirements to allow confidential shipping contracts, and to
furnish the current regulatory structure governing international ocean
liner shipping and FMC operations today. The Ocean Shipping Reform Act
of 1998 was a landmark change in the way we regulate ocean shipping,
where I believe we adequately balanced the need for a more competitive
regulatory environment with a proper degree of oversight.
My time spent as a staffer working for the Senate Commerce
Committee was a work career highlight and gave me opportunities to
learn more about the maritime industry than perhaps any other
employment position. I have had the opportunity to experience
firsthand, port and marine terminal operations, visit shipping lines to
understand their logistics challenges, and garner a greater
understanding of intermodal trucking and rail issues pertaining to
services through our ports. I feel graced to have had this opportunity.
While would not be appropriate to comment on specific areas where
the FMC is currently considering policy, I did want to identify a few
general policy areas that I believe will be important for the FMC as
the agency moves forward to the future.
The maritime industry is increasingly tied to the efficiencies of
their intermodal partners in moving cargo through marine terminals and
ports and onto the surface transportation modes of trucking and rail.
There are multiple players involved in port and maritime terminal
management, and throughput infrastructure is often a shared venture.
Freight volume increases, while providing economic benefit, also carry
with its negative impact on surrounding community's environmental
quality and cause harm as a result of congestion related impacts. Port
communities are looking for better ways to manage the consequences of
maritime trade.
I believe the FMC will continue to have a real impact in allowing
the industry to coordinate a response to these problems through
agreements considered by the FMC. These agreements can help harness
joint practices aimed at remediating the impacts of port traffic. I
believe that the FMC should review and approve these agreements to make
sure that agreements end up serving the intended purpose of
environmental remediation or other societal benefit, and not be a back-
door attempt at revenue generation.
Another area of potential concern in the ocean shipping industry
are the impacts of consolidation. In the last three years the number of
major shipping lines has reduced from 20 to 13, caused primarily when
all Chinese and Japanese ocean carriers separately merged their
companies into one. However, I believe that the ocean shipping market
still remains extremely competitive. The FMC Chairman recently
testified to the fact that when adjusted for inflation over the past
ten years that ocean shipping rates from China to the West Coast have
declined by 17 percent, and when adjusted for inflation by 29 percent.
While ocean shipping rates have remained static for a remarkably
sustained period of time, and under U.S. guidelines governing
competition (Herfindahl Hirschman Index) would still be viewed as a
market that is very competitive, the international ocean liner
industry, while already subject to stringent consideration, should
require greater scrutiny given the nationalization of some of the
shipping lines, and the economic stakes that could be involved in
potential market manipulation.
Finally, an International Maritime Organization (IMO) rule,
commonly referred to as ``IMO 2020'', requires ocean carriers,
beginning in January 2020, to burn low sulfur fuel that has a 0.5
percent sulfur content or install exhaust scrubbers in order to
continue to run their vessels with heavy bunker fuel that contains 3.5
percent sulfur content. While I support the implementation of the new
requirements based on carbon and other emissions reductions, there is
uncertainty on how this new mandate will play out on the shipping
market, both with respect to ships and to trucks. The current U.S.
refining market is designed to cater solely to truck interests who
already are required to use low sulfur fuel. I question whether the
refining industry has adequately ramped up to adjust to the new levels
of fuel that will be required to accommodate the ocean container fleet.
I fear that this could be most adversely felt in the trucking world
where independent operators have little ability to recoup fuel price
increases and could cause restriction in this market. Ultimately, the
market will adjust to the new fuel requirements, but in the interim,
there could be transportation consequences.
Mr. Chairman and Ranking Member Cantwell, if given the privilege of
serving as a Federal Maritime Commissioner, I pledge to you that I will
follow the statutory requirements of the law in an objective and
unbiased basis. I also pledge to be fully responsive and engaged with
any demand or request of this Committee as you discharge of your
legislative and regulatory oversight of the FMC.
I wish to thank you and your staffs once again, and I am pleased to
answer any questions that you might have.
______
a. biographical information
1. Name (Include any former names or nicknames used): Carl Whitney
Bentzel.
2. Position to which nominated: Commissioner, Federal Maritime
Commission.
3. Date of Nomination: June 12, 2019.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: Information not provided.
5. Date and Place of Birth: 07/25/1963; Bethesda, MD.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Spouse: Suzanne Marie Bentzel employed by the West Virginia
University.
7. List all college and graduate degrees. Provide year and school
attended.
B.A. Degree (History), St. Lawrence University, 1985
J.D, Degree, University of Alabama, 1989
L.L.M. in Admiralty Law, Tulane University, 1990
8. List all post-undergraduate employment, and highlight all
management level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
Democrat Counsel for Maritime Policy, House Committee on
Merchant Marine and Fisheries (1990-1994).
Democrat Senior Counsel, Subcommittee on Surface Transportation
and Merchant Marine, Senate Committee on Commerce, Science, and
Transportation (1995-2004).
Vice President, DCI Group LLC (2004-2014).
Partner, SB Capitol Solutions (2014-2016).
Principal, Bentzel Strategies LLC (2016 to present).
9. Attach a copy of your resume.
Attached at the end of the questionnaire.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last ten years.
Not Applicable.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last ten years.
List of entities for whom I consulted:
Hydrogen Energy California LLC
Specialized Carrier and Rigging Association
American Roll-on Roll-off Carriers
American Task Force Argentina
CEMEX
Exxon Mobil
Great River Economic Development Fdtn.
Owner-Operator Independent Drivers Association (OOIDA)
Verizon
Inspire STEM Coalition
Intelligent Car Coalition
DCI Group LLC
12. Please list each membership you have had during the past ten
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religiously affiliated organization, private club, or other membership
organization. (For this question, you do not have to list your
religious affiliation or membership in a religious house of worship or
institution.) Include dates of membership and any positions you have
held with any organization. Please note whether any such club or
organization restricts membership on the basis of sex, race, color,
religion, national origin, age, or disability.
Propeller Club of Washington DC (2008-2012, est.)
Country Club at Woodmore (2004 to present)
Both organizations do not discriminate.
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt.
Not Applicable.
14. List all memberships and offices held with and services
rendered to, whether compensated or not, any political party or
election committee within the past ten years. If you have held a paid
position or served in a formal or official advisory position (whether
compensated or not) in a political campaign within the past ten years,
identify the particulars of the campaign, including the candidate, year
of the campaign, and your title and responsibilities.
Not Applicable.
15. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past ten years.
Joe Manchin ($4,016)
Cheri Bustos ($500)
Rick Nolan ($500)
Garret Graves ($1,500)
Sam Graves ($500)
Mary Landrieu ($2,750)
Nita Lowey ($500)
Mark Pryor ($1,500)
Nick Rahall ($1,500)
Kelly Ayotte ($500)
Ed Pastor ($500)
Kristin Gillibrand ($1,500)
Allan Mollohan ($1,500)
Collen Hanabusa ($500)
Bob Corker ($500)
Pete Visclosky ($1,000)
Charlie Melancon ($500)
Daniel Inouye ($1,000)
Natalie Tennant ($4,100)
DCI PAC ($3,000)
16. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Coast Guard's Medal for Meritorious Public Service
Maritime Security Council's Man of the Year Award
17. Please list each book, article, column, Internet blog posting,
or other publication you have authored, individually or with others.
Include a link to each publication when possible. Also list any
speeches that you have given on topics relevant to the position for
which you have been nominated. Do not attach copies of these
publications unless otherwise instructed.
I have written articles, presented testimony, and given speeches on
a number of issues related to my expertise in maritime shipping,
transportation and energy, and have included a summary and access to
these materials.
Book:
McGraw-Hill's Handbook on Homeland Security, port security
chapter, (chapter 36).
Op-Eds:
Security in U.S. ports is severely lagging 5/17/2006:
https://rbi.net/2006/03/17/security-in-u-s-ports-is-severely-
lagging/
All of the Above Transportation Funding 2/25/2017:
https://morningconsult.com/opinions/transportation-funding-its-
all-of-the-above/
Trump Should Reverse Obama-Era South Atlantic Oil and Gas
Restrictions 5/07/2017:
https://morningconsult.com/opinions/trump-reverse-obama-era-
south-atlantic-oil-gas-restrictions/%3C/span%3E
The Wall, It is All About--Over, Under, Around, and Through 11/
27/2017:
https://morningconsult.com/opinions/its-not-about-a-wall-but-
it-is-about-over-around-under-through/
During the course of my close to fifteen-year work experience in
both the House of Representatives and the Senate, I was asked on
average about five times a year to provide legislative update speeches
to groups involved in maritime and transportation policy. All speeches
were given under the constraints of my professional obligations to the
House and Senate Committees where I worked. All remarks that I made
were made off of the cuff, and I do not have notes either. I have
attached Internet access to all speeches and events that I could
readily locate that discussed my comments.
http://www.thebreakingnews.com/files/articles/
ncorpcharlestontranscript.pdf.
National Council on Readiness and Preparedness (port security/
11/30/2006)
https://www.upi.com/Washington-Agenda-General/62791021663216/
Center for Strategic and International Studies holds a program
with U.S. Transportation Secretary Norman Mineta to discuss
Post-9/11 Environment. (port security/5/20.2002)
http://www.tvworldwide.com/events/hdj/070307/
Border, Maritime and Transportation Security Conference (port
security on 3/7/2007)
https://m.marinelog.com/docs/MLEGMMIV/mlegMMIV2.html
Marine Log Conference (maritime legislative update on 9/23/
2004)
https://www.truckinginfo.com/108276/in-the-end-truckers-costs-
are-shippers-costs-too
NIT League panel discussion (trucking driver shortage on 5/23/
2012)
http://www.island.lk/2004/07/05/busine06.html
Washington Press Club Panel Discussion (port security on 5/7/
2004)
18. List digital platforms (including social media and other
digital content sites) on which you currently or have formerly operated
an account, regardless of whether or not the account was held in your
name or an alias. Include the name of an ``alias'' or ``handle'' you
have used on each of the named platforms. Indicate whether the account
is active, deleted, or dormant. Include a link to each account if
possible.
LinkedIn:
https://www.linkedin.com/in/carl-bentzel-1a1794166
https://www.finkedin.com/in/carl-bentzel-95073713
Facebook:
https://www.facebook.com/people/Carl-Bentzel/100015626198312
Twitter:
https://twitter.com/cbentstrat1
Website:
https://bentstrat.com/
All accounts are dormant except Facebook, and none had an alias.
19. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony.
Presidential Advisory Commission on Conferences in Ocean
Shipping: 4/1992. I participated as a Congressional Staff
Advisor to a Commission advising the President as to potential
regulatory changes to our system of regulating international
ocean shipping.
https://www.archives.gov/files/recordsmgmt/rcs/schedules/
independent-agencies/rg-0220/nl-220-92-011_sfl15.pdf
Interagency Commission on Crime and Security in U.S. Seaports:
Fall 2000. I participated as a Congressional Staff Advisor to a
Commission advising the President as to issues related to port
security.
https://www.hsdl.org/?abstract&did=437742
The Coast Guard held a public meeting on 11/9/2012 to receive
comments on the development of a Facility Security Officer
training program, pursuant to the requirements of Section 821
of the Coast Guard Authorization Act of 2010 (Pub. L. 111-281).
I testified on behalf of the National Association of Waterfront
Employers about the issues raised in this Federal Register
Notice.
(https://www.federalregister.gov/documents/2012/10/11/2012-
25055/facility-security-officer-training-reguirements).
I did not provide written testimony.
United States Department of Energy, Quadrennial Energy Review,
Public Stakeholder Meeting. I testified on a panel on Barge--
Waterborne Transportation of Energy in the Inland Waterway,
Across the Great Lakes, and Along Our Nation's Coasts (8/8/
2014).
https://www.energy.gov/sites/prod/files/2014/08/fl8/
transcript_chicago_ger.pdf
20. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
During the course of my close to fifteen years of service as a
staffer on both the House of Representatives and the Senate, I was the
primary Democrat staffer assigned responsibility of overseeing the
operations of the Federal Maritime Commission (FMC). I handled all
oversight of their budget and operations functions, and considered
issues related to any legislation. While a House staffer, I
participated as a congressional advisor to a Presidentially appointed
commission reviewing the functions of the FMC. While in the Senate, in
1996, I was the primary Democrat staffer involved in amending the
organic legislative structure governing international ocean shipping.
I believe that I have a deep and thorough knowledge in this area of
jurisdiction, and would look forward to the challenges of helping to
regulate international ocean shipping and the practices the industry
engages in.
21. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
If confirmed, as one of five commissioners serving the Federal
Maritime Commission, I would have limited authority to manage the
budget of the agency, as that is reserved for the Chairman of the
Commission. However, I would have authority to manage the budget of the
office of a commissioner, and I would pledge to manage the accounting
controls mandated by commission regulation and in accordance with any
standards established by the FMC.
22. What do you believe to be the top three challenges facing the
department/agency, and why?
I think the three major challenges facing the FMC are: (1)
increasing industry consolidation of international maritime shipping
companies and what that means to the U.S. port and maritime service
providers and U.S. shippers, (2) the challenges of responding to
environmental pressures as a result of port operations to allow the
continued necessity of the movement of international maritime shipments
and, (3) the challenges of helping to establish the proper regulatory
environment to foster the challenge of transferring maritime shipments
off to their modal railroad and trucking partners.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
Not Applicable.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain.
Not Applicable.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated. Explain how you will
resolve each potential conflict of interest.
All of the investments owned by myself or my wife are in publicly
available mutual funds.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last ten years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated. Explain how you will resolve
each potential conflict of interest.
Not Applicable.
5. Identify any other potential conflicts of interest, and explain
how you will resolve each potential conflict of interest.
At present, I do not represent any clients with a major interest or
stake in the jurisdiction of the Federal Maritime Commission, and do
not anticipate this to be a problem. However, if nominated, I plan to
seek education from the FMC's Office of General Counsel to be educated
on the Commission's regulations and requirements governing conflicts of
interest, and how they should be addressed. I will abide by any agency,
or general government standards, governing conflicts of interest.
6. Describe any activity during the past ten years, including the
names of clients represented, in which you have been engaged for the
purpose of directly or indirectly influencing the passage, defeat, or
modification of any legislation or affecting the administration and
execution of law or public policy.
During the past ten years, I have been involved in the business of
representing clients and their interests in the execution of
regulations and policies and legislation. I would say that for over the
past five years, I have been less involved in lobbying Congress
directly on legislation, and more involved in issues at Federal
agencies.
Traditionally, I have been involved in consulting companies and
Associations that are engaged in transportation, infrastructure
development, energy or chemical regulation. I have also been involved
on a more limited basis on immigration an environmental policy.
I am happy to provide further specifics to the Committee on any
area that are deemed to be of interest, and fully committed to provide
further detail. However, over the past ten years my work product in
general has been to advise, affect and influence Federal regulatory and
legislative policies.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics,
professional misconduct, or retaliation by, or been the subject of a
complaint to, any court, administrative agency, the Office of Special
Counsel, professional association, disciplinary committee, or other
professional group? If yes:
a. Provide the name of agency, association, committee, or group;
b. Provide the date the citation, disciplinary action, complaint, or
personnel action was issued or initiated;
c. Describe the citation, disciplinary action, complaint, or
personnel action;
d. Provide the results of the citation, disciplinary action,
complaint, or personnel action.
No.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain.
Yes, in 1990, after attending a college football game in
Greenville, North Carolina, Pitt County. I was arrested and convicted
of a DUI. I complied with the terms of my sentence, and since then,
other than minor traffic violations have had no further legal issues.
3. Have you or any business or nonprofit of which you are or were
an officer ever been involved as a party in an administrative agency
proceeding, criminal proceeding, or civil litigation? If so, please
explain. No.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain.
Yes. See number 2 for explanation.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain. No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination.
No further relevant information.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by congressional committees, and that
your department/agency endeavors to timely comply with requests for
information from individual Members of Congress, including requests
from members in the minority?
As a former Commerce Committee staffer, I am firmly aware of the
role played by the Commerce Committee in providing oversight of the FMC
and will encourage the agency to be responsive to the demands of the
Committee.
2. Will you ensure that your department/agency does whatever it can
to protect congressional witnesses and whistle blowers from reprisal
for their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee?
I will.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
Resume of Carl Bentzel
Principal
Bentzel Strategies L.L.C.
www.bentstrat.com
August 2016-Present
Established my own public policy consulting firm focused on policies
related to transportation, energy and other areas of federally
regulated commercial and environmental law. Assess policy issues,
provide strategic advice, represent client interests on Capitol Hill
and before Federal agencies, as well as helping clients develop third
party alliances. Areas of focus included introducing myself to
potential press opportunities in strategic areas of interest.
Partner
SB Capitol Solutions L.L.C.
June 2014-August 2016
Partnered with a smaller boutique public relations/lobbying shop
centrally located on Capitol Hill, primarily focused on transportation
issues. Helped to developed an active fundraising profile for the firm,
and re-brand the company.
Vice President
DC/Group L.L.C.
August 2004-June 2014
Led the lobbying division for the DCI Group. DCI Group is one of the
largest public relations/grassroots lobbying firms in Washington D.C.,
and I provided political and legislative insight to the firm's larger
public relations efforts, as well as directly lobbying for DCI's
clients, and those clients developed on my own. Participated in the
creation and development of third party coalitions. Worked to provide
government relations services for Fortune 50 companies, associations
and other entities. Focused on realizing the benefits of grassroots
activism and third party coalition building supporting policy
initiatives on Capitol Hill or at Federal agencies.
Senior Counsel
Senate Committee on Commerce, Science, and Transportation
January 1995-August 2004
Functioned as the primary legislative and policy counsel for the Senate
Subcommittee on Surface Transportation and Merchant Marine. Explicitly
assigned to provide legislative counsel and advice to Senators John
Breaux and Daniel Inouye. Was engaged, in the negotiation and passage
of all legislation on trucking, railroad, maritime, pipeline and
hazardous materials transportation legislation, as well as homeland
security aspects of these modes of transportation. Spearheaded the
Committee's efforts to pass national standards for port security, and
an international treaty on port security, and worked on organic
homeland security legislation. Handled Committee issues requiring
national security clearance.
Counsel/Counsel for Maritime Policy
House Committee on Merchant Marine and Fisheries
August 1990-December 1994
Hired to work as maritime counsel to work on implementation of the Oil
Pollution Act of 1990, and to cover all issues related to international
maritime shipping. After an internal Committee transition, was employed
in an expanded role to cover all issues related to maritime policy,
including shipping and offshore oil and gas or other resource
development. Focused on shipbuilding infrastructure development, and
transition of the Panama Canal.
Education
Bachelor of Arts (B.A.), St. Lawrence University, 1985
Juris Doctor (J.D.), University of Alabama School of Law, 1989
Master's Degree in law (L.L.M.) in Admiralty Law, 1990
Honors
Coast Guard's Medal for Meritorious Public Service
Maritime Security Council's Man of the Year Award
Publications
McGraw-Hill's Handbook on Homeland Security, port security chapter
Senator Wicker. Thank you very much.
Congressman Rokita.
STATEMENT OF HON. THEODORE (TODD) E. ROKITA, NOMINEE TO BE A
DIRECTOR, AMTRAK BOARD OF DIRECTORS
Mr. Rokita. Thank you, Chairman Wicker, Ranking Member
Cantwell, and Members of the Committee. It's a pleasure to be
testifying before you today.
I'd also like to thank my good friend, Senator Todd Young,
for introducing me to the Committee this morning. His
leadership is greatly appreciated.
My name is Todd Rokita, and it's one of the highest honors
of my life to have been nominated by President Trump to serve
as a Director of the National Railroad Passenger Corporation
doing business as Amtrak.
As you know, I was raised and grew up in Indiana where I've
had the highest honor of my life to work on behalf of the
people of Indiana for 16 years as their Secretary of State and
then as a Member of the U.S. Congress.
None of this would have been possible without the love and
support of my parents, my wife Cathy, and our two boys, Teddy
and Ryan.
I've been an Amtrak customer my entire adult life. Starting
in the late 1980s, I would often take the Cardinal Line from
Wabash College in Crawfordsville, Indiana, back home near
Munster, Indiana, and although, Mr. Chairman, my mind may be
playing a little bit of a trick on me, I could have sworn my
choices were daily, multiple trains a day on that Cardinal
Line.
Later, I would take the Cardinal segment that connected
Indianapolis to Chicago from time to time but perhaps as a
young man in a hurry, I often found the option unreliable in
terms of frequency and consistency, and over the last decade
with my work here in the Nation's Capital, along with many of
you, I use Amtrak's Northeast Corridor Lines regularly to do my
congressional work, both the Regional Lines and the Acela
Lines, and most recently, our son Ryan and I traveled on the
Cardinal again between Indianapolis and my home county of Lake
to visit family and friends, and I observed that I was forced
to buy a sleeper car because those were the only tickets
available on what was a packed train, a good sign, I think.
As a Member of Congress and as Indiana's Secretary of
State, I represented a district in a state that has had a
significant Amtrak presence, particularly having a long
distance train line, train route and schedule, and with a
state-supported route until recently embedded inside that long
distance line.
I believe the Board needs more experience and
representation from areas of the country that utilize Amtrak's
long distance and state-supported train routes, like Indiana
did.
The town of Brownsburg, where we live, has an Amtrak line
that passes right behind my son's Little League baseball
diamond three times a week, meaning I can also bring the
experiences of not only an occasional user but as of a citizen
in a town with an Amtrak presence, if not a stop.
I served on the U.S. House Transportation and
Infrastructure Committee, as you heard, which is the
authorizing committee for Amtrak in the House. I served also on
the Railroads, Pipelines, and Hazardous Materials Subcommittee,
which was the specific subcommittee of jurisdiction for Amtrak
as well as the rail industry generally.
My previous experience with reauthorizing Amtrak and
performing necessary oversights provides, I believe, a valuable
foundation for overseeing Amtrak as one of its directors.
Serving on these committees also allowed me to help lead
the passage of the Fixing America's Surface Transportation Act
or the FAST Act, as we know it.
As a practicing litigation, ERISA, and employment law
attorney, I would be able to bring that experience to the
Board. As a commercial-rated airman, I also would be able to
bring the aviation-based legal and operational experience to
the Board for adaptation to passenger rail uses and scenarios.
As a Director of Amtrak, I believe I would have a
significant role in the oversight of management and the company
general accountability to taxpayers and riders.
As Indiana's former Secretary of State, I happened to lead
four separate agencies with hundreds of employees, ranging from
attorneys to investigators to front-line desk people to
auditors to accountants, and I can bring that management and
accountability experience to the Board.
As Secretary of State, I delivered on-time service while
working from the same budget that the office only sought 20
years earlier.
If confirmed, safety will always be my top priority at
Amtrak. If confirmed, a high priority of mine would be paying
particular focus on the positive train control system and
learning more about the safety management system that the new
leadership team has recently initiated.
I believe, of course, that there are other challenges
facing Amtrak beyond safety. Three of them that I would like to
focus on are the following: Number 1, justifying Amtrak's
existing network. Many critics of Amtrak attribute low
ridership numbers for the need to reduce its footprint,
completely discounting the fact that a robust network is
exactly what's needed to attract ridership.
This misconception needs to be rectified if Amtrak is to
work for all of the U.S., in my opinion. In two words, I think
this issue can be summed up in frequency and consistency.
Utilization will go up if there are frequency of options to
choose from and that those options are consistent.
We don't need to beat the airlines from city to city. We
just need to know that if we get on, embark on a train at time
X, that we can disembark at time Y, so we can plan the rest of
our day, if not lives, accordingly.
Maximizing Amtrak's operational efficiency to increase
utilization will be another focus. While Amtrak does a good job
with safety and has a record to back that up, it is
understandably under tremendous scrutiny, like the airline
industry, which is heightened even further when Amtrak
passengers suffer an incident or tragedy. The Washington State
accident is just a recent example. Board members must have a
high and solemn appreciation for this.
Addressing Amtrak's budgetary limitations. Every
organization, no matter how good, can be better fiscally.
Amtrak certainly is no exception. Like other directors, I will
have a direct responsibility to monitor executive leadership's
financial management and operational decisions, staying up-to-
date on the best practices relating to all management and
accounting standards throughout the rail industry.
I also realize the Board plays a key role in hiring the
right executives and reviewing their performance. A significant
part of the services offered by my current employer, Apex
Benefits Group, where I am general counsel and Vice President
of External Affairs, is human resources management, including
executive pay and evaluation. I can bring this experience to
the Board.
As Ranking Member Cantwell mentioned in her opening
remarks, smart capitalization is also needed and I am committed
to helping the leadership team and Congress, you all, make the
best decisions for use of that capital.
Again, I want to thank President Trump for nominating me.
I'm excited about the future of passenger rail in our country.
If confirmed, I would be committed to working with my
colleagues on the Board, the management of the company, Mr.
Trump and his Administration, and, of course, Congress to
ensure Amtrak is managed safely, efficiently, and responsibly.
Thank you, Mr. Chairman and Members, for your consideration
of my nomination and I look forward to your questions.
[The prepared statement and biographical information of Mr.
Rokita follow:]
Prepared Statement of Hon. Theodore (Todd) E. Rokita, Nominee to be
Director, Amtrak Board of Directors
Chairman Wicker, Ranking Member Cantwell, and members of the
Committee, it's a pleasure to be here testifying before you today. I'd
also like to thank Senator Todd Young for introducing me to the
Committee this morning.
My name is Todd Rokita and it is one of the highest honors of my
life to have been nominated by our President to serve as a Director of
the National Railroad Passenger Corporation, d/b/a Amtrak. As you know,
I was raised and grew up in Indiana where I've had the highest honor of
my life to work on behalf of the people of Indiana for 16 years as
their Secretary of State and Member of the U.S. Congress. None of this
would have been possible without the love and support of my parents and
my wife, Kathy.
I have been an Amtrak customer for my entire adult life. Starting
in the late 1980s I would often take a segment of the Cardinal line
back and forth from college in Crawfordsville, Indiana. I remember the
frequency being several trains a day.
Later, I would take the Cardinal segment that connected
Indianapolis to Chicago from time to time, but as a young man in a
hurry I often found the option unreliable in terms of frequency and
consistency.
Over the last decade, I used Amtrak's Northeast Corridor lines
regularly in my Congressional work, including both Regional and Acela
options. And most recently, our son Ryan and I traveled on the Cardinal
between Indianapolis and my home county to visit family and friends. We
used a sleeper car because those were the only tickets available on an
otherwise packed train.
As a Member of Congress and as Indiana's Secretary of State, I
represented a district and a State that has had a significant Amtrak
presence, particularly having a long-distance train route and schedule.
I believe the Board needs more experience and representation from areas
of the country that utilize Amtrak's long-distance and state-supported
train routes, like Indiana.
The town of Brownsburg, where we live, has Amtrak service and the
train passes right behind my son's little league baseball diamond three
times a week, meaning I can also bring the experiences of an occasional
user and as of a citizen in a town with an Amtrak presence.
I served on the U.S. House Transportation and Infrastructure
Committee, which is the authorizing committee for Amtrak in the House.
I served also on the Railroads, Pipelines, and Hazardous Materials
Subcommittee, which was the specific subcommittee of jurisdiction for
Amtrak as well as the rail industry generally. My previous experience
reauthorizing Amtrak and performing necessary oversight provides a
valuable foundation for overseeing Amtrak as a Director. Serving on
these committees also allowed me to help lead the passage of the Fixing
America's Surface Transportation Act, or the FAST Act.
As a practicing litigation and employment law attorney, I would be
able to bring that experience to the Board. I would also be able to
bring aviation-based legal and operational experience to the board for
adaptation to passenger rail uses and scenarios.
As a Director of Amtrak, I believe I would have a significant role
in the oversight of management and the Company's general accountability
to taxpayers and riders. As Indiana's former Secretary of State, I led
4 separate agencies with 100s of public sector employees, from
attorneys, investigators, accountants, and auditors, to front desk/line
hourly employees, so I can bring that management and accountability
experience to the Board. In that role, I successfully delivered on-time
service while working from the same budget amount the office used
twenty (20) years earlier.
