[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

                              ----------                              
                                                                   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/
urn:li:activity:6372133646194786304/

Chairman's Message #2: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6377219403964043264/

Chairman's Message #3: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6382233125136723968/

Chairman's Message #4: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6387294479623221248/

Chairman's Message #5: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6394966131706253312/

Chairman's Message #6: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6405069366420914176/

Chairman's Message #7: Linkedin
https://www,linkedin.com/feed/update/
urn:li:activity:6399996492131631104/

Chairman's Message #8: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:641007617l697995776/

Chairman's Message #9: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6415172256636366848/

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/
urn:11:activity:6435649937752485888/

Chairman's Message #12: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:643050878578934S792/

Chairman's Message #13: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6440565827719741440/

Chairman's Message #14: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6445596467762642945/

Chairman's Message #15: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6453257970246574082/

Chairman's Message #16: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6458290307577503744/

Chairman's Message #17: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:64634037697648S5808/

Chairman's Message #18: Linkedin
https://www.linkedin.com/feed/update/
urn:li:activity:6468525312652177408/

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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