[Senate Hearing 115-222]
[From the U.S. Government Publishing Office]
S. Hrg. 115-222
NOMINATIONS TO THE
U.S. DEPARTMENT OF TRANSPORTATION,
THE U.S. DEPARTMENT OF COMMERCE, AND
THE NATIONAL TRANSPORTATION SAFETY BOARD
=======================================================================
HEARING
before the
COMMITTEE ON COMMERCE,
SCIENCE, AND TRANSPORTATION
UNITED STATES SENATE
ONE HUNDRED FIFTEENTH CONGRESS
FIRST SESSION
__________
JUNE 8, 2017
__________
Printed for the use of the Committee on Commerce, Science, and Transportation
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
Available online: http://www.govinfo.gov
_________
U.S. GOVERNMENT PUBLISHING OFFICE
29-975 PDF WASHINGTON : 2018
SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION
ONE HUNDRED FIFTEENTH CONGRESS
FIRST SESSION
JOHN THUNE, South Dakota, Chairman
ROGER F. WICKER, Mississippi BILL NELSON, Florida, Ranking
ROY BLUNT, Missouri MARIA CANTWELL, Washington
TED CRUZ, Texas AMY KLOBUCHAR, Minnesota
DEB FISCHER, Nebraska RICHARD BLUMENTHAL, Connecticut
JERRY MORAN, Kansas BRIAN SCHATZ, Hawaii
DAN SULLIVAN, Alaska EDWARD MARKEY, Massachusetts
DEAN HELLER, Nevada CORY BOOKER, New Jersey
JAMES INHOFE, Oklahoma TOM UDALL, New Mexico
MIKE LEE, Utah GARY PETERS, Michigan
RON JOHNSON, Wisconsin TAMMY BALDWIN, Wisconsin
SHELLEY MOORE CAPITO, West Virginia TAMMY DUCKWORTH, Illinois
CORY GARDNER, Colorado MAGGIE HASSAN, New Hampshire
TODD YOUNG, Indiana CATHERINE CORTEZ MASTO, Nevada
Nick Rossi, Staff Director
Adrian Arnakis, Deputy Staff Director
Jason Van Beek, 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 June 8, 2017..................................... 1
Statement of Senator Gardner..................................... 1
Letter dated June 6, 2017 to Hon. John Thune and Hon. Bill
Nelson from Evan Engstrom, Executive Director, Engine...... 41
Support letter dated September 26, 2017 to Hon. John Thune
and Hon. Bill Nelson....................................... 41
Statement of Senator Schatz...................................... 3
Statement of Senator Wicker...................................... 45
Statement of Senator Cruz........................................ 47
Statement of Senator Klobuchar................................... 49
Statement of Senator Sullivan.................................... 51
Statement of Senator Young....................................... 53
Statement of Senator Peters...................................... 55
Statement of Senator Capito...................................... 57
Statement of Senator Thune....................................... 59
Statement of Senator Cortez Masto................................ 60
Witnesses
Derek T. Kan, Nominee to be Under Secretary of Transportation for
Policy, U.S. Department of Transportation...................... 4
Prepared statement........................................... 5
Biographical information..................................... 6
David J. Redl, Nominee to be Assistant Secretary for
Communications And Information, U.S. Department of Commerce.... 11
Prepared statement........................................... 13
Biographical information..................................... 14
Robert L. Sumwalt III, Nominee to be Member of the National
Transportation Safety Board (NTSB) for a 5-Year Term Expiring
December 16, 2021, and to be Designated Vice Chairman for a
Term of 2 Years................................................ 19
Prepared statement........................................... 20
Biographical information..................................... 21
Appendix
Response to written questions submitted to Derek T. Kan by:
Hon. John Thune.............................................. 63
Hon. Deb Fischer............................................. 64
Hon. Bill Nelson............................................. 65
Hon. Maria Cantwell.......................................... 66
Hon. Richard Blumenthal...................................... 66
Hon. Brian Schatz............................................ 67
Hon. Corey Booker............................................ 67
Response to written questions submitted to David J. Redl by:
Hon. John Thune.............................................. 69
Hon. Jerry Moran............................................. 71
Hon. Roy Blunt............................................... 72
Hon. Dean Heller............................................. 73
Hon. Deb Fischer............................................. 74
Hon. Bill Nelson............................................. 76
Hon. Maria Cantwell.......................................... 78
Hon. Brian Schatz............................................ 78
Response to written questions submitted to Robert L. Sumwalt III
by:
Hon. John Thune.............................................. 79
Hon. Dan Sullivan............................................ 81
Hon. Bill Nelson............................................. 81
Hon. Richard Blumenthal...................................... 82
Hon. Brian Schatz............................................ 83
Hon. Catherine Cortez Masto.................................. 83
NOMINATIONS TO THE U.S. DEPARTMENT OF
TRANSPORTATION, THE U.S. DEPARTMENT
OF COMMERCE, AND THE NATIONAL
TRANSPORTATION SAFETY BOARD
----------
THURSDAY, JUNE 8, 2017
U.S. Senate,
Committee on Commerce, Science, and Transportation,
Washington, DC.