If confirmed, safety will always be my top priority at Amtrak. If
confirmed, a high priority of mine would be paying particular focus on
the Positive Train Control (PTC) system and learning more about the
Safety Management System (SMS) that the new Leadership team has
recently initiated.
I believe, of course, that there are other challenges facing
Amtrak. Three of them that I would like to focus on are the following:
1. Justifying Amtrak's existing network. Many critics of Amtrak
attribute low ridership numbers for the need to reduce its
footprint, completely discounting the fact that a robust
network is exactly what's needed to attract ridership. This
misconception needs to be rectified if Amtrak is to work for
all of the U.S.
2. Maximizing Amtrak's operational efficiency to increase
utilization. While Amtrak does a good job with safety and has a
record to back that up, it is understandably under tremendous
scrutiny, like the airline industry, which is heightened even
further when Amtrak passengers suffer an incident or tragedy.
The Washington state accident is a recent example. Board
members must have a high and solemn appreciation for this.
Similarly, Amtrak's on-time performance remains abysmal in parts
of the country like Indiana, and like the other areas mentioned
here, I would make this a high priority of my Board membership.
If I was to use two words to describe what I think we need to do
at Amtrak, its frequency and consistency. Ridership can
increase with ample choices on the timetable and consistently
meeting those schedules.
3. Addressing Amtrak's budgetary limitations. Every organization, no
matter how good, can be better, fiscally. Amtrak certainly is
no exception. Like other Directors, I will have a direct
responsibility to monitor the executive leadership's financial,
management and operational decisions, staying up to date on the
best practices relating to all management and accounting
standards throughout the rail industry. I also realize the
Board plays a key role in hiring the right executives and
reviewing their performance. A significant part of the services
offered by my employer, Apex Benefits Group, where I am the
General Counsel and Vice President of External Affairs, is
human resources management including executive pay and
evaluation. I can bring this experience to the Board as well.
Smart capital utilization is also needed, and I am committed to
helping the leadership team and Congress make the best decisions for
use of capital.
Again, I want to thank President Trump for nominating me. I am
excited about the future of passenger rail in our country. If
confirmed, I would be committed to working with my colleagues on the
Board, the management of the company, the Administration, and Congress
to ensure Amtrak is managed as safely, efficiently, and responsibly.
Thank you for your consideration of my nomination and I look
forward to your questions.
______
a. biographical information
1. Name (Include any former names or nicknames used):
Theodore (Todd) Edward Rokita.
2. Position to which nominated: Director, Amtrak Board of
Directors.
3. Date of Nomination: May 14, 2019.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: 3755 E 82nd Street, Ste 100, Indianapolis, IN 46240.
5. Date and Place of Birth: 2/9/1970, Chicago, IL.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Kathleen Denise Rokita, C.P.A., Somerset CPA's.
7. List all college and graduate degrees. Provide year and school
attended.
Wabash College, Crawfordsville, IN; Bachelor of Arts (1988-
1992)
Indiana University Law School, Indianapolis, IN; Juris Doctor
(1992-1995)
8. List all post-undergraduate employment, and highlight all
management level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
All post-undergraduate employment is listed below. I believe
all of these positions relate to the position for which I am
being nominated in that it's a Board of Directors position,
which requires bringing all professional experience to the
Board table to best represent the interests of Amtrak.
General Counsel and Vice President of External Affairs, Apex
Benefits Group, Inc. (2019 to present).
Member, United States Congress (2011-2019); served on the House
Transportation Committee, Rail water, and Pipeline
subcommittee; aviation committee
Indiana Secretary of State, (2003-2011).
Chief Operating Officer and General Counsel, Office of Indiana
Secretary of State (2000-2002)
Attorney, Epstein & Frisch, Trial Lawyers (1995-2000)
Clerk, U.S. Bankruptcy Court, Southern District of IN,
Honorable Frank J. Otte, Presiding Judge (1994)
9. Attach a copy of your resume.
A copy is attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last ten years.
Election Assistance Commission. (2003-2010) As Indiana's Secretary
of State, I was the chief election officer of the state and had
standing under the Help America Vote Act to serve on various non-paid,
advisory working groups and Advisory boards.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last ten years.
WishBone Medical, Inc., Advisory Board (2019 to present)
Acel 360, Advisory Board, consultant. (2019 to present)
St. Joseph's College, Trustee (2007-2017)
Achieve International, Board of Directors (2012-2018)
St. Vincent Hospital Foundation, Board of Directors (2011-2013)
Hoosier Seneca, LLC, Managing Member (2003 to present)
Aircraft Owners and Pilots Association Foundation, Board of
Directors (2014 to present)
Merchandise Warehouse, Advisory Board Member (2019 to present)
National Association of Secretaries of State, President (2007-
2009)
Indiana Council for Economic Education, Member, Board of
Directors (2004-2010)
Apex Benefits Group, Inc. (2019 to present)
12. Please list each membership you have had during the past ten
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religiously affiliated organization, private club, or other membership
organization. (For this question, you do not have to list your
religious affiliation or membership in a religious house of worship or
institution.). Include dates of membership and any positions you have
held with any organization. Please note whether any such club or
organization restricts membership on the basis of sex, race, color,
religion, national origin, age, or disability.
In addition to the positions listed in response to questions 8, 10,
and 11 above, I have been a member of the following:
St. Malachy Parish Brownsburg, IN Parishioner (2015 to present)
St Mary Parish, Indianapolis, IN Parishioner, (1993-2015)
Knights of Columbus, Whiting IN Council (2003 to present)
The Knights of Columbus organization restricts membership to
``males 18 years of age or older who are practical (that is practicing)
Catholics.'' http//www.kofc.org/en/join/prospective.html
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt.
Yes. Please refer to my answer to question 8. I have twice been a
candidate for the Office of Indiana Secretary of State and 4 times been
a candidate for the U.S. Congress. I have once been a candidate for the
U.S. Senate.
No campaign committee had or maintains any debt.
14. List all memberships and offices held with and services
rendered to, whether compensated or not, any political party or
election committee within the past ten years. If you have held a paid
position or served in a formal or official advisory position (whether
compensated or not) in a political campaign within the past ten years,
identify the particulars of the campaign, including the candidate, year
of the campaign, and your title and responsibilities.
Todd Rokita Election Committee, Candidate (2001-2010)
Hoosiers for Rokita, Candidate (2010-2018)
Fund for American Exceptionalism (leadership PAC), Sponsor
(2011 to present) My role is to raise money and be the
spokesperson for the Fund
15. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past ten years.
$2,500--Hoosiers for Rokita, (2010-2019) aggregate sum over the
time period.
$2,000--Indiana State Republican Party, (June 2016)
$500--AOPA, PAC (February, 2016)
$2,500--Romney for President, (September, 2011)
$1,000--Judy Biggert for Congress (September, 2011)
$500--Carlos May for Congress, (February, 2010)
16. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Eli Lilly Fellow
Honorary Doctor of Letters, DY Patel University, Pune, India
Aspen-Rodel Fellow
Henry Toll Fellow
AOPA Hartranft Award
National Business Aviation Association, American Spirit Award
17. Please list each book, article, column, Internet blog posting,
or other publication you have authored, individually or with others.
Include a link to each publication when possible. Also list any
speeches that you have given on topics relevant to the position for
which you have been nominated. Do not attach copies of these
publications unless otherwise instructed.
I have authored numerous publications over the last 10 years. The
list below represents my best effort to answer the question.
Make Agencies Smaller, Efficient, The Times, Indy Star,
November 2001
Streamlining Government Prevents Budget Crises, IndyStar,
November 2001
Three Ways to Improve Voter Participation Process, IndyStar,
2002
Exercise Your Right to Vote Tomorrow, lndyStar, May 2003
Hoosiers Can Have Strong Voice in States Election-Reform Plan,
Post-Tribune, June 2003
Future of State Elections, The Journal, July 2003
Investors Need Protection at State Level Too, The IndyStar,
August 2003
Strengthen, not Weaken, Investor Protection, NW Times,
September 2003
It's Important for Hoosiers to Understand Absentee Ballot
Procedure, South Bend Tribune, October 2003
It's A Powerful Tool and Your Civic Duty, IndyStar, November
2003
Most Live Within A Few Blocks of A Polling Place, lndyStar,
September 2004
Do Two Things This Election Vote and Get Others to Vote, Sky
View Elkhart, October 2004
Five Questions for Todd Rokita, IndyStar, October 2004
Secretary of State Pleased With Election, IndyStar, November
2004
Cleaning Up Voter Rolls Will Ensure Accurate Tallies, The
Journal, April 2004
Let's Try Rotating Primaries, IndyStar, May 2004
Government Changes to Help Businesses, IBJ, January 2005
Reform Will Preserve Faith in Election Process, Journal
Gazette, March 2005
Bills Will Protect Vote and Curb Election Fraud, South Bend
Tribune, April 2005
Viewpoint Tracking Fraud, The Herald, April 2005
Indiana A Model for Other States, Journal and Courier, April
2006
Secretary of State Warns of Shady Loan Brokers, Post Tribune,
August 2006
Fight to Repeal Obama's Health Plan, Journal and Courier, June
2011
Free Trade Benefits Hoosier Workers, Farms, Businesses,
Martinsville Reporter--Times, November 2011
RAISE Act Would Permit Merit Pay-raises, The Washington
Examiner, April 2012
Fight to Repeal Obama's Health Plan, Journal and Courier, June
2012
Keeping the Dividend Tax Low is Good for Investors- and our
Economy, Indiana Utility Shareholders Association, September
2012
Sprawling Tax Code Stands in the Way of Economic Recovery, The
Hill, September 2012
Sweeping Tax Reform Long Overdue, IBJ, November 2012
The Real Facts about Debt, Entitlements, IndyStar, December
2012
Out of tragedy, an opportunity to teach and change Washington's
attitude, Journal and Courier, January 2013
Let's Work Together for Safer Communities, Instead of Looking
to Washington, Monticello Herald Journal, January 2013
On School Choice, Indiana is Poised to Lead the Nation, NWI
Times, January 2013
Let's Work Together for Safer Communities, Instead of Looking
to Washington, Washington Times, January 2013
Path to Prosperity--A Down Payment on a Prosperous Future, Red
State, March 2013
House Budget Offers a Medicaid Solution for Indiana, Terre
Haute Tribune Star, March 2013
The Facts Show that Medicaid is Not Working Well, Indianapolis
Star, April 2013
Tax Reform is Key to Job Growth, Debt Reduction, Indiana
Manufacturers Association, April 2013
On Spending Cuts and Leadership, Monticello Herald Journal, May
2013
Note to Fellow Liberty-Minded Hoosiers on Common Core, Tea
Party Orgs, June 2013
A Bipartisan Solution to the Student Loan Mess, Journal and
Courier, June 2013
Automobiles and American Exceptionalism, Washington Times,
January 2014
Rep. Rokita: Need to rein in a president who sidesteps
Constitution, Journal and Courier, April 2014
Time to Strengthen the U.S.-India Relationship, USINPAC, June
2014
Why the War on Poverty Failed and How We Can Fix It, Real Clear
Politics, July 2014
A Shameless, Unprecedented Veto, Journal and Courier, October
2015
Rokita-Budget Deal Fails to Cure Washington's Compulsive
Spending Problem, The Pape of Montgomery County, November 2015
Biggest Power Transfer in 25 Years, Kokomo Tribune and Pharos
Tribune, January 2016
Reality of Good Roads, Electric Consumer, January 2016
What to do With the Biggest Power Transfer in 25 Years, Kokomo
Perspective, January 2016
No Reason to Stall, The Hill, January 2016
Public Forum: Photo ID Law Helps Ensure Votes Not Diluted,
Pharos Tribune, April 2016
Indiana's Voter ID Law Works, Journal and Courier, May 2016
Set Record Straight on Nutrition Bill, Journal and Courier, May
2016
Practical Reforms for Child Nutrition, Kokomo Tribune, May 2016
We Need School Lunch Reform, IndyStar, May 2016
Correcting the Record on Child Nutrition, Indianapolis
Recorder, June 2016
School Lunch Bill Offers Flexibility, lndyStar, June 2016
Commonsense Reform for Child Nutrition, South Bend Tribune,
Greensburg Daily News and The Hill, June 2016
Nutrition aid needs common-sense reforms, Indianapolis Business
Journal, June 2016
A Look Back On A Decade of Voter ID, Grand Forks Herald, July
2016
Holcomb is the Best Shot at Improving Roads, The Times of NWI,
October 2016
Feds to Blame for ITT Collapse, Indianapolis Business Journal,
October 2016
Rokita Offers Sympathies for Darlington Community, November
2016
Rep. Rokita Statement on Nomination of Dr. Tom Price for HHS
Secretary, Ft. Wayne Journal Gazette, November 2016
New 21st Century Cures Act a Positive Step, Journal and
Courier, December 2017
When Parents Have a Choice, Kids Have a Chance, GOP.gov,
January 2017
Gorsuch Nomination `a win' For America, Kokomo Tribune,
February 2017
Sen. Donnelly, Vote for Dr. Price for HHS Secretary, The Hill,
February 2017
Trump Travel Band 'Prudent Measure' and I'm Glad He Did It,
CNBC, February 2017
A Cheer for the Confirmation of Dr. Tom Price, Kokomo Tribune,
February 2017
Give States More Control Over Medicaid, IndyStar, March 2017
State Should Double Preschool Funding, IndyStar, March 2017
Rokita Votes to Support President Trump's Agenda, May 2017
Back to School, Work on Education Policies, Kokomo Tribune,
August 2017
We Must Always Be Prepared, Kokomo Tribune, September 2017
Onerous Code Costs Us in Investment, Journal Gazette, September
2017
U.S. Prosperity Hinges on Tax Code, The Times of NWI, September
2017
Tax Reform Will Help Put America First, Current, October 2017
Viewpoint: Holding Iran Accountable, South Bend Tribune,
October 2017
Time to Put Wasteful Federal Employees on Notice, The Times of
NWI, November 2017
Our Veterans are the Real Heroes, The Flyer Group, November
2017
Good Guys with Guns Stop Bad Guys with Guns, Daily Caller,
November 2017
Tax Cuts Aren't Crumbs, Kokomo Tribune, February 2018
What I'm Doing to Ensure Americans Keep Every `Crumb' of Their
Businesses, Townhall, February 2018
The Era of Leaving our Border Open is Over, Journal Gazette,
March 2018
Census Should Not Count Undocumented, Kokomo Tribune, March
2018
Trump Continues to Put Americans First by Adding Citizenship
Test to Census, The Hill, April 2018
Overlooking Corney's Potential Crimes `Cannot Be Tolerated,'
Breitbart, May 2018
Luke Messer can't Beat Joe Donnelly, Kokomo Tribune, July 2017
Rokita in Senate: `I Will Defeat the Elite', IndyStar,
September 2017
U.S. Prosperity Hinges on Simpler Tax Code, NWI Times,
September 2017
The Wall Must Come First, The Hill, September 2017
Going to the Moon and in Five Years, on the cheap, Yes it is
Possible, Space Review, May 6, 2019
The Rokita Report, (2011-2018), weekly electronic newsletter,
an official publication of the Office of the 4th Congressional
District of Indiana.
Red Tape Rollback, Biennial Reports, (2014, 2016, 2018). The
report of an official program of the Office of the 4th
Congressional District of Indiana, detailing work in reducing
regulatory hurdles presented by constituents.
School Safety Summit Reports (2015-2018). Three reports of
public meetings sponsored by the Office of the 4th
Congressional District of Indiana.
18. List digital platforms (including social media and other
digital content sites) on which you currently or have formerly operated
an account, regardless of whether or not the account was held in your
name or an alias. Include the name of an ``alias'' or ``handle'' you
have used on each of the named platforms. Indicate whether the account
is active, deleted, or dormant. Include a link to each account if
possible.
Facebook Group Page: Todd Rokita (active, formerly
Congressional campaign)
https://www.facebook.com/search/pages/
?q=todd%20rokita&ref=eyJzaWQiOiIi
LCJyZWYiOiJOb3BtZmlsdGVyln0%3D&epa=SERP_TAB
Twitter: @ToddRokita (active, formerly Congressional campaign)
https://twitter.com/ToddRokitaIN
LinkedIn: Todd Rokita (active)
Facebook: Todd Rokita (active)
https://www.facebook.com/ToddRokitaIN/?ref=bookmarks
19. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony.
As Indiana Secretary of State, I have testified twice before the
U.S. House Administration Committee on matters related to election
administration during the years (2003-2009). In both cases, the
testimony was given in my capacity as President of the National
Association of Secretaries of State and dealt with implementation of
the Help America Vote Act. I do not possess copies or exact dates of
the testimony.
20. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
As a Member of Congress and as Indiana's Secretary of State, I
represented a district and a State that has had a significant Amtrak
presence, particularly having a long-distance train route and schedule.
I believe the Board needs more experience and representation from areas
of the country that utilize Amtrak's long-distance train routes, like
Indiana. My hometown has Amtrak service and the train passes right
behind my son's little league baseball diamond three times a week,
meaning I can also bring the experiences of an occasional user and a
citizen in a town with an Amtrak presence.
I served on the U.S. House Transportation and Infrastructure
Committee, which is the authorizing committee for Amtrak. I served also
on the Railroads, Pipelines, and Hazardous Materials Subcommittee,
which was the specific subcommittee of jurisdiction for Amtrak as well
as the rail industry generally. My previous experience reauthorizing
Amtrak and performing necessary oversight provides a valuable
foundation for overseeing Amtrak as a Director. Serving on these
committees also allowed me to help lead as Congress passed the Fixing
America's Surface Transportation Act, or the FAST Act.
As a practicing litigation and employment law attorney, I would be
able to bring that experience to the Board. I would also be able to
bring aviation legal and operational experience to the board for
adaptation to passenger rail uses and scenarios.
21. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
As a Director of Amtrak, I believe I would have a significant role
in the oversight of management and general accountability. As Indiana's
former Secretary of State, I led 4 separate agencies with 100s of
public sector employees, from attorneys, investigators, accountants,
and auditors, to front desk/line hourly employees, so I can bring that
management and accountability experience to the Board. In that role, I
successfully delivered on-time service while working from the same
budget amount the office used twenty (20) years earlier.
22. What do you believe to be the top three challenges facing the
department/agency, and why?
If confirmed, safety will always be my top priority at Amtrak. I
believe three challenges facing Amtrak are:
1. Justifying Amtrak's existing network. Many critics of Amtrak
attribute low ridership numbers for the need to reduce its
footprint, completely discounting the fact that a robust
network is exactly what's needed to attract ridership. This
misconception needs to be rectified if Amtrak is to work for
all of the U.S.
2. Maximizing Amtrak's operational efficiency and safety: While
Amtrak does a good job with safety and has a record to back
that up, it is understandably under tremendous scrutiny, like
the airline industry, which is heightened even further when
Amtrak passengers suffer an incident or tragedy. The Washington
state accident is a recent example. Board members must have a
high and solemn appreciation for this.
Similarly, Amtrak's on-time performance remains abysmal in parts
of the country like Indiana, and like the other areas mentioned
here, I would make this a high priority of my Board membership.
3. Addressing Amtrak's budgetary limitations. Every organization, no
matter how good, can be better fiscally. Amtrak certainly is no
exception.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
I have the following accounts, salaries, and investment interests.
Please also see my response to E. 1, below.
I currently receive income from Apex Benefits Group, Inc. for my
position as General Counsel. If confirmed, I will continue my
employment at Apex Benefits Group, Inc. during my service as an Amtrak
Board member.
I have a 457 and a 401(a) plan with the State of Indiana, as part
of my previous positions with the State. If confirmed, I will retain
and continue to participate in these plans during my service as an
Amtrak Board member. My holdings in these plans are all diversified
mutual funds. I also have a Federal Employee Retirement System (FERS)
pension plan with the United States Government from my service as a
Member of the United States House of Representatives, as well as
Traditional IRA and Roth IRA accounts. If confirmed, I will retain
these plans and accounts during my service as an Amtrak Board member.
I also serve in the following positions: (i) advisory board member
for Wishbone Medical, Inc.; (ii) advisory board member for and
consultant to Acel 360; (iii) managing member of Hoosier Seneca LLC;
(iv) board member for Aircraft Owners and Pilots Association
Foundation; and (v) advisory board member for Merchandise Warehouse. If
confirmed, I will retain these positions during my service as an Amtrak
Board member. I also hold interests in four non-commercial residential
real properties, from which I receive rental income. If confirmed, I
will retain these interests and continue to receive rental income from
these properties during my service as an Amtrak Board member.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain.
As this appointment is for a part-time board position, I intend to
keep my employment positions, board positions, and keep other private
clients and future opportunities.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated. Explain how you will
resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and Amtrak's Ethics Officials to
identify potential conflicts of interest. Any potential conflicts of
interest will be resolved in accordance with the terms of an ethics
agreement that I have entered into with Amtrak and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last ten years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated. Explain how you will resolve
each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and Amtrak's Ethics Officials to
identify potential conflicts of interest. Any potential conflicts of
interest will be resolved in accordance with the terms of an ethics
agreement that I have entered into with Amtrak and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
5. Identify any other potential conflicts of interest, and explain
how you will resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and Amtrak's Ethics Officials to
identify potential conflicts of interest. Any potential conflicts of
interest will be resolved in accordance with the terms of an ethics
agreement that I have entered into with Amtrak and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
6. Describe any activity during the past ten years, including the
names of clients represented, in which you have been engaged for the
purpose of directly or indirectly influencing the passage, defeat, or
modification of any legislation or affecting the administration and
execution of law or public policy.
As part of my service as a Member of the United States House of
Representatives and as Indiana Secretary of State, I participated in
the passage, defeat, and modification of legislation and related
activities.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics,
professional misconduct, or retaliation by, or been the subject of a
complaint to, any court, administrative agency, the Office of Special
Counsel, professional association, disciplinary committee, or other
professional group? If yes: Yes
a. Provide the name of agency, association, committee, or group;
Case #1: Federal Election Commission
Case #2: Indiana Supreme Court Disciplinary Commission
Case #3: Indiana Supreme Court Disciplinary Commission
b. Provide the date the citation, disciplinary action, complaint, or
personnel action was issued or initiated;
Case #1: July, 2017
Case #2: July, 2018
Case #3: October, 1997
c. Describe the citation, disciplinary action, complaint, or
personnel action;
Case #1: American Democracy Legal Fund unsubstantiated
complaint to the FEC accusing me and other U.S. Senate
candidates of raising campaign funds before formally
announcing a U.S. candidacy.
Case #2: Third Party (non-client) request to the
Disciplinary Commission to investigate whether I
reported any legal infractions on my Bar application.
Case #3: Client Complaint against entire legal team for
substandard legal representation during client's
criminal jury trial.
d. Provide the results of the citation, disciplinary action,
complaint, or personnel action.
Case #1: Accusation was categorically denied and
dismissed by the Commission
Case #2: Complaint was summarily dismissed in my favor,
without the need, or ability, to respond.
Case #3: Complaint was summarily dismissed in my favor,
without the need, or ability, to respond.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain.
Yes. Arrested and released without conviction for allegation of
consumption of alcohol while not of the age of 21 while in college.
3. Have you or any business or nonprofit of which you are or were
an officer ever been involved as a party in an administrative agency
proceeding, criminal proceeding, or civil litigation? If so, please
explain.
Yes, Hoosier Seneca, LLC was the Plaintiff in a debt collection
action. Pursuant to a settlement agreement, no further details can be
provided.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain. No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain. No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination. None.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by congressional committees, and that
your department/agency endeavors to timely comply with requests for
information from individual Members of Congress, including requests
from members in the minority? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect congressional witnesses and whistle blowers from reprisal
for their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
Resume of Todd Rokita
Core Competency
I am Genuine, Driven, and Detailed. With Midwestern values and work
ethic, I use my executive, legal, capital-raising, marketing,
governmental, personal and public speaking skills to fulfill executive
level duties and to actively engage members and sponsors.
Goal
To lead a purpose-driven organization in an industry about which I
am passionate by using the above skillsets and my experience in well-
defined strategic planning, accountable execution, successful
disruption practices, and proven team and culture building that
recognizes and nurtures human capital.
Summary of Executive Leadership
Executive Team/Culture Building Leadership
v For 16 years, built entire employment forces consisting of teams
of executives, managers and hourly employees who successfully
served professional clients and retail customers.
v Always led employees using precise metrics relative to defined
tasks to achieve specific goals. Utilized these metrics, tasks,
and goals in strategic plans that were built with significant
input from employees and stakeholders and used as everyday work
tools.
v Personally raised $10 million of capital with an average legal cap
of $1000 per investor.
v Chosen by fellow executives to serve as President of the largest
association of state-wide elected officials. Grew membership,
sponsors and successfully implemented national policies.
v Chosen by peers to several leadership positions in The U.S. House
of Representatives where I built teams of peers as well as
staff, successfully achieving aggressive policy goals.
v Secured passage of several significant, but difficult to support
laws by personally leading efforts to secure individual votes
for the changes.
v Built statewide and national teams of diverse leaders and
volunteers resulting in election to state-wide and Federal
elected offices by wide majorities.
Fiscal Executive Leadership
v Reduced the size and the costs of a high-profile enterprise with
four divisions and 100s of employees to levels only seen 20
years prior. Met or surpassed customary private sector success
measurements, achieving a 6 to 1 revenue to cost ratio, from a
previous ratio of 1 to 1.
v Reduced a separate organization's budget by more than 10 percent,
while being publicly rated in the top 25 and top 5 for
effectiveness and customer service, respectively.
v Led the successful effort to reduce Federal government spending by
$6T, relative to the budget forecast previously in place.
v Earned several awards from `good government' groups, taxpayer
unions, and business associations for fiscal leadership.
Legal Executive Leadership
v Oversaw an average of 40 lawyers in various practice areas like
securities law and regulation, business entity administration
and governance, state and Federal election law, auto dealer
regulation and the administration and enforcement of the
uniform commercial code.
v Practiced law for several years and litigated in the areas of
human resources law, aviation law and regulation, real estate
acquisition and disputes, and debtor-creditor law.
v Represented businesses in litigation and advised many clients'
strategic growth planning.
v Briefed and argued cases before state appellate courts and oversaw
the briefing and argument of a United States Supreme Court
case, winning it, 6-3.
v Carried out four jury trials either as lead or co-counsel,
obtaining favorable verdicts in all four.
v Directed the investigation of white-collar criminals, yielding
over 300 years of incarceration.
v Working knowledge of most facets of Federal OSHA and ERISA law.
IT Executive Leadership
v Oversaw the successful development and implementation of three
major technology projects involving nearly 100 independent
stakeholders and that required 100 percent accuratedata
migration. Two projects involved technical and sensitive
Uniform Commercial Code data and other business entity and
formation data.
v Successfully managed legacy users and vendors whose interests were
not originally aligned with the project's goals and who were
not under my employ or direction.
v All projects were delivered under budget and on deadline.
Industry-Specific Executive Leadership
v Extensively involved with authoring and passing several Federal
laws positively impacting energy development, healthcare,
people with disabilities, maritime transportation, logistics,
aviation, education, public spending, block development grants,
human resources, pensions and the workforce skills gap.
v Worked extensively with U.S. Environmental Protection Agency, and
the Federal departments of Labor, Education, Transportation,
Defense, Army Corp of Engineers, Federal Aviation
Administration, Federal Railroad Administration, Mine Safety
and Health Administration, and the Congressional Budget Office.
v Direct participation in successfully eliminating or streamlining
nearly 70 capricious, outdated or duplicative Federal
regulations, amounting to significant cost reduction to
consumers and businesses in the areas of agriculture, aviation,
education, healthcare, and mine safety.
v Actively involved in community, state and Federal fights against
opioid addiction.
v Involved in healthcare legislation and regulatory reform projects
designed to expand access to insurance, improve the delivery of
care and remove free market restrictions.
v Part of a determined initiative to modernize Veterans' health care
and community programs.
v Experienced in the for-profit and not-for-profit public and
private education industries at the elementary, secondary and
higher education levels.
v Experienced in the U.S. and international aviation industry as
well as associated regulations, including but not limited to
third class medical and other reforms, air traffic control
privatization, aircraft manufacturing revitalization, unmanned
aircraft systems and regulation, and space and supersonic
airspace issues and regulation.
v Experienced in state and Federal regulation of the maritime,
inland waterways, railroad, mining and pipeline industries.
v Working knowledge of the relative law and regulations regarding
international trade and tariffs.
v Worked extensively with most Indiana state and local elected
officials, economic development arms, and governmental
departments.
Work History
United States Representative, Indiana (2011-Present)
Popularly elected in 2010, 2012, 2014, and 2016 to the
Fourth Congressional District of Indiana
Chairman, House Subcommittee on Early Childhood, Elementary,
and Secondary Education
Vice Chairman, House Committee on the Budget
Member, House Committee on Education and the Workforce
(Health, Employment, Labor and Pensions subcommittee)
Member, House Committee on Transportation and
Infrastructure, (aviation, railroad, and pipeline
subcommittees)
Member, Committee on House Administration (2011-2014)
Member, Steering Committee (2011-2012) (elected by peers to
make their committee assignments)
Director, Republican Study Committee (2014-Present) (group
affecting policy direction and tactics)
Indiana Secretary of State, (2003-2011)
Popularly elected in 2002 and 2006 to the third highest
office in Indiana State government
Elected as the youngest Secretary of State in the nation
Served as Indiana's chief election official, Indiana's chief
securities and mortgage fraud investigator, and administered
the legal and financial filings of 300,000 businesses.
Chief Operating Officer and General Counsel, Office of Indiana
Secretary of State (2000-2002)
Chief operating officer of third highest constitutional
Indiana state office
Responsible for representing the Secretary of State on all
official matters and internal office matters
Chief human resources officer
Represented the office on all legal matters related to human
resource matters, contract preparation, legislative
initiatives, securities, mortgage, business entity and uniform
commercial code law, and spearheaded the development and
implementation of all Internet technology initiatives.
Attorney, Epstein & Frisch, Trial Lawyers (1995-2000)
Business consulting, business litigation, aviation law, and
general litigation defense practice.
Chair, Aviation Law Committee, State Bar Association (1997-
1999)
Clerk, US Bankruptcy Court, Southern District of IN, Honorable Frank J.
Otte, Presiding Judge (1994)
Education
Indiana University School of Law, (1992-1995)
Juris Doctor Degree, May 1995
Editor, Indiana International and Comparative Law Review
East China Institute of Politics and Law, Shanghai, Peoples Republic of
China (1993)
Transitory student studying all facets of Chinese business
law and culture
Wabash College, Crawfordsville, IN, (1988-1992)
Bachelor of Arts degree, Political Science major with
political philosophy emphasis. Speech Minor
Editor-in-chief, The Bachelor, college newspaper
Consul (President), Sigma Chi Fraternity
University of Essex, Colchester, England, (1990-1991)
Transitory student studying English history and European
politics
Other Professional Accomplishments
National Association of Secretaries of State
President (2007-2009)
Vice President (2006-2007)
Treasurer (2005-2006)
Chair, Standing Committee on Securities Regulation (2004-
2005)
Election Assistance Commission (2003-2008)
Past Member, nine-member bipartisan Executive Board that
represents the 50 states and advises the United States Election
Assistance Commission
Co-Chair, Election Assistance Commission Executive Director
Search Committee (2005)
Commercial Airman, 28 year pilot, Multi-engine and Instrument ratings
with 3,000 hours total time.
AOPA Hartranft Award, for extraordinary leadership and outstanding
General Aviation advocacy. (2017)
Guardian of Small Business Award, National Federation of Independent
Businesses, the organization's highest legislative award (various
years)
Motor and Equipment Manufacturers Assn., Joseph M. Magliochetti Award,
for extraordinary leadership on behalf of the parts manufacturing
industry.
Aspen-Rodel Fellow, Bipartisan program of promising public leaders
selected nationally to study the fundamental values that lie at the
heart of American democracy. (2006-Present)
Indiana's ``40 Under 40'', One of Indiana's top 40 business, government
and community leaders under the age of forty, as named by Indianapolis
Business Journal. (2005)
Henry Toll Fellowship Program, Bipartisan program of 40 recognized
public leaders selected nationally to participate in professional and
leadership development exercises. (2008)
Ability One Champion Award, for leadership that enhances the economic
and personal independence of persons with blindness and other severe
disabilities. (2015)
Boards and Charitable Activities
Aircraft Owners and Pilots Association Foundation, Member, Board of
Directors (2014-Present)
Veterans Airlift Command and Angel Flight, Volunteer (2011-Present)
Actively fly missions for Veterans Airlift Command and other
similar non-profits dedicated to provided free air
transportation to children and post-9/11 combat wounded
veterans and their families for medical and other compassionate
purposes.
Saint Joseph's College, Rensselaer, IN, Member, Board of Trustees
(2007-2017)
Achieve International, Indianapolis, IN; Member, Board of Directors
(2012-2018)
Advised the organization in their focus on helping troubled
teens in Indianapolis, IN through physical training and team
building.
Saint Vincent Hospital Foundation, Member of the Board of Directors
(2011-2013)
Indiana Council for Economic Education, Member, Board of Directors
(2004-2010)
St. Malachy Parish, Brownsburg, Indiana, Member
Senator Wicker. Thank you, Mr. Rokita.
Now our next witness is going to provide us expertise in
artificial intelligence, unmanned aerial systems, autonomous
vehicles, telecom, and rural broadband, among other things,
and, sir, we might as well know how to pronounce your name. Is
it a short A or an ah?
Mr. Kratsios. It's Kratsios.
Senator Wicker. It's Kratsios. Well, Mr. Kratsios, you're
recognized for five minutes.
STATEMENT OF MICHAEL J.K. KRATSIOS, NOMINEE FOR
ASSOCIATE DIRECTOR, THE WHITE HOUSE OFFICE
OF SCIENCE AND TECHNOLOGY POLICY, AND UPON
CONFIRMATION, CHIEF TECHNOLOGY OFFICER OF THE UNITED STATES
Mr. Kratsios. Thank you, Senator.
Chairman Wicker, Ranking Member Cantwell, and Members of
the Committee, I am honored to appear before you today as
President Trump's Nominee for Associate Director of the White
House Office of Science and Technology Policy, and, upon
confirmation, Chief Technology Officer of the United States.
I am humbled and very grateful for the confidence and the
trust that the President has placed in me.
I am proud to be joined here by my parents today, John and
Maria Kratsios, who made the trip up to Washington from South
Carolina. Without their support, I would not be here today.
My mother and my grandfather came to the United States from
their native Greece in search of a more prosperous future. They
instilled in me that enduring optimism for a better tomorrow,
and I believe that embracing technological innovation, building
new technologies in America, and shaping those technologies
with American values will lead us to that stronger future.
I joined OSTP in the early days of the Trump
Administration, where it has been an honor to serve as Deputy
Assistant to the President for Technology Policy and Deputy
U.S. Chief Technology Officer for over 2 years.
During this time, I have engaged directly in the type of
work I would continue if I'm granted the privilege of being
confirmed. I have proudly and enthusiastically led the
development and execution of the White House's technology
policy agenda as well as represented U.S. technology priorities
at G7 and G20 Innovation and Digital Ministerials and other
international fora.
From the start, I united OSTP around a clear mission:
ensure continued American leadership in emerging technologies.
We focused on a few key emerging technologies the President
calls the Industries of the Future--areas like artificial
intelligence, quantum information science, and 5G connectivity.
Under my leadership, the White House launched the American
Artificial Intelligence Initiative, our national strategy to
maintain and strengthen America's leadership in this important
field and to advance the innovative and trustworthy development
of AI.
The United States also recently endorsed the Organization
for Economic Cooperation Development or OECD AI Principles,
marking the first time the United States western democracies
have come together on an international AI agreement.
I championed the issuance of a Presidential Memorandum to
create a National Spectrum Strategy to help America win the
race to 5G.
I spearheaded the development of the American Broadband
Initiative, the Administration's National Strategy for STEM
education, and the commercial drone Integration Pilot Program,
which was codified into law thanks to this committee's efforts.
I was also grateful to work with members of this committee
from both sides of the aisle to advance the National Quantum
Initiative Act, which the President signed into law last
December.
Working alongside Senate Commerce and the Congress as a
whole, we've made important strides on technology issues that
have broad support from the American people and I look forward
to continuing opportunities to do so.
During the years I worked in Silicon Valley prior to my
time in the Administration, I saw firsthand how government can
either encourage or extinguish innovation. Too often, the
critical factor for whether or not to invest in a startup was
the amount of government red tape or regulatory uncertainty.
That is why I've prioritized and, if confirmed, will
continue to prioritize flexible policies that unleash
innovation while balancing safety and addressing challenges.
If confirmed as U.S. Chief Technology Officer, I will
continue to relentlessly drive forward our efforts to ensure
the next great technological discoveries and innovations happen
here in the United States.
Importantly, I will work to ensure the benefits of emerging
technologies, including good-paying and technically skilled
jobs, extend far beyond coastal cities, lifting up Americans in
every corner of our great nation.
American workers should be empowered to embrace emerging
technologies and adapt to the changing world, and that is why
workforce development has been, and will continue to be, at the
heart of everything we do at OSTP.
In leading the Nation's technology priorities, I see
incredible opportunities to create a regulatory environment
that ensures as the future takes shape, the American people
always end up as winners.
Our goals are bipartisan: we all want American innovation,
built by American workers and underpinned by American values,
to lead the world--increasing our prosperity, enhancing our
security, and raising our quality of life in the process.
The U.S. Chief Technology Officer can ultimately chart the
path to accomplish this and it would be my greatest privilege
to serve my country in this capacity.
If confirmed, I pledge to work with you on this shared
mission.
Thank you, and I look forward to answering your questions.
[The prepared statement and biographical information of Mr.
Kratsios follow:]
Prepared Statement of Michael J.K. Kratsios, Nominee for Associate
Director, The White House Office of Science and Technology Policy, and
upon confirmation, Chief Technology Officer of the United States
Chairman Wicker, Ranking Member Cantwell, and members of the
Committee: I am honored to appear before you today as President Trump's
nominee for Associate Director of The White House Office of Science and
Technology Policy, and upon confirmation, Chief Technology Officer of
the United States.
I am humbled and very grateful for the confidence and trust the
President has placed in me.
I am proud to be joined here by my parents, John and Maria
Kratsios, who made the trip up to Washington from South Carolina.
Without their support I would not be here today.
My mother and my grandfather came to the United States from their
native Greece in search of a more prosperous future.
They instilled in me that enduring optimism for a better tomorrow,
and I believe that embracing technological innovation, building new
technologies in America, and shaping those technologies with American
values will lead us to that stronger future.
I joined OSTP in the early days of the Trump Administration, where
it has been an honor to serve as Deputy Assistant to the President for
Technology Policy and Deputy U.S. Chief Technology Officer for over two
years. During this time, I have engaged directly in the type of work I
would continue if I am granted the privilege of being confirmed.
I have proudly and enthusiastically led the development and
execution of The White House's technology policy agenda, as well as
represented U.S. technology priorities at G7 and G20 Innovation and
Digital Ministerials and other international fora.
From the start, I united OSTP around a clear mission: ensure
continued American leadership in emerging technologies. We focused on a
few key emerging technologies the President calls the Industries of the
Future--areas like artificial intelligence, quantum information
science, and 5G connectivity.
Under my leadership, The White House launched the American
Artificial Intelligence Initiative, our national strategy to maintain
and strengthen America's leadership in this important field and to
advance the innovative and trustworthy development of AI.
The United States also recently endorsed the Organization for
Economic Cooperation and Development, or OECD, AI Principles, marking
the first time the U.S. and western democracies have come together on
an international AI agreement.
I championed the issuance of a Presidential Memorandum to create a
National Spectrum Strategy to help America win the race to 5G.
I spearheaded the development of the American Broadband Initiative,
the Administration's national strategy for STEM education, and the
commercial drone Integration Pilot Program, which was codified into law
thanks to this Committee's efforts.
I was also grateful to work with members of this Committee from
both sides of the aisle to advance the National Quantum Initiative Act,
which the President signed into law last December.
Working alongside Senate Commerce and the Congress a whole, we've
made important strides on technology issues that have broad support
from the American people. I look forward to continued opportunities to
do so.
During the years I worked in Silicon Valley prior to my time in the
Administration, I saw firsthand how government could either encourage
or extinguish innovation. Too often, the critical factor for whether or
not to invest in a startup was the amount of government red tape or
regulatory uncertainty.
That's why I have prioritized, and if confirmed will continue to
prioritize flexible policies that unleash innovation while balancing
safety and addressing challenges.
If confirmed as U.S. Chief Technology Officer, I will continue to
relentlessly drive forward our efforts to ensure the next great
technological discovery and innovation happens here in the United
States.
Importantly, I will work to ensure the benefits of emerging
technologies, including good-paying and technically-skilled jobs,
extend far beyond coastal cities, lifting up Americans in every corner
of our Nation.
American workers should be empowered to embrace emerging technology
and adapt to the changing world, and that is why workforce development
has been, and will continue to be, at the heart of everything we do at
OSTP.
In leading the Nation's technology priorities, I see incredible
opportunities to create a regulatory environment that ensures as the
future takes shape, the American people always end up the winners.
Our goals are bipartisan: we all want American innovation, built by
American workers and underpinned by American values, to lead the
world--increasing our prosperity, enhancing our security, and raising
our quality of life in the process.
The U.S. Chief Technology Officer can ultimately chart the path to
accomplish this, and it would be my greatest privilege to serve my
country in this capacity.
If confirmed, I pledge to work with you on this shared mission.
Thank you and I look forward to answering your questions.
______
a. biographical information
1. Name (Include any former names or nicknames used):
Michael John Kotsakas Kratsios.
2. Position to which nominated: Chief Technology Officer and
Associate Director, Office of Science and Technology Policy (OSTP).
3. Date ofNomination: April 4, 2019.
4. Address (List current place ofresidence and office addresses):
Residence: Information not released to the public.
Office: 1650 Pennsylvania Ave NW, Washington, D.C. 20502.
5. Date and Place of Birth: 11/7/86; Salisbury, MD.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage). Not Applicable
7. List all college and graduate degrees. Provide year and school
attended.
AB in Politics, Princeton University, 2004-2008
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
Analyst, Barclays Investment Bank, 2009-2010
Analyst, Lyford Group International, 2010
Associate, Clarium Capital Management, 2010-2011
Chief Compliance Officer, Clarium Capital Management, 2011-2014
Chief Compliance Officer, Thiel Capital, 2012-2014
Chief Compliance Officer, Thiel Macro, 2012-2014
Chief Financial Officer, Clarium Capital Management, 2014-2015
Principal and Chief of Staff, Thiel Capital, 2014-2017
9. Attach a copy of your resume.
See Attachement 1.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last ten years. Not Applicable.
11. List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, partnership, or other business, enterprise,
educational, or other institution within the last ten years.
Trustee, Foundation for Student Communication Inc. (Business
Today), 2007-2017
Chief Compliance Officer, Clarium Capital Management, 2011-2014
Chief Compliance Officer, Thiel Capital, 2012-2014
Chief Compliance Officer, Thiel Macro, 2012-2014
Board of Directors, International Model United Nations
Association, 2013-2016
Chief Financial Officer, Clarium Capital Management, 2014-2015
12. Please list each membership you have had during the past ten
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religiously affiliated organization, private club, or other membership
organization. (For this question, you do not have to list your
religious affiliation or membership in a religious house of worship or
institution.). Include dates of membership and any positions you have
held with any organization. Please note whether any such club or
organization restricts membership on the basis of sex, race, color,
religion, national origin, age, or disability.
Member, American Hellenic Educational Progressive Association,
2018 to present
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If.so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt.
Yes. I was appointed Deputy Assistant to the President and Deputy
U.S. Chief Technology Officer by President Donald J. Trump in 2017.
No, I have no outstanding campaign debt.
14. List all memberships and offices held with and services
rendered to, whether compensated or not, any political party or
election committee within the past ten years. If you have held a paid
position or served in a formal or official advisory position (whether
compensated or not) in a political campaign within the past ten years,
identify the particulars of the campaign, including the candidate, year
of the campaign, and your title and responsibilities. Not applicable.
15. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past ten years. None.
16. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
National Merit Scholarship Recipient
American Hellenic Educational Progressive Association
Educational Foundation Scholarship Recipient
Hellenic Studies Senior Thesis Prize (Princeton University)
17. Please list each book, article, column, Internet blog posting,
or other publication you have authored, individually or with others.
Include a link to each publication when possible. Also list any
speeches that you have given on topics relevant to the position for
which you have been nominated. Do not attach copies of these
publications unless otherwise instructed.
Publications
High Speed Broadband Is Fostering a New Era of Innovation for
Rural America, Agri-Pulse. February 14, 2019
https://www.agri-pulse.com/articles/11905-opinion-high-speed-
broadband-is-fostering-a-new-era-of-innovation-for-rural-
america
Why the U.S. Needs a Strategy for AI, WIRED, Feb. 2, 2019
https://www.wired.com/story/a-national-strategy-for-ail
America Will Win the Global Race to 5G, WhiteHouse.gov. October
25, 2018
https://www.whitehouse.gov/articles/america-wi11-win-global-
race-5g/
The Future of American Aviation Is All About Drones. CNN.com,
June 6, 2018
https://www.cnn.com/2018/06/06/opinions/trump-administration-
drone-technology-kratsios/index.html
Donald Trump Embraces the Drone Age, The Wall Street Journal.
October 25, 2017
https://www.wsj.com/articles/donald-trump-embraces-the-drone-
age-1508947220
Economics and Voting in the Third Hellenic Republic: An
Aggregate and Individual Level Analysis of the Greek
Electorate, 1985-2007. April 8, 2008. Princeton University
Senior Thesis.
https://issuu.com/mkratsios/docs/economics_and_voting
Speeches
May 1, 2017 27th National Science Bowl (Department of
Energy)
June 5, 2017 United States of America Mathematical
Olympiad Awards Dinner
September 27, 2017 G7 Industry and Information and
Communication Technologies Ministerial
Meeting
November 2, 2017 Drone Integration Pilot Program Launch
(Department of Transportation)
November 13, 2017 Virtuous Circle Summit (Internet
Association)*
December 13, 2017 Department of Health and Human Services
Innovation Day
January 9, 2018 Administration's Approach to Innovation
and Tech Policy (CES)*
February 20, 2018 New Work Summit (New York Times)*
March 14, 2018 ARPA-E Energy Innovation Summit
March 29, 2018 Center for Democracy & Technology Annual
Dinner
April 10, 2018 U.S. Chamber of Commerce Tecglobal 2018
April 19, 2018 Unleashing American Innovation Launch
Event (Department of Commerce)
May 9, 2018 U.S. Air Force--National Science
Foundation Collaboration Announcement
Event
May 10, 2018 White House AI for American Industry
Summit
June 5, 2018 EmTech Next (MIT Tech Review)*
July 10, 2018 AI Summit: Investing in Innovation and
Tomorrow's Workforce (Business Software
Alliance)*
August 21, 2018 FedTalks
August 28, 2018 University of Mississippi Technology
Summit
September 9, 2018 Tech Olympus Summit*
September 21, 2018 Reboot 2018 (Lincoln Network)*
September 24, 2018 White House Quantum Information Sciences
Summit
September 28, 2018 White House 5G Summit
October 2, 2018 Commercial UAV Expo*
November 8, 2018 Technology 202 Live: View from the White
House Technology Team (Washington Post)
November 11, 2018 Techonomy*
November 15, 2018 Global Entrepreneurship Summit Launch
Event
December 6, 2018 Business Roundtable CEO Innovation Summit*
December 9, 2018 NSF Expeditions in Computing Event
January 29, 2019 State of the Net
February 27, 2019 Congressional Hispanic Leadership
Institute Tech Talk
February 28, 2019 The White House: Accelerating America's
Leadership in Artificial Intelligence
(Center for New American Security)
March 1, 2019 Preparing for the G20 (US Chamber of
Commerce)*
March 7, 2019 DARPA AI Colloquium
March 11, 2019 Safeguarding the Crown Jewels of U.S.
Innovation (SXSW)*
March 12, 2019 Consumer Technology Association Innovation
Policy Day (SXSW)
March 19, 2019 The AI Agenda (The Economist)*
March 27, 2019 Blueprint York
April 9, 2019 Domestic Drone Safety and Security Series*
April 18, 2019 2nd Annual Choctaw Nation Emerging
Aviation Conference
April 30, 2019 2019 Digital Patriots Dinner
*Armchair conversation (Q&A format)
18. List digital platforms (including social media and other
digital content sites) on which you currently or have formerly operated
an account, regardless of whether or not the account was held in your
name or an alias. Include the name of an ``alias'' or ``handle'' you
have used on each of the named platforms. Indicate whether the account
is active, deleted, or dormant. Include a link to each account if
possible.
Facebook: Michael Kratsios [dormant]
Instagram: mkratsios [active] https://www.instagram.com/
mkratsios/
LinkedIn: Michael Kratsios [active]
https://www.linkedin.com/in/michaelkratsios
Snapchat: scgreek [deleted]
Tumblr: mkratsios [deleted]
Twitter: mkratsios [dormant] https://twitter.com/mkratsios
19. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony. Not Applicable.
20. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
For the past two years, I have had the honor to serve as the Deputy
U.S. Chief Technology Officer in The White House Office of Science and
Technology Policy (OSTP). During this time, I have engaged directly in
the type of work I would do if I have the privilege of being confirmed.
Under my leadership, OSTP has focused on the emerging technologies that
will provide the foundation for industries of the future. The White
House launched the American Artificial Intelligence Initiative to
preserve and advance American leadership in artificial intelligence. I
championed the issuance of a Presidential Memorandum to create a
National Spectrum Strategy to help America win the global race to 5G, a
technology critical to our Nation's prosperity and security. I helped
spearhead the government-wide effort to launch the American Broadband
Initiative to bring broadband access to rural America and led the
development of a drone pilot program to accelerate the integration of
unmanned aircraft systems into our national airspace. In addition, I
also convened a first-of-its kind White House,Summit on STEM education
to help develop a new 5-year national strategy for STEM education that
was released in December of 2018.
Earlier in my career, during my time working in the venture capital
industry in Silicon Valley, I saw firsthand the absolute best that the
American entrepreneurial spirit has to offer. Our Nation's innovation
ecosystem is something we should all be immensely proud of. I also
experienced how government's role can either foster the growth of new
technologies or keep them locked in captivity. When I joined The White
House at the beginning of the Trump Administration, I saw tremendous
opportunity for creating a regulatory environment that ensures that as
the future takes shape, the American people always end up the winners.
If confirmed as U.S. Chief Technology Officer, I will seek to ensure
that the benefits of emerging technologies extend far beyond Silicon
Valley, lifting up Americans in every comer of our Nation.
Growing up the son of a Greek immigrant, my family instilled in me
the enduring hope for a better tomorrow. I believe that embracing
technological innovation, building new technologies in America, and
shaping those technologies with American values will lead us to that
stronger future. The U.S. Chief Technology Officer can help chart the
path, and it would be my greatest privilege to serve my country in this
capacity.
21. What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
As U.S. Chief Technology Officer I would have the responsibility of
supporting the Director of OSTP in stewarding the office's resources in
furtherance of OSTP's mission and strategic initiatives. This includes
ensuring that all management procedures and financial controls operate
in accordance with established laws and procedures. For the past two
years, I have had the privilege ofleading the technology policy team at
OSTP, managing the research, creation, and dissemination of dozens of
reports, executive orders, presidential memoranda, and more in fields
as diverse as artificial intelligence, quantum computing, advanced
manufacturing, STEM education, entrepreneurship, drones, rural
broadband, and spectrum. Prior to working at OSTP, I served as a
Principal and Chief of Staff at investment management firm Thiel
Capital, working cross functionally to provide strategic support and
drive key projects across affiliated entities, which included venture
capital funds, hedge funds, and a philanthropy. I also previously
served as the Chief Financial Officer and Chief Compliance Officer of
global macro hedge fund Clarium Capital Management, overseeing all
operations and financial reporting.
22. What do you believe to be the top three challenges facing the
department/agency, and why?
The first challenge is to establish American leadership in key
emerging technologies to ensure they are developed with American values
and applied in a manner that benefits the American people. This will
require maximizing the effectiveness of the Federal government's role
in America's research and development (R&D) ecosystem, alongside the
efforts of academia and industry. OSTP can support aligning interagency
R&D priorities and improving the planning and coordinating of Federal
research investments. By promoting collaboration between the government
and the private sector, we can turn the scientific discoveries
of,government labs into beneficial technologies for the American people
and the world.
Second, American leadership in emerging technologies requires a
flexible regulatory system that supports innovation while preserving
and ensuring protections for the safety, civil liberties, and well-
being of the American people. In coordination with relevant agencies,
and leveraging the National Science and Technology Council, OSTP can
work to draft, streamline, or remove regulations to enable novel
applications of emerging technologies. By doing so, we can promote
American ingenuity and collect the data required to inform future
policymaking on these issues.
Third, as emerging technologies become commonplace across our
society, we must ensure that the American worker is empowered by this
technological change and enjoys the economic security they deserve.
This will require a multi-faceted effort, including implementation of
the Administration's recently released 5-year national strategy for
STEM education, as well as a continued focus on retraining and
reskilling to address the workforce changes caused by the emergence of
these new technologies.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts.
I will continue to participate in my former employer's 40l(k) plan.
The,former employer no longer makes contributions to this plan.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain. No.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated. Explain how you will
resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the U.S. Office of Government Ethics and OSTP's Designated Agency
Ethics Official to identify potential conflicts of interest. If
confirmed, any potential conflicts of interest will be resolved in
accordance with the terms of the ethics agreement that I have entered
into with OSTP's Designated Agency Ethics Official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last ten years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated. Explain how you will resolve
each potential conflict of interest.
In connection with the nomination process, I have consulted with
the U.S. Office of Government Ethics and OSTP's Designated Agency
Ethics Official to identify potential conflicts of interest. If
confirmed, any potential conflicts of interest will be resolved in
accordance with the terms of the ethics agreement that I have entered
into with OSTP's Designated Agency Ethics Official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
5. Identify any other potential conflicts of interest, and explain
how you will resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the U.S. Office of Government Ethics and OSTP's Designated Agency
Ethics Official to identify potential conflicts of interest. If
confirmed, any potential conflicts of interest will be resolved in
accordance with the terms of the ethics agreement that I have entered
into with OSTP's Designated Agency Ethics Official and that has been
provided to this Committee. I am not aware of any other potential
conflicts of interest.
6. Describe any activity during the past ten years, including the
names of clients represented, in which you have been engaged for the
purpose of directly or indirectly influencing the passage, defeat, or
modification of any legislation or affecting the administration and
execution oflaw or public policy. None.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics,
professional misconduct, or retaliation by, or been the subject of a
complaint to, any court, administrative agency, the Office of Special
Counsel, professional association, disciplinary committee, or other
professional group? If yes:
a. Provide the name of agency, association, committee, or group;
b. Provide the date the citation, disciplinary action, complaint, or
personnel action was issued or initiated;
c. Describe the citation, disciplinary action, complaint, or
personnel action;
d. Provide the results of the citation, disciplinary action,
complaint, or personnel action.
No
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offehse? If so, please explain. No.
3. Have you or any business or nonprofit of which you are or were
an officer ever been involved as a party in an administrative agency
proceeding, criminal proceeding, or civil litigation? Ifso, please
explain.
Yes. In 2014, Thiel Marco filed a civil action for breach of
contract and misappropriation of trade secrets. The case was
subsequently settled.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain. No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain. No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination. Not applicable.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by congressional committees, and that
your department/agency endeavors to timely comply with requests for
information from individual Members of Congress, including requests
from members in the minority? Yes.