The Committee met, pursuant to notice, at 10 a.m. in room
SR-253, Russell Senate Office Building, Hon. Cory Gardner
presiding.
Present: Senators Gardner [presiding], Schatz, Thune,
Wicker, Fischer, Johnson, Inhofe, Sullivan, Cruz, Capito,
Young, Klobuchar, Peters, and Cortez Masto.
OPENING STATEMENT OF HON. CORY GARDNER,
U.S. SENATOR FROM COLORADO
The Chairman. At an overwhelming 5,9,,, I know I'm not
quite as intimidating as John Thune in the Chair, so thank you
very much for being here today. This hearing will come to
order. We are here today to consider nominations for positions
within the Department of Transportation, Department of
Commerce, and National Transportation Safety Board.
I welcome the nominees, Mr. Derek Kan, Mr. David Redl, and
Mr. Robert Sumwalt to the Committee today and thank them for
their willingness to serve. And I know their families are here,
so thank you very much for your family's support and
willingness to serve.
Derek Kan.--The Committee has recent experience with Mr.
Kan, having considered the nomination for his current position
on the Amtrak Board of Directors in 2015. He was reported out
of this Committee favorably and confirmed on the Senate floor
with bipartisan support on a voice vote on December 15, 2015. I
would like to take this opportunity to welcome you and your
family here, who I understand drove across the country today
just to be here and truly experience our Nation's
transportation infrastructure firsthand.
[Laughter.]
The Chairman. To your family, these buildings belong to
you. Make sure they give you a key on the way out.
[Laughter.]
The Chairman. Mr. Kan previously served as a Policy Adviser
to Majority Leader Mitch McConnell, Chief Economist--I've been
told nobody will use that against you--Chief Economist for the
Senate Republican Policy Committee as well as the Presidential
Management Fellow at the White House Office of Management and
Budget. He received his bachelor's degree from the University
of Southern California, a Master's of Science from the London
School of Economics, and an MBA from the Stanford Graduate
School of Business. This endeavor will help you pay off your
student loans.
If confirmed, Mr. Kan will be a top policy adviser to
Transportation Secretary Elaine Chao as the administration
pursues a significant infrastructure package and FAA
reauthorization.
David Redl.--Mr. Redl is well known here on Capitol Hill,
including since at the House Energy and Commerce Committee,
where he served as Chief Counsel on the Communications and
Technology Subcommittee, had to put up with a number of members
on the Committee in the Senate today. And as a former member of
that Committee in the House, I witnessed firsthand Mr. Redl's
commitment to working toward bipartisan consensus on
telecommunication issues and something near and dear to my
heart, how we make sure that these new technological
breakthroughs in telecommunications opportunities can see their
way into the most rural parts of our country.
I witnessed firsthand the questioning of the previous NTIA
Administrator that I carried out on the Eagle Net debacle in my
home state of Colorado. So I hope you're not too nervous
sitting in that spot today.
[Laughter.]
The Chairman. Prior to his service on the House Energy and
Commerce Committee, Mr. Redl worked as a lawyer in the
telecommunications industry advising on regulatory broadband
and spectrum issues, among many others. A bachelor's degree
from Pennsylvania State University, University Park, and earned
his law degree in communications at the Catholic University of
America's Columbus School of Law. If confirmed, Mr. Redl will
serve as the President's Chief Adviser on Telecommunications
and Information Policy.
Mr. Sumwalt has been a member of NTSB for nearly 11 years,
and on March 31, 2017, the President announced his intention to
reappoint Mr. Sumwalt to serve as a Vice Chair for two years.
Mr. Sumwalt currently serves as Acting Chairman of the NTSB.
During this time, he served as Chairman for multiple NTSB
hearings and forums and has been a Board member on scene for
more than two dozen transportation accidents.
Prior to his tenure at NTSB, Mr. Sumwalt has a long career
in aviation, having served as a pilot for U.S. Airways from
1981 to 2004. He followed up by managing the Corporate Flight
Department of SCANA, I guess it is, that's how we pronounce it,
a major energy company. He has a bachelor's degree from the
University of South Carolina, and a Master's of Aeronautical
Science specializing in aviation and aerospace safety systems
and human factors in aviation systems from Embry-Riddle
Aeronautical University. If confirmed, Mr. Sumwalt will
continue his service in ensuring that our Nation's
transportation and infrastructure systems and make sure that
they are among the safest in the world, the safest in the
world.