2. Will you ensure that your department/agency does whatever it
ca!n to protect congressional witnesses and whistle blowers from
reprisal for their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
Resume of Michael J.K. Kratsios
Experience
Executive Office of the President of the United States Washington, D.C.
Deputy Assistant to the President for Technology Policy and Deputy U.S.
Chief Technology Officer 2017-present
Serve as principal technology policy advisor at the White
House Office of Science and Technology Policy
Serve as secretary-level representative of the United States
in international fora, including the G7 and G20
Lead team of policy advisors driving U.S. policy and
priorities on a range of technology issues, including
artificial intelligence, unmanned aerial systems, autonomous
vehicles, quantum computing, telecommunications, rural
broadband, entrepreneurship, the digital economy,
cybersecurity, advanced manufacturing, and STEM education
Oversee the development and execution of national-level
technology initiatives, including the American Artificial
Intelligence Initiative, the National Quantum Initiative, and
the American Broadband Initiative
Responsible for administration efforts to integrate
commercial drones into the national airspace, including a
Presidential action creating the FAA Drone Integration Pilot
Program, which was ultimately codified into law
Thiel Capital San Francisco, CA
Thiel Capital is an investment firm founded by Peter Thiel, providing
strategic and operational support for Mr. Thiel's investment
initiatives and entrepreneurial endeavors. Related subsidiaries include
Founders Fund, Mithril, Valar Ventures, Thiel Macro, Clarium Capital
Management, and The Thiel Foundation.
Principal and Chief of Staff, Thiel Capital 2014-2017
Led the Office of Peter Thiel, ensuring his vision was well
informed and properly executed
Served as primary point of contact for investment
subsidiaries and all initiatives involving Mr. Thiel, working
cross functionally to drive key projects across affiliated
entities
Chief Financial Officer and Chief Compliance Officer, Clarium
Capital Management 2010-2015
Oversaw operations and financial reporting of SEC-registered
global macro hedge fund, including cash management,
counterparty relationships, systems integration and automation,
performance and P&L tracking, NAV and investor statement
approval, and annual audit for the fund (CFO,, 2014-2015)
Oversaw all regulatory and self-regulatory compliance of
SEC-registered global macro hedge fund Clarium, proprietary
trading fund Thiel Macro, and the Thiel Family Office (CCO,
2011-2014)
Served as chairman of firm's Valuation and Conflicts
committees
Rapidly promoted to top-level leadership, reporting directly
to company President, Peter Thiel
Previously: Associate (Aug 2010-March 2011)
Barclays New York, NY
Analyst, Investment Banking Division Summer 2007 & 2008-2009
Operated as one of 40 professionals offering M&A advice and
underwriting capabilities to companies worldwide
Completed ten-week intensive investment banking training
program; modules included financial analysis and accounting,
credit valuation, financial modeling, credit structuring, and
financial markets
Education
Princeton University Princeton, NJ
A.B. in Politics, magna cum laude 2008
Certificates in Political Economy and Hellenic Studies
Tsinghua University, School of Economics and Management Beijing, China
Visiting Scholar & Instructor, Principles of Economics
course 2010
Other
Clearance: Top Secret/Sensitive Compartmented Information
Other: Fluent in modem Greek, former EMT and member of the Princeton
First Aid and Rescue Squad, marathon runner and Boston Marathon
qualifier, published in The Wall Street Journal, WIRED, CNN, and
WhiteHouse.gov
Senator Wicker. Thank you, Mr. Kratsios.
And, Mr. Steff, you are recognized.
STATEMENT OF IAN PAUL STEFF, NOMINEE TO BE ASSISTANT
SECRETARY OF COMMERCE FOR GLOBAL MARKETS
AND DIRECTOR GENERAL, UNITED STATES
AND FOREIGN COMMERCIAL SERVICE
Mr. Steff. Thank you, Chairman Wicker, Ranking Member
Cantwell, Members of the Committee.
It is the greatest of honors to sit before you today. If
confirmed, it would be my privilege to serve as the Assistant
Secretary of Commerce for Global Markets and Director General
of the United States and Foreign Commercial Service.
I thank President Trump for this nomination. So, too, I am
grateful for the continued support of Vice President Pence both
in my former Indiana capacities and now in Washington, and,
Senator Young, thank you for that kind introduction and for
your leadership.
Speaking of Hoosiers, I am proud to be joined by my wife
Brittany and her father Whit. Brittany, I remain forever
grateful for your incredible encouragement, compassion, and
flexibility as we serve the Nation we love and raise our two
little stars Daniel and Owen.
I also send my gratitude to my parents Wayne and Lisa and
everyone else watching from home. Our childhood home was filled
with faith, respect, love, hard work, and an enduring sense of
service to one's country. Thank you to all of those family
members, friends, colleagues, and teachers who helped me along
the way.
My story started under a few feet of snow 30 miles south of
Buffalo, New York, on my grandparents' dairy farm. My two
younger brothers Eric and Levi often reflect on the camaraderie
we developed shoveling that never-ending lake effect byproduct,
raising our pet ducks, and commiserating over our beloved
Buffalo Bills.
Childhood summers encompassed exploring the pastures and
woods working on our neighbor's berry and plant farm and
waiting for the rumble of dad's cycle as he returned home from
his job in highway maintenance. This is a glimpse of our small
slice of country and my upbringing in Rural America. Rural,
yes, encouraged to dream big every step of the way and dream we
did.
I devoted nearly every penny earned on that farm to my
stamp and coin collection. Years later, as I arrived at
American University to begin my academic career in
International Affairs, I knew unequivocally that my future
involved fostering relations with foreign markets and the
people personified in that postage and currency I had
accumulated. That dream and future continued to be realized.
If confirmed, I would be incredibly honored to lead a
world-class team of professionals that provide export
counseling to small-and medium-sized businesses while
identifying new foreign markets for their products and
services, advocate on behalf of U.S. companies competing for
foreign government procurements, attract foreign direct
investment while working to grow the U.S. manufacturing base,
and reduce, remove, and prevent foreign trade barriers that
impede market access for U.S. goods in a free, fair, and
reciprocal fashion.
As the Deputy Assistant Secretary of Commerce for
Manufacturing since June 2017, I've seen the impact the Global
Markets team has on U.S. manufacturers and service providers.
This vast network of more than 1,300 trade and investment
specialists in Headquarters and the U.S. field combined with
the presence of the Foreign Commercial Service and over 70
foreign markets deliver daily under the leadership of Secretary
Ross.
Simply put, I have come to know the Global Markets team as
a team that works, a team that chooses to compete, and a team
that delivers. These professionals deliver one deal at a time
and have a tremendous impact measured at over $120 billion
alone in Fiscal Year 2018 in the areas I outlined.
Bart Meroney and Dale Tasharski, thank you for your many
decades of service at the Commerce Department and for joining
me here today along with many other colleagues.
In my former professional capacities, I accrued experience
in economic development, executive leadership, and trade
policy. In my past economic development roles, I worked
successfully to attract foreign directed investment.
Select-USA, which would be under my purview, if confirmed,
is a valued economic development partner to many states.
Likewise, during my time in the semi-conductor industry, I
witnessed the contributions of the Commerce Department to
ensure foreign market access. I regularly engaged with the
Commerce team while managing the Leading Ship Industry
Association's international engagements in technology programs
for a decade.
I have seen the challenges posed by unfair trade measures
and massive market-distorting practices that cripple companies
looking to compete internationally.
Early in my professional career, I worked on the Trade
Subcommittee staff of the House Ways and Means Committee. I
have a profound appreciation for the vital role of Congress
when it comes to ensuring the global competitiveness of U.S.
industry.
While my stamp and coin collections are now the
responsibility of my two young Hoosiers, I have no doubt that
our country has a limitless and prosperous future based on the
unparalleled accomplishments of the Global Markets team and the
Commerce Department.
I aspire to help this team continue to achieve its mission.
If confirmed, I will devote every working moment to its success
on behalf of our Nation's exporters.
Distinguished Members of the Committee, thank you for your
consideration.
Thank you, Mr. Chairman.
[The prepared statement and biographical information of Mr.
Steff follow:]
Prepared Statement of Ian Paul Steff, Nominee for Assistant Secretary
of Commerce for Global Markets and Director General, United States and
Foreign Commercial Service
Chairman Wicker and Ranking Member Cantwell, Members of the
Committee. It is the greatest of honors to sit before you today. If
confirmed, it would be my privilege to serve as the Assistant Secretary
of Commerce for Global Markets and Director General of the United
States and Foreign Commercial Service. I thank President Trump for this
nomination. So too, I am grateful for the continued support of Vice
President Pence, both in my former Indiana capacities, and now in
Washington.
Speaking of Hoosiers, I am proud to be joined by my wife, Brittany,
and her father, Whit. Brittany, I remain forever grateful for your
incredible encouragement, compassion, and flexibility as we serve the
Nation we love and raise our two little stars, Daniel and Owen. I also
send my gratitude to my parents, Wayne and Lisa. Our childhood home was
filled with faith, respect, love, hard work, and an enduring sense of
service to one's country. Thank you to all those family members,
friends, colleagues, and teachers who helped me along the way.
My story started under a few feet of snow, thirty miles south of
Buffalo, New York, on my grandparents' dairy farm. My two younger
brothers, Eric and Levi often reflect on the comradery we developed
shoveling that never-ending lake-effect byproduct, raising our pet
ducks, and commiserating over our beloved Buffalo Bills. Childhood
summers encompassed exploring the pastures and woods, working on our
neighbor's berry and plant farm, and waiting for the rumble of Dad's
cycle as he returned home from his job in highway maintenance. This is
a glimpse of our small slice of country and my upbringing in rural
America.
Rural? Yes. Encouraged to dream big? Every step of the way. And
dream we did. I devoted nearly every penny earned on the farm to my
stamp and coin collection. Years later, as I arrived at American
University to begin my academic career in international affairs, I knew
unequivocally that my future involved fostering relations with the
foreign markets and the people personified in the postage and currency
I accumulated. That dream and future continue to be realized.
If confirmed, I would be incredibly honored to lead a world-class
team of professionals that provide export counseling to small and
medium-sized businesses, while identifying new foreign markets for
their products and services; advocate on behalf of U.S. companies
competing for foreign government procurements; attract foreign direct
investment, while working to grow the U.S. manufacturing base; and
reduce, remove, and prevent foreign trade barriers that impede market
access for U.S. goods in a free, fair, and reciprocal fashion.
As the Deputy Assistant Secretary of Commerce for Manufacturing
since June of 2017, I've seen the impact the Global Markets team has on
U.S manufacturers and service providers. This vast network of more than
1,300 trade and investment specialists in headquarters and the U.S.
Field, combined with the presence of the Foreign Commercial Service in
over seventy foreign markets, deliver daily under the leadership of
Secretary Ross.
Simply put, I have come to know the Global Markets team as: ``A
Team that Works, A Team That Chooses to Compete, and a Team that
Delivers.'' These professionals deliver ``one deal at a time'' and have
a tremendous impact measured at over $120 billion in FY 2018 in the
areas outlined above. Bart Meroney and Dale Tasharski, thanks for your
many decades of service at the Commerce Department and for joining
today.
In my former professional capacities, I accrued experience in
economic development, executive leadership, and trade policy. In my
past economic development roles, I worked successfully to attract
foreign direct investment. SelectUSA, which would be under my purview
if confirmed, is a valued economic development partner to states.
Likewise, during my time in the semiconductor industry, I witnessed
the contributions of the Commerce Department to ensure foreign market
access. I regularly engaged with the Commerce team while managing the
leading chip industry association's international engagements and
technology programs for a decade. I have seen the challenges posed by
unfair foreign trade measures and massive market distorting practices
that crippled companies looking to compete internationally.
Earlier in my professional career, I worked on the Trade
Subcommittee staff of the House Ways and Means Committee. I have a
profound appreciation for the vital role of Congress when it comes to
ensuring the global competitiveness of U.S. industry.
While my stamp and coin collections are now the responsibility of
my two young Hoosiers, I have no doubt that they and our country have a
limitless and prosperous future based on the unparalleled
accomplishments of the Global Markets team at the Commerce Department.
I aspire to help this team continue to achieve its mission. If
confirmed, I will devote every working moment to its success on behalf
of our Nation's exporters. Distinguished members of the Committee,
thank you for your consideration.
______
a. biographical information
1. Name (Include any former names or nicknames used): Ian Paul
Steff.
2. Position to which nominated: Assistant Secretary of Commerce and
Director General of the United States and Foreign Commercial Service.
3. Date of Nomination: February 1, 2019.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
Office: 1401 Constitution Ave. NW, Washington, DC 20230.
5. Date and Place of Birth: July 9, 1982; Buffalo, New York.
6. Provide the name, position, and place of employment for your
spouse (if married) and the names and ages of your children (including
stepchildren and children by a previous marriage).
Wife: Brittany Paige Grayson Steff, Freelance Science Writer,
Self-Employed
7. List all college and graduate degrees. Provide year and school
attended.
A) American University--2000-2003--B.A. International Studies
B) National Defense University--2004-2006--18 Credits of
Graduate Work in National Security Studies
C) George Washington University--2007-2011--M.A. International
Science and Technology Policy
8. List all post-undergraduate employment, and highlight all
management-level jobs held and any non-managerial jobs that relate to
the position for which you are nominated.
A) Deputy Assistant Secretary of Commerce for Manufacturing,
U.S. Department of Commerce, International Trade
Administration--June 2017 to present; Performing the Non-
exclusive Duties and Functions of the Assistant Secretary of
Commerce for Global Markets and Director General of the United
States and Foreign Commercial Service--May 2018 to present;
Washington, D.C.
B) Chief Innovation Officer--State of Indiana; Executive Vice
President and Senior Advisor; Indiana Economic Development
Corporation--July 2016-May 2017; Indianapolis, IN
C) Senior Advisor/or Science, Technology, and Advanced
Manufacturing; Indiana Economic Development Corporation--May
2015-July 2016; Indianapolis, IN
D) Vice President for Global Policy and Technology
Partnerships; Semiconductor Industry Association--2008-2014;
Washington, D.C.
E) International Trade and Semiconductor Policy Specialist;
Dewey Ballantine LLP--2005-2008; Washington, D.C.
F) Senior Staff Assistant to the Staff Director; House Ways and
Means Trade Subcommittee--2004-2005; Washington, D.C.
9. Attach a copy of your resume.
See attached.
10. List any advisory, consultative, honorary, or other part-time
service or positions with Federal, State, or local governments, other
than those listed above, within the last ten years.
Indiana advisory role listed above.
11 . List all positions held as an officer, director, trustee,
partner, proprietor, agent, representative, or consultant of any
corporation, company, firm, pa11nership, or other business, enterprise,
educational, or other institution within the last ten years.
A) Founding Principal, IPS Global Consulting LLC, Indianapolis,
IN (April 2014-May 2016), Three former clients as follows:
a. Client: State of Indiana/Indiana Economic
Development Corporation; Advisor; Indianapolis, IN
b. Client: Central Indiana Corporate Partnership
Foundation; Advisor; Indianapolis, IN
c. Client: FlexTech Alliance, Advisor; San Jose, CA
B) President; IPS Global RE I LLC; Indianapolis, IN; (Real
Estate Holding Company)--July 2016-Present. (This LLC is
associated with residential rental/investment property I solely
own in Silver Spring, Maryland. If confirmed, I will resign
from my position as President of IPS Global RE I LLC, in
accordance with my Ethics Agreement.)
C) President; IPS Global RE II LLC; Indianapolis, IN; (Real
Estate Holding Company)--July 2016-July 2018. (This LLC was
associated with residential rental/investment property in
Indianapolis, Indiana that was sold and subsequently
dissolved.)
D) Member, Board of Directors, Battery Innovation Center,
Newberry, Indiana; December 2014-June 4, 2017
E) Member, Board of Directors, Collaborative Composites
Solutions Corporation; January 1, 2015-June 4, 2017
F) Chairman of the Executive Committee and Member of the Board
of Directors--United States Information Technology Office in
Beijing, China and Washington, D.C. (www.usito.org); 2013-2014
12. Please list each membership you have had during the past ten
years or currently hold with any civic, social, charitable,
educational, political, professional, fraternal, benevolent or
religiously affiliated organization, private club, or other membership
organization. (For this question, you do not have to list your
religious affiliation or membership in a religious house of worship or
institution.). Include dates of membership and any positions you have
held with any organization. Please note whether any such club or
organization restricts membership on the basis of sex, race, color,
religion, national origin, age, or disability.
A) Former Member; Executive Committee, Int'l Technology Roadmap
on Semiconductors (2010-2014)
B) Member, Donor, Chairman's Circle & Nausbaum Society of the
Indianapolis Zoo (2014-2016)
C) Member, Dean of Engineering's Advisory Council, Purdue
University (2015-May of 2017)
D) Member, Vice Chancellor/or Research's Advisory Board, IUPUI
(2016-May of 2017)
E) Member, Advisory Board, Rochester Inst. of Technology (2010-
2014)
F) Member, Friends of the National Zoo (2018 to present)
G) Member; Delta Tau Delta International Fraternity (2002 to
present) (Note: Membership currently limited to males)
H) Member, Collins Conservation Club (1996 to present)
13. Have you ever been a candidate for and/or held a public office
(elected, non-elected, or appointed)? If so, indicate whether any
campaign has any outstanding debt, the amount, and whether you are
personally liable for that debt. No.
14. List all memberships and offices held with and services
rendered to, whether compensated or not, any political party or
election committee within the past ten years. If you have held a paid
position or served in a formal or official advisory position (whether
compensated or not) in a political campaign within the past ten years,
identify the particulars of the campaign, including the candidate, year
of the campaign, and your title and responsibilities. Not applicable.
15. Itemize all political contributions to any individual, campaign
organization, political party, political action committee, or similar
entity of $500 or more for the past ten years.
March 2016--Contribution to Friends of Todd Young, Inc.--
$500.00
16. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Graduated Magna Cum Laude from American University--2003
Member of Phi Beta Kappa--2003
Member of Golden Key International Honour Society--2003
Commissioned a ``Kentucky Colonel''--honor bestowed by the
Governor of Kentucky--2005
Distinguished Service Award from the Semiconductor Industry
Association--2014
17 .Please list each book, article, column, Internet blog posting,
or other publication you have authored, individually or with others.
Include a link to each publication when possible. Also list any
speeches that you have given on topics relevant to the position for
which you have been nominated. Do not attach copies of these
publications unless otherwise instructed.
A) December 2013--Forbes Op-ed, co-authored with Ambassador
Alan Wm. Wolff-``China Will Make or Break a Once-In-A-
Generation Trade Deal''--Link: https://www.forbes.com/sites/
realspin/2013/12/02/china-will-make-or-break-a-once-in-a-
generation-trade-deal/
B) March 2018--Remarks at the Taiwan Smart Cities Summit in
Taipei, Taiwan in capacity as Deputy Assistant Secretary of
Commerce for Manufacturing: https://www.ait.org.tw/remarks-ian-
steff-smart-city-summit/
C) September 2018--Remarks at the 3SI Heads of State Summit in
Bucharest, Romania in capacity as Deputy Assistant Secretary of
Commerce for Manufacturing--https://www.youtube.com/
watch?v=SclMeo2bujY
D) April 2019--Remarks at the Hannover Messe in Hannover,
Germany in capacity as Deputy Assistant Secretary of Commerce
for Manufacturing (No link available.)
18. List digital platforms (including social media and other
digital content sites) on which you currently or have formerly operated
an account, regardless of whether or not the account was held in your
name or an alias. Include the name of an ``alias'' or ``handle'' you
have used on each of the named platforms. Indicate whether the account
is active, deleted, or dormant. Include a link to each account if
possible.
A) Facebook: Active, www.facebook.com/ian.steff
19. Please identify each instance in which you have testified
orally or in writing before Congress in a governmental or non-
governmental capacity and specify the date and subject matter of each
testimony. Not applicable.
20. Given the current mission, major programs, and major
operational objectives of the department/agency to which you have been
nominated, what in your background or employment experience do you
believe affirmatively qualifies you for appointment to the position for
which you have been nominated, and why do you wish to serve in that
position?
It is the highlight of my professional career to have been
nominated to lead Global Markets and the U.S. and Foreign Commercial
Service in the International Trade Administration. I am humbled to have
an opportunity to work aside a world-class team that a) provides export
counseling to small and medium sized business, while identifying new
foreign markets for their products and services; b) advocates on behalf
of U.S. companies competing for foreign government procurements; c)
attracts foreign direct investment through SelectUSA initiatives, while
working to grow the U.S. manufacturing base; and d) reduces, removes,
and prevents foreign trade barriers that impede market access for U.S.
goods in a free, fair, and reciprocal fashion.
In my current and former professional capacities, I have come to
know the ITA and Global Markets team as: A Team that Works, A Team That
Chooses to Compete, and a Team that Delivers. This team delivers ``one
deal at a time'' and has a tremendous impact measured at over $136
billion in FY 2018 in the areas outlined above.
As the Deputy Assistant Secretary of Commerce since June 2017, I've
seen firsthand the difference this team has made for U.S. manufacturers
and service providers. From my current seat, l have encouraged all
units in ITA to focus our collective resources toward delivering on
behalf of our clients via trade promotion. Our vast network of trade
specialists in the U.S. Field, combined with the Foreign Commercial
Service's presence in over 70 foreign markets deliver on a daily basis.
We have met or exceeded all internal export, advocacy and investment
targets, and also delivered on our Agency Priority Goal related to
trade barrier removal, valued at over $5.6 billion. At the same time, I
feel that I have earned the team's trust and respect.
In my former professional capacities, I have demonstrated
experience and capabilities in economic development, executive
leadership, and trade policy that will be put to good use, if
confirmed. In my past economic development roles, I worked regularly to
maintain and attract foreign direct investment. SelectUSA, which would
be under my purview, if confirmed, continues to be a valued partner to
states across the Nation and I look forward to working with the team to
reach our full potential and convey that the U.S. is ``open for
business''.
Likewise, during my time in the semiconductor industry, I witnessed
firsthand the contributions of the Commerce Department in ensuring a
leading U.S. export industry maintained and grew its worldwide market
share. I regularly engaged with the Commerce team in that capacity for
over a decade, while managing the leading industry association's
international engagements, offices, and technology programs. I came to
know the challenges posed by unfair foreign trade measures and massive
market distorting practices that have crippled companies looking to
compete internationally.
Earlier in my professional career, I had the good fortune to work
on the Trade Subcommittee staff of the House Ways and Means Committee.
In addition to gaining valuable experience in trade policy, I also saw
its impact on the clients the Department and the GM team serve. I have
an utmost appreciation for the vital role of Congress when it comes to
ensuring the competitiveness of U.S. industry on a global scale.
Lastly, my educational background in international studies and
international science and technology policy will be highly leveraged on
a regular basis in this capacity, if confirmed. The role is completely
aligned with every aspiration I have ever held as a student and
practitioner of international relations.
I) What do you believe are your responsibilities, if confirmed, to
ensure that the department/agency has proper management and accounting
controls, and what experience do you have in managing a large
organization?
If confirmed, I believe a core responsibility of the Assistant
Secretary of Commerce and Director General of the U.S. and Foreign
Commercial service is to ensure good steu1ardship of public funds,
while maximizing resources to attract inbound investment, remove
foreign trade barriers, and promote U.S. exports.
I will ensure robust accounting, management, and budget controls
are in place to foster such stewardship. I will work closely with the
Department's budget professionals, including the ITA Global Markets
Budget Office, to ensure that financial obligations incumbent upon the
organization are met, while at the same time guiding and prioritizing
allocation of available resources to achieve our collective mission. I
will also scrutinize the fix cost drivers posing challenges for the
organization.
In performing these fiduciary functions, if confirmed, I will draw
upon substantial prior personal experience in both the private and
public sectors. This includes managing multi-million dollar budgets and
performing oversight of professionals whose direct job it was to
implement financial management and accounting controls.
In the private sector, I had management responsibilities that
included directing personnel and significant resources in offices
spanning the globe. In the public sector, I worked with and advised
state budget authorities to allocate millions of do11ars in public
funds using a rigorous process that incorporated competition,
transparency, and accountability.
I continue to draw on these experiences in my current capacity in
ITA, while managing and motivating a team of hundreds of international
trade professionals that continue to exceed agency goals.
J) What do you believe to be the top three challenges facing the
department/agency, and why?
First, rising fixed costs as a percentage of Global Markets'
overall appropriations/budget, remains a persistent challenge. While
GM's return on investment is well-documented, as are the results of its
client-driven professionals spanning the globe, the organization is
constrained by these growing fixed costs associated with our offices in
over 70 foreign markets and 100 U.S. cities. Equipping the team with
the tools, training, technology, and resources they need to effectively
compete on behalf of our Nation's current and future exporters will be
among my top priorities, if confirmed.
To that end, a second key challenge is remaining competitive in a
rapidly evolving global landscape. We see a trend of foreign
governments of large economies tilting the playing field in their favor
using a vast array of unfair and discriminatory trade practices. In
many cases, these same countries compete in markets where the U.S.
Commercial Service has a limited presence, none at all, or where we are
unable to provide comprehensive support to clients. In markets where we
choose to compete, and are equipped to do so, the results and data
demonstrate tremendous impact, one deal at a time. However, our
competitors are gaining footholds in markets that may negatively affect
us for generations to come.
A third, and perhaps more obvious challenge, is the overwhelming
amount of barriers to entry in foreign markets that prevent free, fair
and reciprocal trade. Reducing, removing, and preventing these
barriers, so that our export promotion capabilities yield increased
exports and chip away at our trade deficits is key.
Economic security is national security. GM's ability to help
businesses of all sizes export, grow their investments in the U.S.,
identify and penetrate new markets, and assist in removing barriers to
trade is unrivaled. There is limitless potential and millions of
companies in line to reap the economic rewards associated with enhanced
market access. According to ITA, less than one percent of America's 30
million companies export--a percentage that is significantly lower than
all other developed countries. And of U.S. companies that do export, 58
percent export to only one country. This represents a challenge and an
opportunity at the same time.
b. potential conflicts of interest
1. Describe all financial arrangements, deferred compensation
agreements, and other continuing dealings with business associates,
clients, or customers. Please include information related to retirement
accounts. None.
2. Do you have any commitments or agreements, formal or informal,
to maintain employment, affiliation, or practice with any business,
association or other organization during your appointment? If so,
please explain. No.
3. Indicate any investments, obligations, liabilities, or other
relationships which could involve potential conflicts of interest in
the position to which you have been nominated. Explain how you will
resolve each potential conflict of interest.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and Department of Commerce agency
ethics officials to identify any potential conflicts of interest. Any
potential conflicts of interest will be resolved in accordance with the
terms of my ethics agreement. I understand that my ethics agreement has
been provided to the Committee. I am not aware of any potential
conflict of interest other than those that are the subject of my ethics
agreement.
4. Describe any business relationship, dealing, or financial
transaction which you have had during the last ten years, whether for
yourself, on behalf of a client, or acting as an agent, that could in
any way constitute or result in a possible conflict of interest in the
position to which you have been nominated. Explain how you will resolve
each potential conflict of interest.
I am not aware of any potential conflict of interest other than
those that are the subject of my ethics agreement. Any potential
conflicts of interest will be resolved in accordance with the terms of
my ethics agreement. I understand that my ethics agreement has been
provided to the Committee.
5. Identify any other potential conflicts of interest, and explain
how you will resolve each potential conflict of interest.
I am not aware of any potential conflict of interest other than
those that are the subject of my ethics agreement. Any potential
conflicts of interest will be resolved in accordance with the terms of
my ethics agreement. I understand that my ethics agreement has been
provided to the Committee.
6. Describe any activity during the past ten years, including the
names of clients represented, in which you have been engaged for the
purpose of directly or indirectly influencing the passage, defeat, or
modification of any legislation or affecting the administration and
execution of law or public policy.
a) During my tenure with the Semiconductor Industry Association
(2008-2014), I conveyed industry views on a number of public policy
matters, legislation, and Administration actions. The Association had
involvement or expressed views on the following during my tenure:
Support for authorization legislation and increased
appropriations for basic research at DARPA, NIST, and NSF,
including the passage of the America COMPETES Act.
Support for immigration legislation and actions to allow
foreign students graduating with STEM degrees to stay in the
U.S. following graduation.
Support for STEM education and workforce initiatives.
Support for the R&D Tax Credit, a simplified corporate tax
system, and a competitive investment climate.
Support for Administration and Congressional action to
enhance intellectual property protection for semiconductors.
Support for anti-counterfeiting semiconductor initiatives.
Support for expansion of the Information Technology
Agreement and trade agreements effecting the semiconductor
industry and global market access.
Support for efforts to deal with unfair trade practices
related to China effecting the semiconductor industry.
c. legal matters
1. Have you ever been disciplined or cited for a breach of ethics,
professional misconduct, or retaliation by, or been the subject of a
complaint to, any court, administrative agency, the Office of Special
Counsel, professional association, disciplinary committee, or other
professional group? No.
If yes:
a. Provide the name of agency, association, committee, or group
b. Provide the date the citation, disciplinary action, complaint, or
personnel action was issued or initiated;
c. Describe the citation, disciplinary action, complaint, or
personnel action;
d. Provide the results of the citation, disciplinary action,
complaint, or personnel action.
2. Have you ever been investigated, arrested, charged, or held by
any Federal, State, or other law enforcement authority of any Federal,
State, county, or municipal entity, other than for a minor traffic
offense? If so, please explain. No.
3. Have you or any business or nonprofit of which you are or were
an officer ever been involved as a party in an administrative agency
proceeding, criminal proceeding, or civil litigation? If so, please
explain. No.
4. Have you ever been convicted (including pleas of guilty or nolo
contendere) of any criminal violation other than a minor traffic
offense? If so, please explain. No.
5. Have you ever been accused, formally or informally, of sexual
harassment or discrimination on the basis of sex, race, religion, or
any other basis? If so, please explain. No.
6. Please advise the Committee of any additional information,
favorable or unfavorable, which you feel should be disclosed in
connection with your nomination.
I have no additional information other than that which has been
provided in connection with my nomination.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by congressional committees, and that
your department/agency endeavors to timely comply with requests for
information from individual Members of Congress, including requests
from members in the minority? Yes.
2. Will you ensure that your department/agency does whatever it can
to protect congressional witnesses and whistle blowers from reprisal
for their testimony and disclosures? Yes.
3. Will you cooperate in providing the Committee with requested
witnesses, including technical experts and career employees, with
firsthand knowledge of matters of interest to the Committee? Yes.
4. Are you willing to appear and testify before any duly
constituted committee of the Congress on such occasions as you may be
reasonably requested to do so? Yes.
______
Resume of Ian Paul Steff
Specializations
International trade negotiations Intellectual property protection
Trade association management systems
Global and export market analysis Economic development
Semiconductor manufacturing issues International affairs
Research consortia board governance Advanced manufacturing issues
Science, technology, and research
policy
Professional Experience
Deputy Assistant Secretary of Commerce for Manufacturing--June 2017 to
present
Performing the non-exclusive duties and functions of the Assistant
Secretary for Global Markets and Director General of the U.S. and
Foreign Commercial Service--May 2018 to present
U.S. Department of Commerce--International Trade Administration
LEAD TRADE PROMOTION EFFORTS AND MANUFACTURING INITIATIVES
Manage Commerce sector experts, investment analysts,
international trade professionals. while executing the Trump
administration's plans to eliminate foreign trade barriers,
boost U.S. exports of manufactured goods, open foreign markets,
enforce and modernize international trade agreements, and work
with the private sector to increase American manufacturing jobs
and investments.
From aerospace and semiconductors to automotive,
pharmaceuticals, medical devices, and energy-related products,
the Office of Manufacturing's initiatives span more than a
dozen strategic industry sectors and regularly engages the
private sector to inform strategies related to advanced
manufacturing, the Internet of Things, and other emerging
fields.
Chief Innovation Officer and Executive Vice President--July 2016-May
2017
State of Indiana / Indiana Economic Development Corporation
COORDINATED STATE'S INNOVATION AND ENTREPRENEURSHIP INITIATIVES
Served as the State of Indiana's first Chief Innovation
Officer, coordinating the development, implementation and
execution of the $1B Innovation & Entrepreneurship Initiative
under then-Governor Pence and Governor Holcomb
Advised state leadership on science, technology, and
advanced manufacturing economic matters. served as a Senior
Advisor to the Secretary of Commerce
Led preparations and participated in state economic trade
missions to Israel, India, China. and Europe; Hosted
international businesses considering FDI
Engaged on export related issues for Indiana-based companies
Coordinated and directed IEDC's small business and
entrepreneurship programs and resources consisting of personnel
and advisors statewide including:
Indiana Small Business Development Centers (ISBDC)
Procurement Technical Assistance Centers (PTAC)/SBIR
Programs
Coordination with Elevate Ventures and oversight over
21 Fund
IEDC's investment and assurance programs and strategic
sector initiatives
Led efforts to create and expand public-private partnerships
in the information technology, life sciences, and advanced
manufacturing across the state
Board member, Battery Innovation Center (BIC) outside of
NSWC Crane
Board member, Institute for Advanced Composites
Manufacturing Innovation (IACMI) that includes Purdue-led
Modeling & Simulation Center housed at the Indiana
Manufacturing Institute
Member, Dean of Engineering's Advisory Council, Purdue
University
Member, Council of Advisors to the Vice Chancellor for
Research, IUPUI
Senior Advisor for Science, Technology, and Advanced Manufacturing--May
2014
State of Indiana / Indiana Economic Development Corporation--July 2016
LED IEDC'S PLANS TO GROW STRATEGIC SECTORS
Oversaw statewide efforts to develop the life sciences,
energy storage, cybersecurity, semiconductor, nanotech, &
advanced materials verticals.
Engaged with businesses. universities, and government
partners to create economic development leads for the State in
advanced manufacturing sectors and boost Indiana's
manufacturing exports.
Coordinated IEDC's technology oriented economic development
missions including domestic and international trips.
EXPANDING PUBLIC-PRIVATE PARTNERSHIPS AND GLOBAL ENGAGEMENT
Shaped IEDC's strategy on initiatives involving cooperation
between industry, the State, and universities that will enable
Indiana's global competitiveness in emerging fields related to
advanced manufacturing and design.
Implemented best practices from model domestic and
international public-private partnerships in current industrial
consortia in Indiana.
Successfully led effort on behalf of the IEDC to secure
matching funds of $15M for the newly formed composites
initiative at Purdue University via the Institute for Advanced
Composites Manufacturing Innovation.
Participated in state and national efforts to ensure a
robust workforce and world-class research infrastructure,
including:
Member, Lieutenant Governor Ellspermann's Career Pathways
Taskforce
Member, Executive Committee, International Nanotechnology
Cooperation and Communication (INC).
Senior Executive, Semiconductor Industry Association (SIA)--2008-2014
Vice President. Global Policy and Technology Partnerships; Board
Elected Officer; Chairman of the Board, U.S. Information Technology
Office in Beijing (USITO)
ASSOCIATION MANAGEMENT
Served as an elected officer of the lead U.S. semiconductor
association; Board of Directors consisting of 18 CEOs
representing the $150 billion U.S. semiconductor industry.
Responsible for oversight of multi-million dollar
international and technology budget, managed three departments,
and coordinated outside counsel and consultants.
Developed agenda, budget updates, and materials for three
Board meetings per year.
Elected Executive Chairman of the USITO Board of Directors;
Executive committee consisting of four trade associations and
Board consisting of 30 U.S. technology executives with China
operations (www.usito.org).
TECHNOLOGY PARTNERSHIPS & UNIVERSITY RESEARCH CONSORTIA
Staffed the SIA's CTO Committee comprised of 18 technology
executives of major U.S. semiconductor companies and served as
the Board's liaison to its research consortium. the
Semiconductor Research Corporation (SRC).
Led efforts to secure over $160M in matching funds to
complement over $250M industry dollars for SIA/SRC technology
public-private research with U.S. universities.
Served as the association's lead representative on
partnerships with NIST, NSF, and DoD
LED WORLDWIDE GOVERNMENT RELATIONS AND INDUSTRY TRADE ADVISOR
Primary advocate and spokesperson on global policy and
public-private partnerships.
Oversaw international trade advocacy, export and sales
statistics program, customs and trade facilitation, and
industry engagement on manufacturing policy.
Communicated member companies' market access issues to
foreign governments.
Industry stakeholder in the WTO's Information Technology
Agreement, served as a lead industry expert and liaised with
over 12 governments; final ITA expansion agreement saved U.S.
semiconductor manufacturers several billion dollars.
Served as the chief U.S. secretariat at the World
Semiconductor Council, consisting of governments and industry
from China, Europe, Japan, Korea, Taiwan, and U.S.
CREATED STRATEGIC COMMUNICATIONS and PROGRAMS
Developed statements. interacted with media, published op-
eds and web content.
Collaborated with SIA's committees and forged consensus on
major projects.
Frequently quoted in media including Forbes, NYT, Bloomberg,
and regional outlets.
Secured sponsorships and organized industry seminars,
conferences and other events.
Dewey Ballantine LLP 2005-2008
Trade Specialist/SIA Washington Representative. Manager, Governmental
Affairs
Managed SIA's government relations, trade, and research
funding engagements.
Participated in Multi-Chip Package (MCP) Duty-Free Trade
Agreement negotiations.
Helped build support for President Bush's American
Competitiveness Initiative.
Staffed meetings of the World Semiconductor Council.
U.S. House of Representatives--Ways and Means Committee 2004-2005
Senior Staff Assistant to the Majority Staff Director of the Trade
Subcommittee
Staff Director's principal liaison to USTR, Commerce, State,
and business community.
Served Chairman Thomas (R-CA) & Subcommittee Chairmen Crane
(R-IL)/Shaw (R-FL)
Prepared for hearings on FTAs, Miscellaneous Tariff Bill,
Customs Reauthorization, FSC-ETI repeal/American Jobs Creation
Act.
Oversaw publication of Committee's Trade Statutes Blue Book,
2005 edition.
U.S. House of Representatives and Communications Internships 2002-2003
House Committee on Small Business, Chairman Donald Manuel
(R-IL)
Office of Media Relations at the Peace Corps Headquarters
Personal Office of Congressman Bill Thomas (R-CA)
Professional Memberships and Civic Engagement
Fr. President and Founding Principal of IPS Global
Consulting LLC (Firm advised the State of Indiana, Central
Indiana Corporate Partnership, and the FlexTech Alliance)
Fr. Representative; Task Force on the Future of American
Innovation, Washington, D.C.
Fr. Member; Executive Committee, Int'l Technology Roadmap on
Semiconductors
Member, Donor; Chairman's Circle and Nausbaum Society of the
Indianapolis Zoo
Member, Friends of the National Zoo, Washington D.C.
Education
George Washington University--Elliott School of Int'l Affairs--2007-
2011
Master of Arts: International Science and Technology Policy--GPA: 3.88
of 4.0
R&D budgets, economics of technological change, energy
policy, technology creation and diffusion, international trade,
U.S. space policy, globalization challenges
Capstone: Future of Broadband-Computing: Technological,
Economic Considerations
National Defense University--Ft. McNair--2004-2006
Post-Graduate: National Security Studies
School for National Security Executive Education
Concentration: 18 graduate credits related to defense,
security, and foreign policy
American University--Schoo/ of Int'l Service--2000-2003
Bachelor of Arts: International Studies--GPA: 3.7 of 4.0
Graduated magna cum laude and Phi Beta Kappa;
U.S. Foreign Policy, International Economics and Trade
Policy; Intermediate Spanish
References (contact available upon request)
he Honorable Mike Pence, Vice President of the United States
The Honorable Governor Eric Holcomb of the State of Indiana
The Honorable Gilbert Kaplan, Under Secretary of Int'l
Trade, Department of Commerce
The Honorable Ted McKinney, Under Secretary of Int'l Trade,
Department of Agriculture
Stephen Akard, President's Nominee for Director of the
Office of Foreign Missions (rank of Ambassador), Department of
State
John Neuffer: President and CEO, Semiconductor Industry
Association (SIA)
George M. Scalise: Former COO of Apple Computer and
President emeritus, SIA; Board member. Intermolecular; Purdue
University distinguished engineering alumnus
Wim Roellandts: Former Chairman of the Board, Applied
Materials & Board Member, IMEC (Belgium Research Consortia)
Ed Simcox, President emeritus, Indiana Energy Association
Ambassador Alan Wm. Wolff: Deputy Director General, World
Trade Organization
Senator Wicker. Well, thank you, Mr. Steff, and thank you
all.
Let me begin by asking this question of each of you. We
historically have asked nominees at the beginning of hearings
to state for the record that they pledge to work with Congress
and the Committee in a cooperative manner.
So I'd like to ask each of you and get a verbal yes or no,
if confirmed, will you pledge to work collaboratively with this
committee and provide thorough and timely responses to our
requests for information as we work together to address
important policy issues?
All. Yes.
Senator Wicker. Thank you. Thank you very much.
Mr. Rokita, sounds like you'd like to grow ridership in
Amtrak, is that correct?
Mr. Rokita. Mr. Chairman, Members of the Committee, yes, I
believe it has been a viable national system and it needs to be
in the future.
Senator Wicker. And you mentioned when the train leaves
from the station at time X and it's supposed to get somewhere
at time Y, that that needs to happen more often, and I assume
you would also agree when it's scheduled to arrive at a station
at time X, it helps ridership if in fact it does----
Mr. Rokita. Absolutely, Mr. Chairman.
Senator Wicker.--arrive at that prescribed time.
Do you have any preconceived ideas about lines that should
be eliminated in our Amtrak system?
Mr. Rokita. Thank you, Mr. Chairman, Members of the
Committee.
No. If confirmed, I understand that it's a priority of
many, if not all, on this committee and perhaps throughout
Congress. It would be my opportunity and my desire to learn as
much as I can but certainly no preconceived notions to
eliminate anything.
Senator Wicker. And you mentioned competing with the
airlines. I think it's important to point out that if Amtrak
were an airline it would be one of the largest airlines in the
country in terms of daily ridership that we have at the
present, isn't that correct?
Mr. Rokita. Mr. Chairman, Members of the Committee, yes,
that is the fact, and I don't mean that we have to compete. I
just mean that we have to--it's not to beat the airlines in
terms of the time table. It's just to be consistent and
frequent, so that the passengers know that if they get on the
train at a certain time, they'll arrive at the destination at a
certain time again so they can plan their day. I think that's
the value of Amtrak. That's the value of a rail system.
Senator Wicker. I agree with you. I just think there is a
lot more ridership out there if we can make the product----
Mr. Rokita. Absolutely.
Senator Wicker.--better. So I want to challenge you in that
regard and to say how pleased I was with your testimony there.
I think our roads are getting more and more crowded. If we
can accommodate the transportation of passengers and get them
off the roads, I think it would be a plus to safety as well as
to the economy. So thank you very much for that.
Let me ask you, Mr. Sumwalt. You have a great deal of
experience as a Board member, including the last two years as
Chairman.
What do you see as your biggest challenges in the coming
years and what are the goals you hope to achieve as Chairman in
a couple of minutes?
Mr. Sumwalt. Mr. Chairman, thank you very much for that
question, and I want to thank the Committee for all of the
wonderful support that this committee has provided to the NTSB
through our reauthorization over the years.
There are three priorities that I've established for this
year with our management team. One is that we want to work on
our hiring situation. It has been slower than I'm comfortable
with it and we lose through attrition, retirements, about 30
people a year. We're replacing about 30 people a year but that
means we're not growing. We have some room in our budget to
grow. So I want to make sure that we're on-boarding people in a
timely fashion.
The next thing that I want to do is to make sure that we
are completing our accident investigations in a more timely
fashion and I think that we need the people to do that and
that's why the hiring is in there first.
And the third thing is to continue with our employee
engagement and by that, Senator, I mean that we could break our
employees' backs by trying to get these investigations done
more quickly, but we have to balance all of this to make sure
that our employees do maintain a good work-life balance.
So those are the three priorities that we have established.
Senator Wicker. Thank you very much.
Senator Markey.
STATEMENT OF HON. EDWARD MARKEY,
U.S. SENATOR FROM MASSACHUSETTS
Senator Markey. Thank you, Mr. Chairman, very much.
In September 2018, communities in Lawrence, Andover, and
North Andover, Massachusetts, lived through fires, explosions,
and evacuations in a night that Andover Fire Chief Michael
Mansfield said, ``looked like Armageddon.'' A young man, Leonel
Rondon, was killed, dozens were injured, and more than a
hundred homes were damaged or destroyed.
As my investigation and the NTSB's investigation have
found, the Merrimack Valley pipeline disaster was not
inevitable. It was preventable. All of this devastation came
from a single pipeline work project but it took a cascade of
multiple safety and oversight failures for us to get to the
point where one project could cause catastrophic damage across
three cities and towns.
Member Homendy, do you agree that Congress should ensure
that these regulatory safety gaps are closed through passing
legislation so that we work together in a bipartisan fashion in
order to accomplish those goals?
Ms. Homendy. Absolutely, Senator. Both Chairman Sumwalt and
I were at that accident scene, so I do.
Senator Markey. Thank you.
Well, that's why I introduced the Leonel Rondon Pipeline
Safety Act in order to address these failures and help ensure
that no other community, no other family would have to go
through the same sort of preventable tragedy.
What my bill does is to promote the use of pipeline safety
management systems, requires companies to keep updated maps and
records, ensures multiple layers of safety redundancies, and
mandates that qualified employees sign off on work plans, all
things conspicuously absent in the Merrimack Valley. As the
NTSB has noted in its interim recommendations, those things
unfortunately were lacking.
So, Chairman Sumwalt, Member Homendy, do you agree that the
interim recommendations the NTSB has made following the
Merrimack Valley disaster are reasonable and achievable and,
frankly, essential for pipeline operators?
Ms. Homendy. Yes, sir.
Mr. Sumwalt. And I'd like to weigh in on that, Senator
Markey. I want to thank you also for your longstanding
commitment on this, your showing leadership through the hearing
that you chaired on November 26 in Lawrence.
Yes, we feel that our recommendations were very timely. We
issued five interim safety recommendations, four of which were
urgent. Just this week, the Board has voted on four of the
recommendations to NiSource. NiSource has been able to close
out two of those in an acceptable fashion. The other two are
still open in an acceptable fashion.
Senator Markey. And, Mr. Chairman and Member Homendy, do
you agree that the interim NTSB recommendations, if adopted at
the Federal level, would strengthen pipeline safety in other
communities across the country as well as in Merrimack Valley?
Ms. Homendy. I do. For example, one of the urgent
recommendations was for a professional engineer to sign and
seal engineering and construction documents and 28 states have
exemptions from that. So it goes beyond just Massachusetts.
Senator Markey. Thank you.
Chairman Sumwalt, thank you. So families in the Merrimack
Valley want answers. They want to know that NiSource, Columbia
Gas, and PHMSA, and all other pipeline companies will make the
changes recommended by safety experts to protect them from
going through another disaster.
Chairman Sumwalt, would you commit to holding a public
hearing in Merrimack Valley on this issue?
Mr. Sumwalt. Mr. Chairman, what we are going to do is we
will have the investigation completed in September, which, of
course, is the anniversary month. In closing it out, we will
have a board meeting, a sunshine meeting, which is open to the
public, where the Board will openly deliberate the findings,
recommendations, and probable cause of that disaster.
Senator Markey. And would you conduct a hearing in
Merrimack Valley talking about the conclusions in your
investigation once it's complete?
Mr. Sumwalt. Mr. Chairman, I'd be delighted--Senator
Markey, I'd be delighted to come in and talk to you about that
and see what we can discuss in that area.
Senator Markey. OK. I think that would be extremely helpful
to the community up there.
Mr. Sumwalt. Well, it's a lovely part of the Nation and
we'd love to be there.
Senator Markey. Again, September's a wonderful month
especially.
[Laughter.]
Senator Markey. So thank you for that because I do think
it's a critical opportunity for the community to receive some
reassurance and you've been doing a very good job, by the way,
just want to say that, and we thank you for your good work
after this disaster and so the Roll Call's on the Floor,
however, calling away all the members and so at this point,
what I'll do is I'll place the hearing in a short recess and
other members will come back and reconvene the hearing, but we
thank you both for your service.
Thank you.
[Recess.]
Senator Blumenthal. Thank you all for your patience. We're
resuming after a brief recess.
I'm told that I am the final questioner and I have been
given instructions that we'll gavel out after I finish my
questions which will be brief because we are in the middle of
votes. I apologize that we've kept you this long but really do
appreciate your patience.
Let me ask, first of all, Mr. Rokita, you were a Member of
Congress I think for three terms, correct?
Mr. Rokita. Mr. Chairman, Senator Blumenthal, I was a
member for four terms.
Senator Blumenthal. Four terms.
Mr. Rokita. Yes.
Senator Blumenthal. Sorry. And during that time, I think I
heard that you were on the subcommittee of the relevant
committee that deals with Amtrak, is that right, the House
Transportation and Infrastructure Committee and the Railroads
Subcommittee?
Mr. Rokita. Yes, Senator, that's correct.
Senator Blumenthal. So you should be pretty familiar with
Amtrak by now.
Mr. Rokita. I'd like to think so but there's always more to
learn and, if confirmed, being a member of the Board would
allow me to learn a lot more.
Senator Blumenthal. What troubles me is that we've reviewed
your record and you have demonstrated a pretty remarkable long
and consistent record of opposing Amtrak, opposing its funding
and hostility to Amtrak, and you have taken a series of anti-
Amtrak votes. You voted to defund Amtrak and you voted against
the Passenger Rail Reform and Investment Act of 2015 which
authorized Federal support for Amtrak and other programs.
We can argue the merits of Amtrak. I think clearly Amtrak
is vital to our Nation's economy, central to the Northeastern
economy. It moves more people in the Northeast than the
airlines do several times over.
I take it regularly. I will probably tomorrow, Friday, as I
do all the time going home. When Amtrak shuts down, our economy
suffers. When the Northeast economy is hit, the whole country
takes a blow economically.
So I guess my question is do you stand by those votes?
Mr. Rokita. Mr. Chairman and Senator Blumenthal, thank you
for the question.
I stand by my testimony. I believe you might have been out
of the room for at least a part of it, which was that I believe
in a national rail system. I have been a user of Amtrak my
entire adult life. I'm not sure where the source comes from
that I'm hostile to Amtrak or don't like the idea simply
because I voted no on some funding votes.
As you know, Senator, sometimes in sending a message we're
limited to yes, to no, or to present, and I believe in fiscal
responsibility for all of us and I believe that my votes
against these funding provisions sent a message to Amtrak, and
I also testified earlier that I also supported Amtrak
reauthorization, particularly in the FAST Act that I helped the
passage of.
Senator Blumenthal. What was the message that you were
trying to send? I don't see that in your testimony.
Mr. Rokita. Well, the message is that we all--it was in my
testimony, that we all could be fiscally responsible and Amtrak
is no exception.
Senator Blumenthal. Well, but, frankly, fiscal
responsibility is a matter of priorities. In your view, Amtrak
was of lesser priority than others.
Mr. Rokita. No, it's a high priority. Budgets are a matter
of priority. I completely agree with you, Senator.
Senator Blumenthal. Budgets set priorities.
Mr. Rokita. Budgets set priorities, correct. I'm familiar
with that. I'd just refer--in answer to your question, I'd
simply refer you to 49 U.S.C. Section 24101(b), where Congress,
most of us at the time, had put into statute Amtrak goals and
the first among them is to use its best business judgment in
acting to minimize U.S. Government subsidies.
So if that is statute, if that is the law of the land, that
should be our highest priority and that is reflective of my
votes.
Senator Blumenthal. Say that again.
Mr. Rokita. 49 U.S.C. 24101, Subsection (b), ``Amtrak shall
use its best business judgment in acting to minimize U.S.
Government subsidies.''
Senator Blumenthal. So why would you vote against Amtrak
funding simply because of that statute?
Mr. Rokita. Well, funding is a government subsidy.
Senator Blumenthal. Yes. But that doesn't mean you should
vote against Amtrak funding when that subsidy is necessary to
provide service to millions and millions of Americans.
You know, we can go back and forth on this, but----
Mr. Rokita. As you said, yes.
Senator Blumenthal.--I'm--if you had said to me, well, my
view will be different, I will be firmly committed to Amtrak,
I'm in favor of adequate funding, I believe in fiscal
responsibility, but Amtrak must be a priority for this nation,
that's the kind of answer I was looking for and not a citation
to some Federal statute that, frankly, doesn't justify voting
against it.
Mr. Rokita. Well, Senator, I would say just if you could
refer to my written testimony and my oral testimony and the
fact of the matter is on the Board of Amtrak, it's my job to
make sure that the law's followed and that the priorities of
Congress are met.
So it's really your funding decision now. It's my job to--
--
Senator Blumenthal. Will you support----
Mr. Rokita. And it's my job to implement that funding in
the most efficient way possible.
Senator Blumenthal. Will you support full Federal
investment in Amtrak?
Mr. Rokita. That's the decision for Congress to make. Once
I get whatever funding decision you all make, then it'll be my
job to utilize that funding to the best, most efficient use,
following the law.
Senator Blumenthal. Will you recommend to us the amounts of
money that are necessary to make Amtrak a full service
reliable, safe form of transportation for our nation?
Mr. Rokita. Thank you for the question, Senator.
Again, if confirmed, this is all subject to confirmation, I
will be responsive to every member of this committee, to every
Member of Congress, and as a former fellow Member of Congress,
I'll be responsive in a timely fashion even to the point of
giving you deadlines for my response.
I've given every staff member that asked for it and every
Senator that asked for it my personal solemn oath already and
that's the kind of attitude and approach I like to bring to the
Board, if confirmed. So, yes, I will be your partner in making
sure----
Senator Blumenthal. Will you be more than a neutral
partner? I'm really looking for advocates for rail
transportation in this country and there is no better position
to be an advocate than as a member of the Board of Amtrak, our
national rail service.
If you're going to be a neutral manager and say whatever
Congress gives us, I'll try to do the best to spend wisely,
that's one thing. If you're going to be an advocate for
expanding and enhancing our rail service, that's what a board
member should be doing.
Mr. Rokita. Senator, thank you for your question.
I never used the word ``neutral.'' If you refer to my
testimony, I said I believe in a national system and I've been
a user of it my entire adult life. So I see the value of it
across our Nation.
Senator Blumenthal. And you will be an advocate?
Mr. Rokita. I'll be an advocate for following the law, if
confirmed, including whatever law you'd like to change.
Senator Blumenthal. Well, we're talking here not about the
statute that you're citing. We're talking about adequate
support from the Amtrak Board for sufficient funding to meet
the needs of our Nation for national rail system safety,
reliability, speed.
This nation is way behind other modern industrialized
nations in our rail service. We are in danger of becoming a
Third World country in terms of our rail service if we fail,
and I say if we fail, to provide sufficient support and funding
and an Amtrak Board member who says he or she is responsive to
Congress is a welcomed attribute but I'm looking for a vigorous
and staunch advocate for financial support for our national
rail service.
Let me ask briefly, if I may, the three nominees of the
National Transportation Safety Board.
Your work is so critical to the safety of our Nation's
transportation system. You have proposed in the past, the NTSB
has suggested many recommendations. Unfortunately, many have
not been followed by the relevant agencies.
Would you have a suggestion for us as to what Congress
should be doing and maybe what you can be doing more vigorously
in the future to make sure those recommendations are followed?
I'll propose it to all of you in whatever order you want to
answer it.
Ms. Homendy. Senator, first, let me say that Congress has
included many of the NTSB's safety recommendations in
legislation and I just want to say including PTC, and I thank
you for your leadership and your support of our
recommendations.
We do work actively with Federal agencies to encourage them
to adopt our safety recommendations. We have issued thousands
of recommendations since our creation in 1967, although 82
percent of those have been adopted favorably. So our focus is,
on our Most Wanted List, the other 18 percent, the remaining
issues, and I feel like what Congress does is crucial when it
comes to safety recommendations.
You bring our recommendations up at hearings, talking with
different entities, working with the Federal agencies to
encourage them to adopt our recommendations, and then, of
course, including them in legislation. So we appreciate all
your efforts and all of us, I think, look forward to continuing
to work with you on that.
Senator Blumenthal. Mr. Sumwalt.
Mr. Sumwalt. She basically said what I would say, but we
appreciate your vigorous oversight of these DOT modal agencies
and, as Member Homendy pointed out, many times when you're
drafting legislation, you look at NTSB recommendations and
include them in legislation and that works.
Senator Blumenthal. I agree with you that legislation is
important, but in some ways legislation is often a last resort.
The relevant agencies could adopt many of these
recommendations without additional legislation. So we'll
continue to advance or seek to advance those recommendations
that you make based on facts that are uncovered during your
investigations. These recommendations are not out of the ether.
They are fact-based. They are science-based, and I appreciate
all the great work that your agency does, and I noted in your
testimony, Ms. Homendy, your tribute to the staff that works
there and having visited the agency and having worked with them
and observed what they do in Investigation, I want to join in
thanking them, as well.
And I'm very hopeful that we are on a good path toward
positive train control. I think that Congress has seen the
light and recognized the importance of positive train control
and I hope that the industry--I think it has, as well.
I have raised with Secretary Chao and other leaders of the
Department of Transportation the question of how we persuade
agencies to act more vigorously and I know that you have an
investigation, I believe you do, underway with regard to the
Boeing 737 MAX.
Could you describe the status of that investigation?
Mr. Sumwalt. Yes.
Senator Blumenthal. And I apologize if I'm duplicating
other questions.
Mr. Sumwalt. Senator Blumenthal, thank you for that
question.
Of course, I testified right here in this room before the
Aviation Subcommittee, your Aviation and Space Subcommittee,
which you were present, and so we are, as you know, we are not
leading the investigations for each of those because the
Ethiopian and Indonesian Governments are.
However, we are acting as an accredited representative to
each of their investigations in accordance with international
protocols.
There are really three things that the NTSB is doing. We
are, first, we are ensuring that those agencies, the Ethiopian
accident investigation agency as well as Indonesia, we are
ensuring that they are getting what they need, whether it's
from the NTSB, from Boeing, from the FAA. We are a conduit, and
also we're making sure there's a flow of information coming
back to those respective organizations to make sure that Boeing
and the FAA are aware of the status of the investigations.
We want to make sure that those investigative authorities
are conducting competent investigations in accordance with ICAO
Annex 13.
The second thing we're doing is taking a big picture view.
We're monitoring what they are doing to make sure that their
actions are appropriate and, third, we are evaluating the
design certification issues and we will let the facts drive us,
but I'm told that our staff is working on a recommendation
package that I would suspect we would have out in the next 60
days regarding design certification issues.
Senator Blumenthal. I apologize because I am going to again
have to call a recess. Senator Cantwell is coming back. I thank
you all for your testimony.
On cue, I'm going to yield to Senator Cantwell, and I thank
you, Senator, and thank you all for your testimony.
Thank you.
Senator Cantwell. Thank you, and I apologize for the voting
schedule and members being back and forth. You all are
important witnesses today. So so many important things that we
need to go over.
I wanted to, Ms. Homendy, talk about important rule of
working together on a bipartisan basis for the FAA. The FAA
promulgated new flight and duty rules that took effect in 2014.
The new rules updated the patchwork system of regulation that
preceded it, and they have, in my opinion, been an improvement.
Do you share my view that regarding the value of the FAA's
flight and duty rules for airline pilots?
Ms. Homendy. Yes, I believe the flight and duty rules
should apply equally to cargo pilots. There should not be an
exemption for cargo pilots. Fatigue affects you no matter
whether you are transporting passengers or cargo.
Senator Cantwell. Thank you.
Mr. Graham, the circumstances under which the investigation
involving the 737 MAX highlight the substantial reliance on
technology and automation, and as you know, preliminary
findings suggest that the automated Max system contributed to
the accidents that happened.
Technology and automation are wonderful tools but they have
to be implemented and driven by human interaction. So there are
risks there.
As a highly experienced pilot yourself, what are your views
about this issue of pilot and human interaction and what we can
do to improve it?
Mr. Graham. Thank you for that question, Senator.
Yes. It's very important any time you introduce any kind of
new technologies into the cockpit that you make sure that crews
are well trained in that new technology and, importantly, they
need to know how the system works, how to operate it, what the
limitations are, and then when it doesn't work, they need to
know how to fly the aircraft or not use that system and go to
the lower level of automation.
So with that, it's critical for manufacturers to get that
information out and make it available. It's also very critical,
whether it's the regulator or the operator itself, that they
basically do risk management or change management with the new
piece of equipment before it's implemented into their fleet and
do the appropriate training.
Senator Cantwell. Thank you.
Mr. Rokita, the Amtrak funding is a very important issue
and I know as a member, you voted to end Federal funding for
Amtrak.
So are Federal investments in Amtrak necessary for
continuing passenger rail service in rural areas and, yes, let
me ask that first.
Mr. Rokita. Yes. Thank you, Mr. Chairman, Ranking Member
Cantwell, for the question.
Absolutely in the near term for sure, especially in rural
areas. I believe in fiscal responsibility, as do you, and I
also believe that my votes against these funding provisions
sent a message to Amtrak and sometimes there is--I was talking
or explaining to Senator Blumenthal we're limited to yes, no,
or present, and I thought the votes, while not successful, by
the way, brought some positive change, and I also did vote to
reauthorize Amtrak, particularly my last time in Congress,
would have been the FAST Act that I believe you supported, as
well.
So as I testified, I believe in a national system. I
believe in smart capital investment, and I mentioned to you in
my testimony I appreciate that same position.
Senator Cantwell. Thank you.
While Amtrak has implemented PTC on almost all of the
tracks that it owns, the NTSB, which we had before us earlier
this month, remained concerned about the FRA's ``granting
exemptions to PTC, including more than 1,400 miles of freight
railroad-owned track on which Amtrak operates.''
So do you support a plan to make sure that we do something
about those tracks, in addition to PTC?
Mr. Rokita. Mr. Chairman, Ranking Member Cantwell, Members
of the Committee, I do. I support PTC or its equivalent. I
believe that's the position at Amtrak. Subject to confirmation,
I'll be able to learn more.
I also would appreciate getting the direction of this
committee and other Members of Congress on that and the more
specific you can be in that direction I could take that
specificity to the Board and make it a reality.
Senator Cantwell. Well, I think at least Ms. Homendy and I
are both for making sure the FRA does its job and not to allow
exemptions. We have seen the challenges that this brings and we
think--look, we have a lot of congestion and a lot of product
to move.
One thing I'm really clear about on this committee is I
want to see more investment in port and rail activities. Why?
Because we have a lot of U.S. product we're trying to get to
market and the congestion and challenges facing us in that area
are growing by the day. So we definitely need more
infrastructure investment.
We also need to make sure that those tracks are safe and
that's what I want FRA to give us some certainty on.
OK. Mr. Steff, I feel like since you've all been here I
should definitely ask you all a question, but I'll try to keep
my remarks short.
I am concerned about the President's tariff approach to the
issues that we face and obviously I mentioned in my statement
how important an export economy is for the future or at least I
believe that our economy has been based on that and the fact
that we have so many more markets to open up.
What do you see as the key tools by which you can help us
increase export opportunities?
Mr. Steff. Thank you, Senator. I really see a four-pillared
approach to this.
One would be the trade promotion activities in which the
men and women of the U.S. Foreign and Commercial Service, you
know, conduct every day. We've seen these individuals open up
new markets for small- and medium-sized enterprises, of which
there are not enough small businesses exporting. It's estimated
that about 1 percent of small businesses in the U.S. do export.
So we look forward to getting more small businesses exporting.
Another way that I would look at it and the second pillar
would be advocacy efforts on behalf of those companies looking
to compete for foreign government procurements, supporting
those, you know, manufacturers that are actually looking to
supply product to, you know, foreign governments that often
offer tenders. That is a critical piece of it.
A third pillar is the Select USA Investment, the FDI
investment that we've seen, you know, pour in to the country.
That helps complement the domestic manufacturing base and the
team has done an outstanding job with over 3,300 registrants
and 1,200 vetted investors that came to our event in June 9
through 12 of this year.
And the last is, as we hear about trade barriers in other
foreign markets, we often hear from these small businesses
about, you know, the customs issues or standards issues that
are prohibiting U.S. product from entering those countries.
Those are reported back to the professionals in Global Markets
and we look forward to tackling those issues.
Senator Cantwell. Thank you. We're all for capacity-
building in that regard and making sure that we have enough
infrastructure to address those issues, given how much market
is outside the United States.
Do you support the United States having a credit assistance
arm, like the EXIM Bank?
Mr. Steff. Sure. We've heard from many manufacturers that
having the ability to provide for financing definitely helps
their exports and, you know, it's certainly something that, you
know, myself and others were very excited to see a quorum once
again on that board. It's a very critical piece in my view.
Senator Cantwell. Thank you.
Mr. Bentzel, have you had any questions today?
Mr. Bentzel. No, not yet.
Senator Cantwell. OK. Well, let's change that.
[Laughter.]
Senator Cantwell. I certainly appreciate your willingness
to be on the Federal Maritime Commission. A couple of issues
that I feel like we need to deal with here is workforce issues.
The maritime industry for the United States very strong
opportunity but not necessarily connecting on how to get a
workforce that is--I don't know if we're not evangelizing how
much work needs to be done or if we're just not connecting to
the right sectors, but at least in the Pacific Northwest, and
we had testimony at one of our hearings, that there are well-
paying, in some instances six-figure jobs that people just
don't--that we have a gap.
So what do you think we need to do to strengthen the
maritime workforce in the United States, and, second, could you
comment on the Nation's necessity in understanding the impacts
of the opening up of the Northwest Passage in the Arctic with
the new transportation route and what the country needs to do
to prepare for that?
Mr. Bentzel. It's a booming economy, the maritime economy,
especially your area of the country, and so since it's largely
containerized, it's sort of gone from mind and sight and people
don't understand what's going on there as much. It's sort of
confined to a few locations.
We have to work harder to educate the public about the
opportunities. These are engineering jobs. These are good blue
collar jobs, and I don't think we really publicize their
availability or the need that we're going to have in the
future. There's going to be growth in this industry. So we have
failed to achieve awareness of this yet.
It's something that they wrestle with more on the U.S.-flag
side where we have a very small presence in shipping, but on
the port side itself, there's going to be exponential growth.
Educating the public that there are all sorts of economic
opportunities other than longshoremen's work, it's in driving,
it's logistics management, IT law and in all sorts of
affiliated industries that support shipping.
I do think we could take more advantage of our waterways to
do subsequent movements from our major ports to alleviate
congestion, but we have a big challenge in terms of achieving a
greater understanding of what we'll need in this area.
The Northwest Passage is very intriguing. We're not there
yet. There are plans to do large-scale icebreaking services
that the Russians and foreign nations are looking at to achieve
the movement of the next generation of large container ships,
and the cost savings are substantial in terms of fuel.
So global warming has potential implications on
transportation and what they do. They are still trying to set
up the infrastructure that they're going to need for this. It's
not there yet. I don't feel that they have the safety, the
communications systems in play, and other features that you
need to ship safely but----
Senator Cantwell. Do you think the Russians are going to
wait for that?
Mr. Bentzel. No, the Russians have plans to set up a
service that will provide icebreaking for large convoys of
ships and that's what they're doing.
Senator Cantwell. And so don't you think we should have an
alternative or at least plan something that we think is the way
the United States is going to----
Mr. Bentzel. I think we should have more icebreaking
services and we should come up with a plan on how to maximize
both whatever we choose to do in terms of resources or
fisheries or communications. So I believe that we need to
invest in this area.
Senator Cantwell. Well, thank you, and thank you for adding
the word ``fisheries'' because I definitely think that people
forget that, you know, fisheries can be another area of dispute
and if you're not there and you're not providing the services,
I think that those fisheries disputes will get a lot more
complicated.
Mr. Bentzel. I agree. I think there are a lot of challenges
there. I think your state is going to be a landing point for
whatever happens from the Northern tier.
Senator Cantwell. Thank you. We agree. I agree with that
and I think our state agrees with that, although I would say
even there, I'm not sure that, you know, that we have put the
right focus on what we need to do as the United States to
participate in that opening and opportunity and so if we're
going to see, as you say, vessels move through there and change
the way trade is done because they can save so much fuel on
that quicker route and yet we're not helping to maintain and
build that highway, I think it's going to put us in a
complicated place.
Anyway, I think we'll have many conversations about this as
a committee and I know the Chair is committed and I know our
colleagues from Alaska and the East Coast are committed. So
we'll see.
Mr. Kratsios, did you get a question today?
Mr. Kratsios. Senator, I did not, no.
Senator Cantwell. OK. Well, we can't let that go then.
What are you saying are the top priorities for the office
as far as science and technology? What are you pinpointing? I
missed your actual testimony.
Mr. Kratsios. No worries. Thank you so much, Senator, for
that important question.
In the realm of technology, we have essentially focused on
ensuring American leadership in emerging tech over the past two
years. What we've attempted to do is ensure that America leads
in the next great technologies that are going to drive economic
growth and ensure American leadership.
The three that we have focused primarily on is what the
President mentioned in the most recent State of the Union as
the Industries of the Future and these are artificial
intelligence, quantum information science, and 5G or advanced
connectivity.
In these areas, we've developed national strategies or have
begun executing on legislation that was passed here in
Congress. On the AI front, we launched the American AI
Initiative by Executive Order on February 11. This provides the
national whole of government approach to ensuring American
leadership in AI, with components of it including R&D
coordination, workforce development, and also removing
regulatory barriers to AI innovation.
The second piece of the agenda is structured around our
Quantum Initiative, which was the result of bipartisan
legislation that was passed and signed into law in December of
last year. At OSTP, we're executing on that legislation. We
established our National Coordination Office for Quantum just a
few short months ago and we continue to deliver on what that
legislation asks for.
And last, from OSTP's standpoint, we have a very strong
emphasis on American leadership in 5G and one of the things
that our office is focused on is ensuring that the deployment
of 5G in the United States happens as quickly and as safely as
possible and it's something that we work with a lot of our
colleagues across the interagency from Commerce and across the
White House to make sure that happens.
Senator Cantwell. So could you define safely for us because
obviously there's a whirlwind of debate going on now about
Huawei and security? I know you're not onboard yet, but what
are your viewpoints on how we solve that issue?
Mr. Kratsios. Yes. Thank you so much.
I think one of the biggest concerns we have is ensuring
that the actual hardware that becomes part of our national
network comes from places or companies that we can trust and
ensure that the actual build-out itself is one that can be
sustainably safe for years to come and we continue to want to
ensure that the actual hardware that is put into the networks
by our private sector companies are from vendors and providers
that we believe are safe.
Senator Cantwell. So it's a challenge to do that from a
company and a government that definitely believes in a back
door. Is that your point?
Mr. Kratsios. Yes, I believe it's extraordinarily
challenging and I think this is for some of our larger
companies, I think in some ways it can be easier. They have the
resources to be able to identify the types of hardware that
would make sense for their networks, but we as a country must
come together and support some of our more rural providers to
ensure that they have the resources and the assistance they
need to make sure that the networks they develop actually are
safe, as well.
Senator Cantwell. I look forward to discussing that with
you because I agree. We have to make safe networks and we can't
just let those who are at the mercy of someone who wants to
come along and propagate this technology to take advantage of
some of our rural communities. So thank you for that.
And Senator Young and I have an AI bill that is basically
helping to empower your office and the government to look at
the impacts of AI for the future. We definitely want this to be
discussed. We think the best thing to do is to now have a
national discussion about the opportunities, things like
cybersecurity and how great AI could be in helping us with
that, but also to talk about the impacts that it could have on
the workforce and better discuss that and better prepare for
that. So we'll look forward to working with you on that.
So I think are we closing out? I want to thank all of the
witnesses for being here and for your willingness to serve and
those who have been serving, thank you, and this hearing is
adjourned.
Oh, before it's adjourned, before I gavel, I will just say
the record will remain open for two days and during this time,
Senators are asked to submit questions for the record with the
final submission being the close of business Friday, July 26.
The Committee asks the witnesses that, upon your receipt of
any questions, that you would submit them for the record and
answer the Committee as soon as possible by the close of
business July 31, 2019.
Senator Wicker. And with that, we are adjourned.
[Whereupon, at 12:40 p.m., the hearing was adjourned.]
A P P E N D I X
Response to Written Questions Submitted by Hon. Maria Cantwell to
Michael Graham
NTSB ``Most Wanted List'' for Safety Improvements. The NTSB
describes its ``Most Wanted List'' for safety improvements as the
agency's premier advocacy tool. This list identifies the top safety
improvements that can be made across all transportation modes to
prevent accidents, minimize injuries, and save lives. Yet, some NTSB
safety recommendations remain open and unresolved for years and years.
Question 1. What more can be done to help raise awareness of NTSB's
safety recommendations and to encourage their swift adoption by
transportation agencies and private entities?
Answer. Senator, I am committed to NTSB's safety mission and seeing
its recommendations favorably acted upon. Should I be confirmed I will
be actively engaged in collaboration and awareness efforts targeting
operators and industry to be proactive about implementing safety
recommendations. They should not wait for regulations or an accident to
move them to action. I have found in my experience that voluntary
adoption of safety best practices and recommendations to be the most
effective means of closing gaps in safety. I also commit to working
with Congress should additional measures be necessary to address any
safety issue.
Positive Train Control (``PTC''). Since the NTSB first recommended
positive train control (``PTC'') technology nearly 50 years ago, there
have been more than 150 accidents that this lifesaving technology could
have prevented.
One of these was the Amtrak 501 derailment in my home state in
2017.
Question 2. Do you agree with me that there should be no more
extensions of the PTC implementation deadline?
Answer. Senator, I agree there should be no more extensions of the
PTC implementation deadline. As you stated, the first recommendation
came nearly 50 years ago. PTC is a proven safety technology that
provides a system capable of reliably and functionally preventing
train-to-train collisions, overspeed derailments, incursions into
established work zone limits and the movement of a train through main
line switch in the wrong position. Without PTC, we are at risk for
another tragic accident.
I share your interest and, if confirmed, look forward to working
with you on this and other safety issues.
______
Response to Written Question Submitted by Hon. Tom Udall to
Michael Graham
Question. Drunk driving accounts for 1/3rd of all traffic
fatalities every year. What are some ways that NTSB can use its
expertise to reduce these tragic accidents?
Answer. The NTSB has made several recommendations to address
driving under the influence (DUI) and other drug impairment. First,
states should establish a per se blood alcohol content (BAC) limit of
0.05 percent or lower for all drivers who are not already required to
adhere to lower BAC limits. This alone is estimated to reduce DUI
related deaths by over 10 percent. Second, states should require
alcohol ignition interlock devices for all individuals convicted of DUI
offenses. Third, Federal regulators should develop and disseminate to
states a common standard of practice for drug toxicology testing. And,
at the national level implement an aggressive education campaign on the
effects of drug and alcohol on driving. If confirmed, I would make it a
priority to advocate the adoption of these recommendations at all
levels and commit to working with you and Congress on eliminating
alcohol and drug impairment in all modes of transportation.
______
Response to Written Question Submitted by Hon. Tammy Duckworth to
Michael Graham
Question. National Transportation Safety Board investigations of
school bus crashes has led to a number of recommendations for
consideration by Congress, the Administration and States to improve
safety. NTSB has recommended installing 3-point safety belts, automatic
emergency braking, event data recorders, electronic stability controls,
fire-resistant materials and fire suppression systems on school buses.
Please describe the safety benefits of implementing these
regulations. Do you concur with these recommendations? Do you agree
that passing a Federal law to implement these recommendations would
improve safety for school bus occupants and roadway users?
Answer. Senator, I understand and share your concern for school bus
safety. While school buses are safe, preventable death and injury still
occur. The recommendations you have sited would most definitely improve
school bus safety and save lives.
In my experience, I have found voluntary implementation can be more
effective and move more quickly than the legislative and rulemaking
process. If confirmed, I am committed to working with federal, state
and local agencies as well as private entities on implementing these
safety recommendations. I would also be happy to work with you on
school bus safety and other safety issues, if confirmed.
______
Response to Written Questions Submitted by Hon. Jon Tester to
Michael Graham
Aircraft Certification Process. The way I see it, the two Boeing
crashes were avoidable. Perhaps it was a perfect storm of flawed
decisions, but 346 people died because of those decisions.
Question 1. Do you think that these crashes confirm that our
current system of aircraft design and certification has failed us? What
changes in the certification process are needed? What changes are
needed for FAA?
Answer. Senator, I share your concern with the crashes and possible
issues with the aircraft design and certification process. I understand
that the Indonesian and Ethiopian investigations are ongoing, in
accordance with international agreements, and no conclusions have been
drawn at this time. I know the NTSB has appointed an accredited
representative to each investigation and is also investigating the
certification process of this aircraft. I maintain the same urgency as
you to identify and close any gaps in the U.S. processes which may have
contributed to these tragedies. While I am not privy to the
investigative information, should I be confirmed, I am committed to
completing these investigations and issuing all necessary safety
recommendations. Further, I will work with Congress, the FAA and
industry to implement them.
Boeing 737 MAX Re-certification. I know that NTSB and others are
still gathering facts about the crashes and you do want to be
deliberate in your findings.
Question 2. That said, given that the first Boeing 737 entered
service 52 years ago and there have been multiple changes in the
plane's size, distance and capabilities since then, should the 737 MAX
8 undergo its own recertification process?
Answer. Senator, since the investigations are ongoing, no
conclusions have been drawn. Recommendations will be issued if/when
issues are identified.
If confirmed, I am committed to working with Congress on any safety
recommendations that come out of these accidents or any other safety
issues.
Culture of Safety.
Question 3. What advice would you give to the next FAA
Administrator on best practices for ensuring a robust a culture of
safety within the FAA organization and across the aviation industry?
Answer. Senator, I would recommend the FAA Administrator continue
to support the ``compliance philosophy'' that was implemented a couple
years ago. This is a culture the FAA needs to cultivate, to encourage
the sharing of any single error, allowing for system wide corrections,
without fear of reprisal. It has opened meaningful dialogue and
collaboration on safety issues between operators and the FAA. Also, I
recommend the Administrator continue to advance any other voluntary
reporting programs which provide a consequence free environment for
operators and controllers to report unintentional errors and safety
problems without fear of retribution by the FAA or their company.
Both of these best practices provide significant safety data for
the FAA and the operator's Aviation Safety Action Program (ASAP). The
de-identified data can then be shared with the Aviation Safety
Information Analysis and Sharing (ASIAS) program, which analyzes and
trends the data to be shared with the FAA and all operators for
awareness and safety improvement. While there remains room for
improvement, these two programs alone have built a positive safety
relationship between the FAA and industry, and built a more positive
safety culture. Ultimately, safety is team effort that requires
sufficient oversight as well as buy-in from operators.
______
Response to Written Questions Submitted by Hon. Maria Cantwell to
Hon. Jennifer Homendy
NTSB ``Most Wanted List'' for Safety Improvements. The NTSB
describes its ``Most Wanted List'' for safety improvements as the
agency's premier advocacy tool. This list identifies the top safety
improvements that can be made across all transportation modes to
prevent accidents, minimize injuries, and save lives. Yet, some NTSB
safety recommendations remain open and unresolved for years and years.
Question 1. What more can be done to help raise awareness of NTSB's
safety recommendations and to encourage their swift adoption by
transportation agencies and private entities?
Answer. As of June 30, 2019, there were a total of 586 open safety
recommendations to the U.S. Department of Transportation (8, Office of
the Secretary; 245, Federal Aviation Administration; 108, National
Highway Traffic Safety Administration; 89, Federal Railroad
Administration; 50, Pipeline and Hazardous Materials Safety
Administration; 32, Federal Highway Administration; 28, Federal Motor
Carrier Safety Administration; 26, Federal Transit Administration) and
81 open safety recommendations to the United States Coast Guard.
The NTSB must continue to work with DOT, modal administrations,
state and local governments, and private entities to encourage swift
adoption of these recommendations. We use several tools to accomplish
this: written communications to recipients which are posted on our
website, meetings with recipients, reports to Congress, hearings at the
Federal and state levels, media, and the Most Wanted List of
Transportation Safety Improvements (MWL).
Since joining the Board in August 2018, I have worked hard to urge
recipients to adopt our recommendations, with a particular focus on
full implementation of positive train control, reducing speeding-
related crashes, ending alcohol and other drug impairment, and
strengthening occupant protection, all of which are reflected on the
MWL.
If confirmed, I will continue to encourage recipients to adopt our
recommendations and to raise public awareness of our recommendations. I
will also continue to ensure Congress is aware of the status of our
recommendations.
Impaired Driving. The NTSB has listed ending impaired driving on
its 2019-2020 Most Wanted List of Transportation Safety Improvements
and supports lowering the threshold for drunk driving from .08 to .05
percent blood alcohol content (BAC).
Question 2. What specific steps do you advocate in this area?
Answer. Impairment is a contributing factor in far too many
transportation accidents across all modes, with alcohol impairment as a
leading cause of highway crashes. We want to continue to see states
adopt per se BAC limits of .05 percent or below, as well as broaden
their use of other effective countermeasures, like ignition interlocks
for all offenders and high-visibility enforcement. Utah was the first
state to reduce its BAC limit to .05 this past December. Other states
are considering similar action, including California, Michigan, and New
York.
______
Response to Written Questions Submitted by Hon. Tom Udall to
Hon. Jennifer Homendy
Question 1. As you are aware, I have long been active on ways that
we can reduce the number of drunk driving fatalities. I know that the
NTSB has listed ending impaired driving on its 2019-2020 Most Wanted
List of Transportation Safety Improvements and supports lowering the
threshold for drunk driving from .08 to .05 percent blood alcohol
content (BAC). Why is such an action critical to reducing the thousands
of deaths caused each year by a drunk driver?
Answer. Sen. Udall, thank you for your efforts to close this gap in
safety. As you know, impairment is a contributing factor in far too
many accidents across all modes of transportation, with alcohol
impairment as a leading cause of highway crashes. According to the
National Highway Traffic Safety Administration (NHTSA), 120 people died
in alcohol-impaired crashes in New Mexico in 2017, or 32 percent of all
traffic fatalities in the state. And that's just fatalities; thousands
more have suffered life-altering injuries.
Nationwide, the numbers are even more staggering: more than 10,000
people die annually on our Nation's roads in alcohol-involved crashes;
that's 29 people every single day, or 1 every 48 minutes.
The real tragedy is that these deaths are 100 percent preventable.
The NTSB recommends that states adopt per se BAC limits of 0.05
percent or lower, as well as broaden their use of other effective
countermeasures, such as requiring ignition interlock devices for all
offenders and implementing high-visibility enforcement programs. These
recommendations are included in our Most Wanted List of Transportation
Improvements for 2019-2020 (MWL) and are highlighted in our 2013
Reaching Zero report.
Research shows that lowering BAC levels to 0.05 will result in an
estimated 11 percent decline in fatal alcohol crashes and save at least
1,700 lives annually in the United States.
Utah was the first state to lower the BAC from 0.08 to 0.05 this
past December. Other states, including California, Michigan, and New
York are considering similar action. Our MWL and 2013 report includes a
recommendation for NHTSA to seek legislative authority to award
incentive grants to states to help them establish a per se BAC limit of
0.05 or lower. See https://www.ntsb.gov/safety/safety-studies/Pages/
SR1301.aspx for a full list of our 2013 Reaching Zero recommendations.
Question 2. Driverless cars are currently being tested on public
roads and some vehicles are being sold with low levels of autonomous
technology. Several have already been involved in serious and fatal
crashes. Once such crash that occurred in Williston, Florida in 2016
involving a Tesla Model S was thoroughly investigated by the NTSB. What
are some of the flaws that the NTSB identified in that crash
investigation?
Answer. The NTSB issued 13 findings as a result of the 2016
Williston, Florida, crash involving a semitrailer and a Tesla Model S,
including:
The Tesla's automated vehicle (AV) control system was not
designed to, and did not, identify the truck crossing the car's
path or recognize the impending crash; consequently, the
Autopilot system did not reduce the car's velocity, the forward
collision warning system did not provide an alert, and the
automatic emergency braking did not activate.
If AV control systems do not automatically restrict their
own operation to those conditions for which they were designed
and are appropriate, such as roadway type, geographic location,
and speed range, the risk of driver misuse remains.
The Tesla driver's pattern of use of the Autopilot system
indicated an overreliance on the automation and a lack of
understanding of system limitations.
The way that the Tesla Autopilot system monitored and
responded to the driver's interaction with the steering wheel
was not an effective method of ensuring driver engagement.
Without the manufacturer's involvement, vehicle performance
data associated with highly automated systems on vehicles
involved in crashes cannot be independently analyzed or
verified. A standardized set of retrievable data is needed to
enable independent assessment of automated vehicle safety and
to foster automation system improvements.
The report also raised concerns with the lack of Federal leadership
and standards with respect to AV's and Level 2 vehicles. In September
2016, just four months after the Williston crash, NHTSA released its AV
Policy, which was focused on Levels 3 through 5, or highly automated
vehicles (HAV), not Level 2's. Manufacturers are not required to follow
the vehicle performance guidance in the policy--as guidance, it's
completely voluntary.
In 2018, the U.S. Department of Transportation (USDOT) updated its
Federal AV policy, again focusing only on HAV's. In response to a call
for comments, the NTSB once again raised concerns that NHTSA's proposed
AV policies, including manufacturers' safety self-assessments, testing,
validation of system safety, and AV reporting requirements, are
voluntary, showing a willingness to allow manufacturers and operational
entities to define safety.
The USDOT has an important responsibility to ensure the safe
development and deployment of AV technologies at all levels of
automation. NHTSA can and should provide this required safety
leadership and lead in all levels of automation by developing specific
standards and requirements.
Question 3. Why is it so critical that the recommendations issued
in the September 2017 report be met in order to help ensure the safety
of this developing technology?
Answer. The NTSB's recommendations, if implemented, will help
manufacturers and regulators identify and address any safety gaps as
new technologies are developed.
Motor vehicle crashes are a leading cause of death and injury in
the United States. Many of these crashes could have been prevented if
collision avoidance technologies, which are the building blocks of
AV's, such as forward collision avoidance and automated braking, were
installed. That is why ``Increasing Implementation of Collision
Avoidance Systems in All New Highway Vehicles'' is on the MWL for 2019-
2020.
Question 4. As an expert in automation across modes, what problems
have you seen arise in crashes involving autonomous or partially-
automated technology?
Answer. When it comes to automation, it's important that drivers
and all commercial transportation workers (aviation, highway, rail,
marine, and pipeline) have a clear and thorough understanding of how
the technology or system works and system limitations (i.e., training).
Additionally, all vehicle operators should not be lulled into a false
sense of safety, they must remain vigilant, ready to take over if an
automated system fails. In addition, the Federal Government has a
responsibility to set the highest standards when it comes to safety.
Safety should not be voluntary.
______
Response to Written Questions Submitted by Hon. Jon Tester to
Hon. Jennifer Homendy
Boeing 737 MAX Re-certification. I know that NTSB and others are
still gathering facts about the crashes and you do want to be
deliberate in your findings.
Question 1. That said, given that the first Boeing 737 entered
service 52 years ago and there have been multiple changes in the
plane's size, distance and capabilities since then, should the 737 MAX
8 undergo its own recertification process?
Answer. As the lead representative for the state of design and
manufacture of the aircraft, the NTSB is examining the original
certification process used to approve the Maneuvering Characteristics
Augmentation System (MCAS) function on the Boeing 737 MAX. This
investigative work is ongoing, and where deficiencies are identified,
the NTSB will make safety recommendations, as appropriate.
Culture of Safety.
Question 2. What advice would you give to the next FAA
Administrator on best practices for ensuring a robust a culture of
safety within the FAA organization and across the aviation industry?
Answer. There are 245 NTSB recommendations to the FAA that remain
open; several others have been closed--unacceptable. I encourage the
next FAA Administrator to work the NTSB to close these recommendations
acceptable.
If there were two crashes in the United States . . .
Question 3. If there were two crashes in the United States of the
same plane, is there anything that NTSB or others would be doing
differently than what is being done now? If yes, what would be
different?
Answer. If there were two crashes in the United States of the same
plane, the NTSB would be leading the investigation. ICAO Annex 13
requires that, as the states of occurrence, Indonesia and Ethiopia are
responsible for leading their respective investigations. However,
because the MAX 8 was designed, certified, and manufactured in the
United States, in accordance with ICAO Annex 13, the United States is
afforded the right to participate in both investigations. This enables
us to identify safety deficiencies that must be promptly addressed by
the FAA, the manufacturer, as well as others deemed appropriate, and
through NTSB safety recommendations, when needed.
______
Response to Written Questions Submitted by Hon. Maria Cantwell to
Hon. Robert L. Sumwalt III
NTSB ``Most Wanted List'' for Safety Improvements. The NTSB
describes its ``Most Wanted List'' for safety improvements as the
agency's premier advocacy tool. This list identifies the top safety
improvements that can be made across all transportation modes to
prevent accidents, minimize injuries, and save lives. Yet, some NTSB
safety recommendations remain open and unresolved for years and years.
Question 1. What more can be done to help raise awareness of NTSB's
safety recommendations and to encourage their swift adoption by
transportation agencies and private entities?
Answer. The purpose of the NTSB's Most Wanted List is to increase
awareness of and support for NTSB safety recommendations that have not
been implemented. It is the primary point of leverage to spur
recommendation recipients to action. It focuses on those issue areas
that need an extra push to get implemented to prevent accidents, reduce
injuries, and save lives.
In recent years, I have worked to improve the identification of
those issue areas for the Most Wanted List where the greatest
difference can be made to improve safety and focused advocacy efforts
in those areas. For example, the 2019-2020 Most Wanted List promotes 46
specific safety recommendations that can and should be implemented
during the next two years.
The NTSB must continue to work with the U.S. Department of
Transportation and its modal administrations, the Coast Guard, other
Federal agencies, state and local governments, industry, advocacy
organizations, and also with Congress to encourage implementation of
open recommendations. If confirmed, I will continue this campaign and
collaboration.
Autonomous Vehicles. Driverless cars are currently being tested on
public roads and some vehicles are even being sold with low levels of
autonomous technology. Several have already been involved in serious
and fatal crashes. One such crash that occurred in Williston, Florida
in 2016 was investigated by the NTSB.
Question 2. What issues have you seen arise in crashes involving
autonomous or partially-automated technology?
Answer. The NTSB has completed two investigations of crashes
involving vehicles operating under automated controls; four additional
crashes remain under investigation. Among the issues identified as
factors in both of the completed investigations is an overreliance on
automation and a lack of understanding of system limitations.
In general, I anticipate that automation in vehicles will improve
safety and reduce injuries and fatalities on our roadways. This will be
accomplished through the adoption of the autonomous building blocks,
such as crash avoidance technologies, and collectively with full
integration of autonomous vehicles. But there will be challenges as
those capabilities are developed and deployed. Ultimately, more data is
needed, and it is critical that the data associated with these systems
are collected, independently analyzed, and verified. This is needed to
enable independent assessment of automated vehicle safety and to foster
automation system improvements. The NTSB has issued related
recommendations.
______
Response to Written Question Submitted by Hon. Amy Klobuchar to
Hon. Robert L. Sumwalt III
Question. NTSB included reducing fatigue-related accidents on its
2019-2020 Most Wanted List of transportation safety improvements. I
have introduced legislation to apply the same rest requirements to
cargo pilots as commercial airlines, which would help ensure that cargo
plane pilots are sufficiently rested and alert before they fly.
Do you agree that cargo pilots and passenger pilots should operate
under the same rest requirements, and if so, what action will you to
take to ensure that the same rest rules apply to all pilots if you are
confirmed?
Answer. Yes, I do agree. As a former airline pilot who, although
not flying cargo, did my share of flying on the back side of the clock,
I know how fatiguing such a schedule can be. And, at the NTSB, we have
seen more than our share of accidents and crashes that involve fatigue.
If confirmed, I will continue to advocate for implementation of
NTSB safety recommendations that address fatigue risks, including
flight-and duty-time regulations covering cargo operations.
______
Response to Written Questions Submitted by Hon. Tom Udall to
Hon. Robert L. Sumwalt III
Question 1. As you are aware, I have long been active on ways that
we can reduce the number of drunk driving fatalities. I know that the
NTSB has listed ending impaired driving on its 2019-2020 Most Wanted
List of Transportation Safety Improvements and supports lowering the
threshold for drunk driving from .08 to .05 percent blood alcohol
content (BAC). Why is such an action critical to reducing the thousands
of deaths caused each year by a drunk driver?
Answer. Thank you for your longstanding efforts to reduce impaired
driving. As you are aware, alcohol-impaired driving accounts for around
10,000 deaths per year in this country. In the NTSB's 2013 Safety
Report, Reaching Zero: Actions to Eliminate Alcohol-Impaired Driving,
we noted studies that found an increased crash risk beginning at 0.04
BAC and nearly doubling by 0.08.
The study also noted that more than 100 countries across the globe,
including 25 of 27 European Union member countries, have established
maximum per se BAC limits of 0.05 or below, according to the World
Health Organization and the International Center for Alcohol Policies.
Our study, which I voted to approve, concluded that:
Blood alcohol concentration (BAC) levels higher than 0.05 are
viewed by respected traffic safety and public health
organizations around the world as posing unacceptable risk for
driving, and more than 100 countries have already established
per se BAC limits at or below 0.05.
Changing legal per se blood alcohol concentration (BAC) limits
from 0.08 to 0.05 or lower would lead to meaningful reductions
in crashes, injuries, and fatalities caused by alcohol-impaired
driving.
I supported theses findings then, and I support them now.
Question 2. Driverless cars are currently being tested on public
roads and some vehicles are being sold with low levels of autonomous
technology. Several have already been involved in serious and fatal
crashes. Once such crash that occurred in Williston, Florida in 2016
involving a Tesla Model S was thoroughly investigated by the NTSB. What
are some of the flaws that the NTSB identified in that crash
investigation?
Answer. One of the issues identified in that crash investigation
was that although Tesla didn't design the vehicle to be operated in
``Autopilot'' mode on secondary roads (such as the highway where the
crash occurred), the autopilot mode could actually be engaged on such
roadways. Instead, the vehicle was intended to be operated on limited
access roads, such as interstates, where vehicles can't cross directly
across the road. That limitation was significant, in my opinion,
because in this crash, the Tesla's automated vehicle control system was
not designed to detect crossing traffic. Therefore, when the 18-wheeler
crossed in front of the Tesla, the system did not detect it. Because
the driver was apparently inattentive, a tragic collision occurred when
the Tesla struck the side of the semitrailer then crossed underneath,
shearing off the car's roof. Tragically, the driver--the sole occupant
of the car--died in the crash. We issued a recommendation to automobile
manufacturers to implement safeguards to ensure their vehicle automated
control systems are only operated under the conditions for which they
were designed.
Our investigation also found that Tesla's system of determining
``driver engagement'' was not effective.
Question 3. Why is it so critical that the recommendations issued
in the September 2017 report be met in order to help ensure the safety
of this developing technology?
Answer. As someone once said, ``Our recommendations are written in
blood.'' They are based on accident and crash investigations. We feel
that it is vital that our recommendations be implemented to prevent
future accidents and crashes. This is especially important now, as the
automated vehicle technology is fledgling. Lessons learned and
implemented early will help improve safety of the entire self-driving
vehicle industry.
Question 4. As an expert in automation across modes, what problems
have you seen arise in crashes involving autonomous or partially-
automated technology?
Answer. As we've seen with introduction of automation in aviation,
automation redistributes workload of the operator. The operator's role
changes from a manipulator of the vehicle, to a monitor of the
vehicle's path and energy. However, the paradox is that humans are not
good at monitoring highly automated, highly reliable automated systems
for extended periods of time. Vehicle manufacturers must incorporate
means to keep the operator actively engaged in the control loop. If not
implemented properly, drivers, pilots, mariners, can develop
``automation complacency.'' In the Willison crash, although the NTSB
could not conclusively determine what the Tesla driver was doing, there
is ample evidence that he was not tending to the task of monitoring the
roadway for crossing traffic.
______
Response to Written Question Submitted by Hon. Tammy Duckworth to
Hon. Robert L. Sumwalt III
Question. National Transportation Safety Board investigations of
school bus crashes has led to a number of recommendations for
consideration by Congress, the Administration and States to improve
safety. NTSB has recommended installing 3-point safety belts, automatic
emergency braking, event data recorders, electronic stability controls,
fire-resistant materials and fire suppression systems on school buses.
Please describe the safety benefits of implementing these
regulations. Do you concur with these recommendations? Do you agree
that passing a Federal law to implement these recommendations would
improve safety for school bus occupants and roadway users?
Answer. School bus travel is one of the safest forms of
transportation in the United States. However, the NTSB continues to
investigate school bus crashes that result in preventable fatalities
and injuries.
I do concur with these recommendations and voted in favor of
adopting them. Improved occupant protection (including lap/shoulder
seat belts), driver oversight, pedestrian safety, fire protection, and
collision avoidance technologies are needed to prevent crashes, deaths,
and injuries on school buses, and our recommendations in these areas
should be implemented.
Regarding lap/shoulder belts, NTSB investigations have shown that
while compartmentalization has proven to be effective in reducing
occupant injuries in frontal and rear collisions, it is less effective
in preventing injuries in side impact and rollover crashes. Seat belts
(without the shoulder restraint) still can subject the occupant to
significant flailing and neck injuries. Therefore, we have recommended
lap/shoulder belts.
I welcome Congress' interest and attention in improving safety and,
if confirmed, look forward to continuing to work with you on these
issues.
______
Response to Written Questions Submitted by Hon. Jon Tester to
Hon. Robert L. Sumwalt III
Authority to Enforce NTSB Recommendations. During the unveiling of
this year's 2019-2020 Most Wanted List, you were quoted as saying ``We
at the NTSB can speak on these issues. . .can testify by invitation to
legislatures and to Congress, but we have no power of our own to act.
Question 1. Do you think that should change? Do you think NTSB
should have the authority to enforce your recommendations? Why/why not?
Answer. I believe that the independence of the NTSB is essential
for being able to identify deficiencies in the transportation system,
and that is why the NTSB has been an independent agency since the
implementation of the Independent Safety Board Act of 1974.
Our job, as I see it, is to identify safety deficiencies and issue
safety recommendations designed to correct those issues. Additional
operational and regulatory responsibilities could create conflicts of
interest and therefore impact the Agency's ability to focus solely on
the safety of the system and recommend improvements.
Aircraft Certification Process. The way I see it, the two Boeing
crashes were avoidable. Perhaps it was a perfect storm of flawed
decisions but 346 people died because of those decisions.
Question 2. Do you think that these crashes confirm that our
current system of aircraft design and certification has failed us? What
changes in the certification process are needed? What changes are
needed for FAA?
Answer. As you are aware, the crashes involving Lion Air and
Ethiopian Airlines are being investigated by the Indonesian and
Ethiopian governments, respectively. These investigations are ongoing
and no conclusions have been reached at this time. As the state of
design and certification of the 737, we are examining the U.S. design
certification process to ensure any deficiencies are captured and
addressed. I anticipate that within the next 60 days, the NTSB will
issue a set of recommendations related to our findings in this area.
I welcome Congress' interest and attention in improving safety and,
if confirmed, look forward to continuing to work with you on these
issues.
Boeing 737 MAX Re-certification. I know that NTSB and others are
still gathering facts about the crashes and you do want to be
deliberate in your findings.
Question 3. That said, given that the first Boeing 737 entered
service 52 years ago and there have been multiple changes in the
plane's size, distance and capabilities since then, should the 737 MAX
8 undergo its own recertification process?
Answer. The investigations into these crashes are ongoing and no
conclusions have been reached at this time. As the state of design and
certification of the 737, we are examining the U.S. design
certification process to ensure any deficiencies are captured and
addressed. I anticipate that within the next 60 days, the NTSB will
issue a set of recommendations related to our findings in this area.
I welcome Congress' interest and attention in improving safety and,
if confirmed, look forward to continuing to work with you on these
issues.
Culture of Safety.
Question 4. What advice would you give to the next FAA
Administrator on best practices for ensuring a robust culture of safety
within the FAA organization and across the aviation industry?
Answer. Literally one of the first things I did upon becoming the
head of the NTSB was to stress the importance of living our agency's
core values, which are Transparency, Excellence, Integrity, and
Independence. I've stressed to our staff that when making decisions, we
should refer to those values to make sure that what we are doing or
about to do is true to them. If not, we should rethink our course of
action and do something else. I believe these values provide the
guardrails for how we should operate. I've seen numerous organizations
move away from their values, which leads to problems. To the
Administrator, I would say that whatever values the FAA has, do
everything you can to live them. Just having them hanging on the wall
isn't enough; they have to be lived.
Always remember that the FAA's job is to be the regulator. The
responsibility of the regulator is to regulate and provide oversight.
Your ``customers'' aren't the airlines; they are not the OEMs; they are
not repair stations or airmen. The people you are there to serve are
the flying public. You are there to ensure that every time someone
steps onto an airplane, they are receiving the highest level of safety.
They are counting on you.
If there were two crashes in the United States . . .
Question 5. If there were two crashes in the United States of the
same plane, is there anything that NTSB or others would be doing
differently than what is being done now? If yes, what would be
different?
Answer. The primary difference would be that the NTSB would be the
lead investigative agency. Nevertheless, because the MAX 8 was designed
and manufactured in the United States, in accordance with ICAO Annex
13, the NTSB is actively participating in the Indonesian and Ethiopian
government investigations. Accordingly, the NTSB appointed accredited
representatives and is assisting in both ongoing investigations. I am
confident that each investigation is being conducted in accordance with
international protocols and best practices. Even though the NTSB is not
leading these investigations, safety recommendations can and will be
issued to address any identified safety issues, if necessary.
______
Response to Written Question Submitted by Hon. Jerry Moran to
Hon. Theodore (Todd) E. Rokita
Question. CEO Anderson has continually noted the importance of
looking toward urban areas as we start work on FAST Act
reauthorization. In a letter this past May, Mr. Anderson also noted
that Congress should consider ``city and state population size'' when
considering ``basic performance standards,'' as the Senate looks toward
FAST Reauthorization. This is particularly alarming for rural
communities who depend on this service, like many of my constituents
who utilize the Southwest Chief route.
Your testimony today mentioned your work on passage of the FAST Act
during your time in the U.S. House of Representatives and representing
a state that depends on Amtrak long-distance routes. Can you explain
the importance in protecting long-distance routes, particularly those
in rural communities?
Answer. I understand Amtrak is working on assessing numerous
markets for potential operational and financial viability. Considering
Congress' significant role in oversight with Amtrak, I'm informed that
this work is meant to help Congress determine how it can help Amtrak
modernize, evolve, expand to new markets, improve service to existing
markets, and increase service to more of their constituents. Part of
this discussion will be the future role of the NEC, state-support
routes and long distance in the larger transportation network. I
believe there is an important role for long-distance routes and I hope
to learn more, if confirmed, during my service on the Board about the
value these trains can bring to rural communities. As a former Member
of Congress, I represented a largely rural state, and saw much of this
first hand. To date, my meetings with various Senators and their
offices have been valuable in justifying the need for a nation-wide
network. If confirmed, my approach with Senate offices will be the same
open-ended and personal approach I have taken during this confirmation
process.
______
Response to Written Questions Submitted by Hon. Maria Cantwell to
Hon. Theodore (Todd) E. Rokita
Amtrak Safety Culture and Safety Management System (SMS). One month
before a fatal Amtrak derailment in DuPont, Washington in December
2017, the Chairman of the NTSB, Robert Sumwalt, provided an ominous
warning about Amtrak's safety culture. He said quote, ``Amtrak's safety
culture is failing, and is primed to fail again, until and unless
Amtrak changes the way it practices safety management.'' Amtrak CEO
Richard Anderson has testified before this committee that improving the
safety culture at Amtrak is one of his top priorities.
Question 1. As a member of the Amtrak board, will you fully support
efforts to improve Amtrak's safety culture, including ongoing efforts
to implement a safety management system, or SMS?
Answer. Yes. As my testimony at Committee indicated, I completely
agree that safety is and should remain Amtrak's highest priority. I
understand that Mr. Anderson has made significant strides in improving
Amtrak's safety culture and putting in place an industry standard
Safety Management System (SMS) overseen by Amtrak's Chief Safety
Officer, elevating this element of the company to the executive level.
I applaud Mr. Anderson's efforts and will continue to push for a strong
safety culture and continuous improvement in these systems. Safety is
an ongoing effort and, if confirmed, I will work with my Board
colleagues to support these critical actions.
Amtrak's Long-Distance Routes. Amtrak's long-distance routes are
important to Washington's rural communities. There are two long-
distance lines in my state, the Coast Starlight and the Empire Builder.
These lines serve 15 communities in my state, the majority being
smaller rural communities. Yet the administration has repeatedly
advocated for eliminating these long-distance routes. And last year,
Amtrak proposed replaced a portion of the Southwest Chief service with
bus service through Kansas, Colorado, and New Mexico.
Question 2. Why is it important to maintain Amtrak's network of
long-distance passenger service as a whole?
Answer. Long-distance service provides a critical link to many
communities across the United States. The existence of this service has
connected communities for decades. However, I understand from past
testimony that the Nation's demographics are shifting and that it's
important for Congress and Amtrak to look into how to improve the
current system that hasn't changed at any significant level since the
1970s. Amtrak customers, and your constituents, do and should expect
reliable, on-time transportation options. If confirmed, I hope to
provide that scrutiny on the Board.
Question 3. Will you assure this committee that you will support
continuing Amtrak's long-distance routes?
Answer. Yes. I will continue to support Amtrak's long-distance
routes and look forward to how Congress handles this issue in the next
surface transportation authorization.
Amtrak Funding. When serving in the U.S. House of Representatives,
you voted to end Federal funding to Amtrak.
Question 4. Without Federal funding, Amtrak would have difficulty
operating outside the Northeast Corridor. Should Amtrak only serve
areas where it makes a makes a profit from ticket revenue?
Answer. I believe in fiscal responsibility and I also believe that
my votes against these funding provisions sent a message to Amtrak that
they should be spending the taxpayer's money wisely. If confirmed, I
intend to bring that sense of responsibility to the American taxpayer
to this position and exercise the fiduciary responsibility of a member
of the Board. I did vote ultimately to support full passage of the FAST
Act of 2015, which included Amtrak reauthorization. In law, Amtrak is
required by Congress to attempt to run a profitable company to the best
of its ability. I recognize that this sometimes means making difficult
choices across the system, but it is important, given Amtrak's unique
structure that these decisions be done with the consultation and advice
of Congress. Ultimately, Congress is tasked under our Federal
Constitution with the responsibility for how taxpayers' resources are
spent.
Question 5. Do you view continuing passenger rail service in rural
areas as necessary?
Answer. Rural areas frequently benefit from passenger rail service.
But this service should be reliable, on-time and at a realistic time
that works well for the community and providing what the customers in
these community expect for service. Many times, these trains are late
due to freight train interference, show up in the middle of the night
and provide amenities that are outdated. Our rural communities should
expect better and I hope to work with Amtrak to improve these
circumstances and ensure rural communities remain connected to the
larger transportation network.
______
Response to Written Question Submitted by Hon. Amy Klobuchar to
Hon. Theodore (Todd) E. Rokita
Question. The Empire Builder, one of Amtrak's longest rail lines,
provides a vital link for many rural towns in Minnesota and helps
generates about $327 million in economic impact annually for cities
along its route. The President's budget calls for reducing Federal
funding for Amtrak's long-distance services. Will you commit to
protecting funding for Amtrak's long distance services like the Empire
Builder if you are confirmed to this position?
Answer. Long-distance is an important part of Amtrak's network. Mr.
Anderson noted that the Empire Builder is a viable part of that network
in his recent testimony, but as I stated earlier, many times, these
trains are late due to freight train interference, show up in the
middle of the night and provide amenities that are outdated. Our rural
communities should expect better and I hope to work with Amtrak to
improve these circumstances.
______
Response to Written Question Submitted by Hon. Tom Udall to
Hon. Theodore (Todd) E. Rokita
Question. There are significant concerns that the current CEO of
Amtrak will undermine the long-distance national network. As you may be
aware, last year Amtrak proposed replacing a significant portion of the
Southwest Chief rote with buses. How will you independently analyze
Amtrak's proposals for the network?
Answer. As noted previously, I believe long-distance service
provides a critical link to communities across the United States. If
confirmed, I am committed to analyzing all of Amtrak's proposals across
the network to fully understand and build a more fiscally responsible,
reliable, and safer national passenger rail network. I believe there is
an important role for Amtrak, especially in connecting our rural
communities, and I hope to learn more, if confirmed, during my service
on the Board about the value these trains can bring across the entire
network.
______
Response to Written Questions Submitted by Hon. Jon Tester to Hon.
Theodore (Todd) E. Rokita
Federal Subsidies for National Rail Service. There's a constant
drumbeat that long-distance rail lines are unprofitable money pits and
we should protect taxpayers' money by eliminating Federal funding of
these lines.
What I don't understand is the double standard. Other travel
infrastructure--highways, airports--is heavily subsidized by the
Federal government and not profit-generating centers.
Question 1. Why do you think long-distance rail travel is singled
out?
Answer. It's a good point. Every mode of transportation receives
some form of government assistance. I think it is important to consider
the return on investment; basically, how many rides are produced by
taxpayer's dollars, and I think intercity passenger rail can play an
important role in the transportation network and in many cases a strong
ROI. If we are going to compare ROI across modes, it is also fair to
consider the utilitarian aspect of each mode--that is how many
Americans are using each mode.
Question 2. You voted on multiple occasions while in Congress to
cut Amtrak funding. Do you still stand by your votes to defund Amtrak
and why?
Answer. I believe in fiscal responsibility and I also believe that
my votes against these funding provisions sent a message to Amtrak that
they should be spending the taxpayer's money wisely. If confirmed, I
intend to bring that sense of responsibility to the American taxpayer
to this position and exercise the fiduciary responsibility of a member
of the Board. I did vote ultimately to support full passage of the FAST
Act of 2015, which included Amtrak reauthorization.
Question 3. What needs to be done to make long-distance rail
service profitable?
Answer. There is no evidence that any intercity passenger rail
company worldwide can provide a profitable long-distance (over 750
miles) service. This possibility is even less in the United States
given the vast expanses Amtrak must travel to provide the service, and
on leased track. However, it is important to note that there is
evidence that corridors shorter than 400 miles that link major
population centers can thrive as evidenced by the Northeast Corridor
and some of the state-supported routes Amtrak currently operates today
and wants to expand in the future.
Great Financial Bottom Line, Little Guy Loses. In the President's
FY2020 budget request, it states that ``restructuring the Amtrak system
can result in better service''. You know what often happens when
companies restructure? The financial bottom line looks great, but the
little guy loses.
Question 4. As a member of Amtrak's Board, what will you do to
protect the little guy--to protect access to rail service for people
and communities in Montana and rural America?
Answer. Long-distance is an important part of Amtrak's network. Mr.
Anderson noted that the Empire Builder is a viable part of that network
in his recent testimony, but as I stated earlier, many times, these
trains are late, show up in the middle of the night and provide
amenities that are outdated. Our rural communities should expect better
and I hope to work with Amtrak to improve these circumstances.
Establishing a standing committee for long-distance lines. During
the past couple of years, Amtrak made operational decisions with little
or no opportunity for impacted rural stakeholders to offer information
and perspectives about the changes. Amtrak already has separate
standing Amtrak-stakeholder committees for the Northeast Corridor and
State-Supported routes.
Question 5. Would you commit to supporting the establishment of an
Amtrak-stakeholder committee to address national long-distance rail
service issues?
Answer. Since I have not served on the Board, I do not know the ins
and outs of Amtrak and how it interacts with the various Committees
that Congress has established. However, it is my understanding that the
stakeholder committees you reference for the NEC and state-supported
routes were established to facilitate cost-sharing agreements as
required by Congress. If confirmed, I promise to look into this idea
for long-distance routes.
Restore Ticket Agents at Havre & Shelby. Last year, Amtrak shut a
number of ticket offices across the country--citing that other options
were available including on-line Internet and automated telephone
ticket purchases. Two of those closed ticket offices were at Havre and
Shelby stations in Montana. At the time, Amtrak informed me that the
decision was made to cut costs ``without significantly impacting
service to your constituents.'' Well, that's just not the case. If
Amtrak had reached out to these communities prior to implementing its
decision, perhaps it would have discovered that nearly 25 percent of
Montanans do not have access to a SINGLE broadband provider. How does
one buy a ticket online if one doesn't have access to any--never mind
reliable--Internet. By the way, there is no Wi-Fi available at ANY
Amtrak station in Montana.
In a different case, two grandparents found out the hard way when
they arrived at the station to put their grandson on the train home
that unaccompanied minors can only board at stations where a ticket
agent is present. So, they had to buy tickets for themselves on the
spot--at the last minute and, I suspect, at premium rates.
Amtrak's service support in rural America needs to be greater, not
less. Alternative support solutions readily available in larger, more
urban areas are in fact fewer or non-existent in rural America.
Question 6. Given the types of unforeseen events passengers and
community members encounter at Havre and Shelby stations, will you
commit to supporting re-staffing these stations with ticket agents?
Answer. Thank you for this insight. I am aware of these examples
from a very helpful conversation I had with your office. Given the
complexity of this issue, I hope to spend time looking into this, if
confirmed. I have heard from several offices on the various impacts to
the system when station agents are shifted and realize its importance
to each community. I would look forward to being a partner in working
towards viable solutions for these issues.
______
Response to Written Questions Submitted by Hon. Jerry Moran to
Michael J.K. Kratsios
Question 1. Senator Udall and I led the enactment of the
Modernizing Government Technology (MGT) Act in 2017 in an effort to
replace unsupported, legacy IT systems that plague Federal agencies and
pose significant cybersecurity risks to the Nation's critical
infrastructure. While individual Federal agencies need to remain
vigilant in identifying and replacing their legacy IT systems, what
role does the White House Office of Science and Technology Policy play
in coordinating such efforts across the Federal government?
Outside replacing legacy IT systems, do you have other suggestions
for this Committee as to what should be done to improve the Federal
government's protections against cyber-attacks?
Answer. Upgrading the Federal IT infrastructure is of paramount
importance. At the onset of this administration, the President created
the American Technology Council with the stated intent of driving the
modernization of Federal IT. Both the OSTP Director and U.S. CTO are
members of this council, and if confirmed, I will use the ATC as a
venue for ensuring that Federal agencies maximize use of the important
tools which Congress has provided to undertake this important effort.
On behalf of the ATC, my office coordinated a report to the President
on Federal IT Modernization. This report laid out over 50 actions that
Federal Agencies needed to perform to jumpstart their IT Modernization
efforts to improve their cybersecurity posture, and all of these
actions have been completed. These actions, combined with important
legislation such as the MGT act, have set the stage for Federal
Agencies to greatly improve their cybersecurity posture through IT
Modernization.
In addition, OSTP plays an important role in coordinating the
research and development (R&D) needed to address longer term
cybersecurity challenges and risks to the Nation's critical
infrastructure. Through the Networking and Information Technology
Research and Development (NITRD) Program, OSTP is developing a
Strategic Plan Implementation Roadmap to coordinate cybersecurity R&D
efforts across the Federal government. This Strategic Plan
Implementation Roadmap is being prepared per statutory requirement for
public provision of this information pursuant to the Cybersecurity
Enhancement Act of 2014, Public Law 113-274, Section 201(a)(2)(D),
Implementation Roadmap, and under direction from the NITRD Subcommittee
of the National Science and Technology Council Committee on Science and
Technology Enterprise.
This Implementation Roadmap will provide information on the
projects and programs being planned or carried out in Fiscal Years
2019, 2020, and possibly beyond, to meet the objectives of the 2016
Federal Cybersecurity Research and Development Strategic Plan, which
was developed by NITRD's Cyber Security and Information Security and
Assurance Interagency Working Group. The strategic plan provides
priorities for cybersecurity R&D in alignment with the NIST Framework
for Improving Critical Infrastructure Cybersecurity, which provides
guidance on managing and reducing cybersecurity risk confronted by
businesses and organizations.
Question 2. Earlier this month, OMB released a request for
information to identify access or quality improvements for Federal data
sets and models. Given the Administration's commitment to boosting
research initiatives around artificial intelligence demonstrated by
announcements like the American AI Initiative, what type of feedback is
the Administration seeking in this request for information? Are there
plans going forward beyond collecting this information?
Answer. As called for by the American AI Initiative, this OMB
request for information (RFI) invites the public, the research
community, and the private sector to identify improvements to Federal
data and models needed to accelerate innovative, trustworthy AI. This
RFI will help guide the efforts of agencies in identifying
opportunities to increase data and model access and use by the greater
non-Federal AI research community in a manner that benefits that
community, while protecting safety, security, privacy, and
confidentiality. The availability of these data sets and models to the
AI R&D community could stimulate new developments that would enhance
the transparency and explainability of AI applications, as well as
illuminate ways to ensure the robustness, security and safety of AI
applications.
In identifying data and models for consideration for increased
public access, agencies will identify any barriers to, or requirements
associated with, increased access to and use of such data and models,
including privacy and civil liberty protections, safety and security
concerns, data documentation and formatting, and any other changes
necessary to ensure appropriate data and system governance.
Agencies will identify opportunities to use new technologies and
best practices to increase access to and usability of open data and
models, and explore appropriate controls on access to sensitive or
restricted data and models, consistent with applicable laws and
policies, privacy and confidentiality protections, and civil liberty
protections.
Agencies will also be requested to improve data and model inventory
documentation to enable discovery and usability, and to prioritize
improvements to access and quality of AI data and models based on the
AI research community's user feedback.
______
Response to Written Questions Submitted by Hon. Maria Cantwell to
Michael J.K. Kratsios
Protection of Civil Rights. As new technologies such as artificial
intelligence (``AI''), are developed, our Nation will need to weigh
both the societal implications and the benefits of these technologies.
Question 1. What is your philosophy on how the United States
government should balance economic growth and security with the
societal impacts of new technology?
Answer. I believe it is critical for the U.S. to promote innovation
and economic growth while at the same time balancing safety and
security for all Americans. The work I have led at OSTP over the past
two years puts this philosophy into practice.
The American AI Initiative, the national strategy for AI that
President Trump launched in February 2019 via Executive Order 13859, is
rooted in the fundamental principle that in the United States, AI
should never be used at the expense of our civil liberties and our
freedoms. The United States must develop AI in a way that strengthens
public trust, protects civil liberties, and remains true to democratic
principles--the principles of freedom; the rule of law; privacy;
respect for intellectual property; free, fair, and reciprocal markets;
the inherent dignity of the individual; and opportunities to all to
pursue their dreams. In addition, the broader impacts of AI on society
must be considered, including implications for the workforce and
assurances that AI will be developed responsibly.
Addressing these challenges and opportunities first requires
research and development (R&D) programs to achieve fundamental
breakthroughs for understandable, trustworthy, robust, and safe AI. As
part of the American AI Initiative, we must continue strong engagements
with the broad multistakeholder communities, including industry,
academia, civil society, and international partners, to ensure relevant
implications of AI advancements are identified and addressed. Federal
agencies must also foster public trust in AI systems by establishing
regulatory and non-regulatory guidance for AI development and use
across different types of technology and industrial sectors, as they
are now doing as directed by the American AI Initiative. This guidance
will help Federal regulatory agencies develop and maintain approaches
for the safe and trustworthy creation and adoption of new AI
technologies.
Through these and related approaches, we will help ensure that our
Nation continues developing world-class AI technologies that strengthen
our economy, security, and quality of life, while at the same time
developing and deploying it in a manner that is consistent with our
American values and ensures that all Americans will benefit.
Experience. Unlike prior Chief Technology Officers, you lack a
scientific or technical background.
Question 2. How do you plan to compensate for this as Chief
Technology Officer?
Answer. Prior to joining the Administration in 2017, I spent my
career advising and investing in technology companies. I saw firsthand
what it takes for an emerging technology to succeed, and how
government's role can either support innovation or keep it in
captivity. This experience gave me a deep understanding of the
regulatory environments needed to strengthen U.S. leadership in
technology and ensure all Americans reap the benefits of emerging
technologies.
In addition, I have had the privilege of leading the White House's
technology agenda for over two years as the Deputy Assistant to the
President for Technology Policy and Deputy U.S. Chief Technology
Officer. During this time, we have made critical progress to advance
initiatives in artificial intelligence, quantum information science,
5G, rural broadband, science, technology, engineering, and mathematics
(STEM) education, and commercial drones.
As U.S. Chief Technology Officer, I will continue my focus on
strengthening U.S. leadership in the Industries of the Future to
increase our prosperity, enhance our security, and raise the quality of
life for all Americans.
Question 3. From whom will you seek advice for the development U.S.
technology policy?
Answer. I am very proud to lead a talented team of policy advisors
at the White House Office of Science and Technology Policy who are
highly regarded experts in their fields. Under my leadership, OSTP has
brought in scientific and technical experts from across the Federal
government, the academic community, and the private sector.
In my role as Deputy Assistant to the President for Technology
Policy, I have also placed an emphasis on listening to and receiving
input from a wide range of voices throughout the policy creation
process. In developing various national strategies and policy actions,
I have convened leaders from across the Federal government, the
academic community, the private sector, and non-profits for White House
Summits on 5G, quantum information science, STEM education, and AI.
I will continue to seek advice, input, and ideas from many diverse
perspectives on America's U.S. technology policy agenda.
Workforce Development. I noted in your written testimony that you
cited the importance of workforce development.
Question 4. What role should OSTP play in developing the skilled
workforce, including training workers for careers that don't require a
college degree, but do require technical skills?
Answer. OSTP plays an important role in developing strategies,
policies, and partnerships for skilled workforce development. Workforce
development is important at all levels, including K-12, technical
training, college and graduate school, as well as worker reskilling.
Under my leadership, OSTP led in the development of the National
Five Year Strategic Plan for STEM Education, released in December 2018.
The goal of the Strategic Plan is to ensure Americans from all
backgrounds and all parts of the Nation have lifelong access to STEM
education. Created with input from the education community, the
Strategic Plan places special emphasis on traditional and
nontraditional education pathways as well as work-based programs like
apprenticeships and internships.
Additionally, OSTP works with Federal agencies to identify
appropriate strategies and policies for prioritizing workforce
development in key emerging technology areas.
For example, the OSTP-led American AI Initiative launched by the
President, calls for Federal agencies to prioritize fellowship and
training programs to help American workers gain AI-relevant skills
through apprenticeships, skills programs, and STEM education. This
Initiative also calls for the Federal agencies to work with the
National Council for the American Worker to identify new ways of
providing AI-related education and workforce training and reskilling
opportunities, in partnership with industry and educational
institutions.
OSTP has developed similar relevant workforce training strategies
for other technology areas, such as quantum information science and
advanced manufacturing.
Priorities. There is no shortage of actions you could take or
policy areas you could focus on as Chief Technology Officer. A number
of issues you mention in your testimony are the culmination of years of
work by Federal scientists.
Question 5. If confirmed, what new areas science and technology
policy do you think are important for the U.S. to invest and lead on?
Please provide your rationale for each.
Answer. Over the past two years at OSTP, I have led the
Administration's efforts to advance American leadership in the
industries of the future by focusing on specific areas: artificial
intelligence, quantum science, and 5G. We've made significant progress,
but the importance of continued U.S. leadership and investment in these
fields cannot be overstated.
Our leadership in the Industries of the Future lifts up Americans
from all backgrounds in every corner of our Nation. These technologies
will underpin continued innovation in emerging fields like self-driving
cars, telemedicine, supercomputing, advanced manufacturing, civil
supersonic flight, and more. The Federal government has a critical role
to continue to invest in basic research and development in areas
lacking private sector business incentive, as well as ensure the
regulatory landscape supports both innovation and safety for all
Americans.
AI and Automation Impacts on Workers. The President's Management
Agenda sets a Cross Agency Priority goal of shifting Federal employees
``from low-value to high-value work,'' including through robotic
process automation and other tools.
Question 6. How is the White House artificial intelligence (``AI'')
council that you lead helping achieve this goal?
Answer. The Select Committee on AI, formed by the White House in
May 2018, consists of the most senior R&D officials across the Federal
government. The Select Committee provides advice on interagency AI R&D
priorities, considers the creation of Federal partnerships with
industry and academia, establishes structures to improve government
planning and coordination of AI R&D, and identifies opportunities to
prioritize and support the national AI R&D ecosystem. While OMB and the
Office of Personnel Management are primarily responsible for executing
the Cross Agency Priority goal, the Select Committee on AI also serves
as an important resource within the Federal government for expertise in
AI education and workforce strategies and opportunities, potential
academic and industry partnerships, and understanding the current
capabilities of AI and opportunities for AI deployment.
As part of the President's American AI Initiative, the Select
Committee on Artificial Intelligence also helps the National Council
for the American Worker to identify new ways of providing AI-related
education and workforce training opportunities, in partnership with
industry and educational institutions. These activities will also
inform the Federal government's activities in shifting Federal
employees from low-value to high-value work.
Question 7. What lessons learned or best practices has this
initiative identified that could help guide broader policy efforts to
address potential worker displacement and other disruption from as
automation increasingly impacts American workplaces?
Answer. As advances in technology, automation, and AI change the
national economy, so too must the country's education and job training
programs change to prepare Americans for the new economy and the
emerging industries of the future. Strong partnerships between the
government, industry, and educational institutions are important for
addressing these workplace changes. President Trump's July 2018
executive order establishing the President's National Council for the
American Worker is an important initiative addressing these workplace
challenges, and provides opportunities for American workers to adapt to
the new workplace environment.
The President's American Artificial Intelligence Initiative calls
for the Select Committee on Artificial Intelligence to work with the
National Council for the American Worker to identify new ways of
providing AI-related education and workforce training opportunities, in
partnership with industry and educational institutions. These
opportunities will provide American workers with affordable education
and skills-based training for the jobs of today and of the future.
Looking to the future, AI will continue to require a highly
technical workforce trained for STEM careers. Recognizing the
importance of building up the pipeline of trained workers, the American
AI Initiative focuses on training the next generation of AI users,
developers, and researchers through apprenticeships, skills programs,
and education in science, technology, engineering, mathematics, and
computer science.
As automation and AI become more prevalent, allowing Americans to
work more efficiently and safely, the American workforce and industry
must embrace lifelong learning as the way of the future. The Trump
administration is committed to smart workforce initiatives that protect
the American worker as a vital national asset while promoting the
emerging technologies of tomorrow.
______
Response to Written Questions Submitted by Hon. Jon Tester to
Michael J.K. Kratsios
Climate Change. The public sector has historically played a
foundational role in the development, deployment and wide-spread
adoption of a wide variety of technologies (e.g., GPS, lasers,
computing). Understanding climate change and developing tools to
mitigate climate change impacts is important for our society, economy
and national security.
Question 1. What kinds of innovation are needed to facilitate
climate change mitigation?
Answer. Examples of technological innovations to facilitate climate
change mitigation include developing or enhancing technologies to
reduce emissions; technologies to advance nuclear and renewable energy
production; reducing energy demand by increasing energy efficiency; and
removing carbon from the atmosphere through carbon capture,
utilization, and storage technologies. The Department of Energy has
primary programmatic responsibility for advancing research and
development for these and related technologies. As noted below, OSTP
provides high-level budget guidance to guide DOE's activities.
Question 2. In your role since joining OSTP, how have you led the
Federal government in fostering technological innovations to address
climate change? What are your plans for future OSTP and/or Federal
agencies' actions to address climate change?
Answer. Each year, OSTP and OMB provide R&D budget priorities memos
that highlight Administration priorities and provide guidance to
agencies as they formulate their Fiscal Year budget submissions. The FY
2019 R&D budget priorities memo stated that, ``development of domestic
energy sources should be the basis for a clean energy portfolio
composed of fossil, nuclear, and renewable energy sources. Agencies
should invest in early-stage, innovative technologies that show promise
in harnessing American energy resources safely and efficiently . . ..
Federally-funded energy R&D should continue to reflect an increased
reliance on the private sector to fund later-stage research,
development, and commercialization of energy technologies.''
The FY 2020 R&D budget priorities memo augmented that direction
with the statement that, ``[a]gencies should invest in user facilities
that can improve collaboration with industry and academia and achieve
advancements across the full spectrum of discovery, from incremental
improvements to game-changing breakthroughs.''
The responsibility for guiding future science and technology-
related actions by OSTP and Federal agencies to address climate change
lies within the portfolio of the OSTP Director.
Moving forward, OSTP looks forward to continued efforts to foster
technological innovations that address our Nation's greatest challenges
in climate, energy, and environment.
Question 3. What current policy instruments does OSTP have to
create new modes of governance and policy collaboration that are needed
to effectively address climate change?
Answer. OSTP uses a number a number of mechanisms to advance
policy, including the following:
(1) The National Science and Technology Policy Council (NSTC)
coordinates Executive Branch science and technology policy
across the diverse entities that make up the Federal research
and development enterprise. Chaired by the President, the
membership of the NSTC is made up of the Vice President,
Cabinet Secretaries and Agency Heads with significant science
and technology responsibilities, and other White House
officials. In practice, the White House Office of Science and
Technology Policy oversees the NSTC's ongoing activities;
(2) OSTP and OMB annually release an R&D budget priorities memo that
highlights Administration priorities and provides guidance to
agencies as they formulate their Fiscal Year budget
submissions;
(3) OSTP leads and contributes to the development of Presidential
Executive Orders and Presidential Memoranda that establish
Executive Branch policy and guide agency actions thereunder;
and
(4) OSTP engages with Federal agencies and the stakeholder community
to develop or support policy initiatives.
STEAM Education. To effectively respond to many of the problems
facing our nation, new scientific and technological advances are
needed. A diverse STEAM workforce is essential for driving new
discoveries and innovations as well as to preserve U.S.
competitiveness. Achieving scientific and technological advances will
require changes in what people learn and how they learn it.
Question 4. How is OSTP using technological innovations to ensure
full participation of all groups across U.S. society in the STEM
workforce?
Answer. The full benefits of the Nation's STEM enterprise will not
be realized until all members of society have equitable access to STEM
education and there is much broader participation by those historically
underserved and underrepresented in STEM fields and employment.
Increasing diversity, equity, and inclusion in STEM is one of the
central goals of the Administration's strategic plan for STEM
education. When organizations are diverse in terms of gender, race,
socioeconomic status, ethnicity, ability, geography, religion, etc.,
and provide an inclusive environment that values diversity, they better
retain talent and are more innovative and productive. Broadening
participation is a fundamental prerequisite for making high-quality
STEM education accessible to all Americans and will maximize the
creative capacity of tomorrow's workforce.
OSTP has encouraged Federal agencies--and the broader STEM
education community--to expand the use of digital platforms for
teaching and learning, because they enable anywhere/anytime learning;
make possible individualized instruction customized to the way each
person learns most effectively; and can offer more active and engaging
learning through simulation-based activities or virtual reality
experiences. These tools have the potential to decrease achievement
gaps in formal educational settings and to offer rapid reskilling or
upskilling opportunities in the workplace. OSTP is also working to
further facilitate public-private partnerships that extend broadband
Internet access to high-need communities and help establish and scale
online credentialing and retraining platforms that aid worker
adaptation to the digital economy.
Implementation of the STEM education strategic plan is currently in
progress. Some of the key focus areas for Federal agencies to further
the use of digital platforms include (1) expanding research on and
support for development of curricula using digital tools and universal
design principles, (2) sponsoring, participating in, and/or encouraging
workshops, hack-a-thons, and other activities that bring together
communities of practice and train STEM educators on how to most
effectively use digital tools and learning models, and (3) identifying
and prioritizing support for practices and learning models for distance
learning that most effectively reach underserved and rural populations.
Question 5. How should technology be incorporated into educational
experiences to maximize the potential to learn, explore, and think
beyond the known?
Answer. Simulation-based games, mobile platforms, virtual
environments, and augmented reality tools can heighten curiosity and
increase learner engagement. Dedicated learning spaces supported by
online teaching tools and adaptive, embedded technologies offer
educators and learners flexibility in structure, equipment, and access
to materials, both in the natural world and in virtual and augmented
settings. Real-time, intelligent feedback cycles can facilitate new
modes of learning and collaboration among peers and educators.
Moreover, as technology continues to reshape most jobs, American
workers could engage in reskilling or upskilling through just-in-time
digital modules, obtaining lifelong credentials. This expansion of
opportunity offers the potential to reduce the access and achievement
gaps across the country.
OSTP supports Federal agencies as they continue to fund R&D for new
and improved digital platforms for teaching and learning and assess the
scalability of successful pilots. For example, Federal agencies invest
in research to create AI-enhanced learning tools and tutors. AI-based
tutoring tools can gauge the development of the student and generate
customized learning plans to challenge and engage each person based on
their interests, abilities, and educational needs. AI tutors can be
made universally available, complement in-person teachers, and focus
education on advanced and/or remedial learning appropriate to the
student.
Question 6. What should OSTP be doing--either more of or initiate
doing--to ensure our teachers are aware of education opportunities and
well-trained to advance ``STEAM'' education?
Answer. Federal agencies that engage in STEM education offer
authentic STEM experiences for the professional development of
educators, fund empirical research on effective teaching practices,
support innovative instructional technology platforms, and release
Federal datasets with associated problem sets for use in classrooms. In
some cases, these resources are disseminated effectively to the STEM
education community. For example, to provide educators with the
information they need to make evidence-based decisions, the Department
of Education created the ``What Works Clearinghouse'' to answer
questions about what works in education. For more than 15 years, the
clearinghouse has reviewed existing research on educational programs,
products, practices, and policies and shared its findings with
educators and the public. Of particular interest to STEM educators are
the clearinghouse's extensive reviews of approaches to math and science
education, as well as interventions designed to help students
transition between high school and higher education and careers.
OSTP is also exploring ways to improve communication with teachers
and the broader STEM education community. One of the pillars of the
Administration's Strategic Plan for STEM Education is to ``Operate with
Transparency and Accountability.'' Under that goal is an action to
``broadly identify and disseminate effective STEM education programs,
practices, and policies, including preK-12 formal and informal,
undergraduate, graduate, and lifelong learning.'' Agencies are working
together through the NSTC's Committee on STEM Education (CoSTEM) to
develop new and improve existing platforms that inform educators about
available Federal funding, programming, and other resources. One
proposed idea, currently being explored by the group, is a single,
searchable, user-friendly online database for Federal resources,
similar to those developed by the Department of Energy for
undergraduate and graduate students.
______
Response to Written Questions Submitted by Hon. Maria Cantwell to
Ian Paul Steff
Overseas Export. The President has called himself the ``Tariff
Man'' and has taken steps that can be seen as hostile to international
cooperation, such as the President's travel ban.
Question 1. Are you concerned that these policies will negatively
impact our ability to export overseas?
Answer. My concern is with the pervasive and long-standing
challenges our U.S. exporters face doing business overseas, including
arbitrary foreign standards, burdensome regulations, insufficient
intellectual property protection, and other non-tariff barriers that
stand in the way of their ability to gain market access and/or grow
their exports within a market. If not identified and tackled
aggressively, these barriers will continue to negatively impact
American exports, particularly to potential growth markets.
The Agency Priority Goal (APG) for the International Trade
Administration (ITA) for the past two years has been to reduce, remove,
and prevent non-tariff barriers to U.S. exports worldwide, to help our
companies gain access and market share for their exports. The U.S. and
Foreign Commercial Service teams on the ground in over 70 markets
around the world have been instrumental to surpassing our APG for the
past two years, resulting in significant economic impact for U.S.
exporters in FY 2018.
Collectively, the team's measurable impact exceeded $120 billion in
FY 2018 with nearly 40,000 clients served--a record year for GM.
Question 2. Is your job harder if the United States is perceived as
hostile to foreigners and foreign businesses?
Answer. I do not believe that the U.S. market is perceived as
hostile to foreigners and foreign businesses. Given the strength of the
U.S. economy, as well as the Administration's pro-growth policies,
foreign companies continue to invest in the United States. According to
published reports, we remain the number one investment destination in
the world, with more than $4 trillion in foreign investment stock. This
past June, SelectUSA conducted its annual global investment summit,
which is designed to attract foreign investors to the United States.
Data collected from that event shows that foreign investors are more
interested in the U.S. market than ever before. More than 1,200 global
business representatives from a record 79 international markets--as
well as 700 economic development professionals and service providers
from 49 states and territories--attended the 2019 SelectUSA Investment
Summit.
I often convey that the U.S. is open for business. Likewise, I
recognize and value the many contributions foreign investors and
entrepreneurs have contributed to the U.S. economy, manufacturing, and
innovation. I look forward to continuing to work with both domestic and
foreign companies looking to grow their business and create jobs in
America, and engage with international markets looking to increase
their purchases of U.S. goods and services.
______
Response to Written Question Submitted by Hon. Amy Klobuchar to
Ian Paul Steff
Question. While small and medium-sized enterprises account for 98
percent of U.S. exporters, rural businesses are often located far from
transportation hubs, making it difficult for them to access
international markets. I introduced the Promoting Rural Exports Act
with Senator Hoeven to establish a Rural Export Center at the U.S.
Commercial Service to help rural businesses access foreign markets and
increase exports.
Do you agree that it is important to help our rural businesses
access foreign markets, and can you speak to the impact of increasing
exports on our economy?
Answer. Yes, I agree completely. This issue is very important to me
given my upbringing in rural America and the incredible businesses I
have met operating in areas far removed from transportation hubs. In
fact, shortly after I joined the Global Markets (GM) team and in my
present capacity as the Deputy Assistant Secretary of Commerce for
Manufacturing, the first location I visited was Fargo, North Dakota. In
Fargo, I saw firsthand the outstanding export promotion work done by
our U.S. Commercial Service staff who serve large rural territories. I
also met with the District Export Council that has private sector
participation from entrepreneurs in rural areas in Minnesota. If
confirmed, I look forward to working with you and your colleagues to
continue to address foreign market access challenges and opportunities
facing our rural communities.
The International Trade Administration (ITA) is the only Federal
trade agency with a strong presence in rural America, including a
network of 106 offices throughout the United States. ITA trade
specialists help rural companies access not only our services, but
export assistance from a wide range of private, state and Federal
assistance providers. In addition, many of our industry-focused teams
cater to activities very commonly associated with rural America, such
as our Agribusiness Team and our Energy Team. Our Rural Team consists
of approximately 100 of our staff from around the United States that
develop programs and best practices to better support rural companies
with their exporting needs.
Additionally, supporting exports from rural locations across the
U.S. is also linked to GM's foreign direct investment (FDI) attraction
mission as well. FDI in the U.S. is incredibly trade intensive and
nationally is responsible for a quarter of all U.S. goods exports. Like
exports, investment in rural locations can be key to supporting a
resilient local economy. GM recently examined greenfield FDI destined
for rural locations and found that the average investment project size
and jobs created in a rural area is higher than that of a metro area--
89 percent larger in value and over 25 percent more in jobs. In rural
areas where the population is smaller than that of an urban area, the
impact of the jobs created figures are more strongly felt.
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