So thank you all for your time today, your commitment to
your country today, and your willingness to serve. We look
forward to your testimony and to answer any questions that we
may have for you. And I'll yield to the Ranking Member for
Senator Schatz's opening statement.
STATEMENT OF HON. BRIAN SCHATZ,
U.S. SENATOR FROM HAWAII
Senator Schatz. Thank you, Mr. Chairman. This morning we're
considering key positions in the Department of Transportation
and the Department of Commerce, and we look forward to hearing
from the nominees. For the Department of Transportation, we're
considering the nomination of Derek Kan for the Under Secretary
of Policy. In his questionnaire to this Committee, Mr. Kan
identified refreshing and modernizing our transportation
infrastructure as one of the Department's top challenges. I
agree. Your kids just arrived.
[Laughter.]
Senator Schatz. The government must increase its investment
in projects that will support the movement of goods and people
by land, sea, and air. Mr. Kan, we hope that you will work with
this committee on how we make real investments in
infrastructure, not just how we make projects more attractive
for private financiers. Our nation's transportation challenges
include more than just deteriorating infrastructure.
Safety continues to be a serious problem across all
sectors, especially on America's highways. Both the Department
of Transportation and the NTSB have an important role to play
in safety, and we're counting on these agencies to use their
authorities and their resources to keep more people safe on the
road.
We also look forward to working with Mr. Kan and Mr.
Sumwalt to support the development and deployment of autonomous
vehicle technology. It's important that as we spur innovation,
we continue to make safety our highest priority.
We also consider the nomination today of David Redl to head
NTIA at the Department of Commerce. NTIA plays a key role in
managing Federal spectrum policy, assisting FirstNet and
carrying out its critical mission, helping to update our 911
systems, and helping to represent the United States in
international Internet governance matters. As a manager of
spectrum used by Federal agencies, NTIA needs to ensure that
the Federal Government has access to enough spectrum to meet
its needs today and in the future, but it also must respond to
consumers and the ever-increasing demand for wireless
communications.
Mr. Redl, as we discussed when we met recently, it's
critical that NTIA strike the right balance between these
needs. It's also important that in any comprehensive spectrum
policy, our country continues to create opportunities for
additional shared and unlicensed uses.
Finally, if confirmed, you will have a major role in
representing the United States in international
telecommunications issues. I believe it's imperative that the
multistakeholder approach to international Internet governance
be protected during this administration. This Committee will be
watching NTIA and the administration on all of these fronts.
Thank you to all of the nominees and their families for
joining us today.
The Chairman. Thank you very much. And again welcome to the
witnesses. And we'll go ahead and open up at this time for your
testimony. We'll begin with Mr. Kan.
STATEMENT OF DEREK T. KAN, NOMINEE TO BE
UNDER SECRETARY OF TRANSPORTATION FOR POLICY,
U.S. DEPARTMENT OF TRANSPORTATION
Mr. Kan. Thank you, Senator Gardner. Thank you for the
opportunity to appear before you today. If I am confirmed, I
look forward to working with all of you and your staff to
strengthen our Nation's infrastructure.
I am joined today by my wife, Connie, my children, Jordan,
Evan, and Avery, and my parents, Scott and Julie, and my sister
and brother-in-law, Grace and Kenny Hsu, from Los Angeles.
A recurring memory I have of my childhood is riding in the
backseat of my parents' old Oldsmobile. Mom and Dad, who had
recently immigrated and were struggling to make ends meet,
would shuttle my sister and me around town, and so we spent
most of our days sitting in that car fighting traffic around
Los Angeles. That was the vehicle by which I began to discover
the world, and that was the beginning of my fascination with
transportation.
As the Senators mentioned earlier, I started my career out
as a program examiner at the White House Office of Management
and Budget. It was there I began to learn about the different
types of government programs, the regulatory and budget
concepts, and, most importantly, the value of public service. I
left OMB to join the Senate and spend time working for Senator
Kyl, Senator Hutchison, and Senator McConnell.
Since leaving the Senate, I've spent my career in the
private sector advising companies, building and managing teams,
and operating businesses. Most recently, I was the General
Manager of Lyft in South California while also serving on the
Board of Amtrak. These experiences showed me firsthand how to
manage a fast-growing enterprise and effectively operate a
business.
I am fascinated by both passenger and freight
transportation. Transportation makes possible the reunion of
beloved family and friends, the epic adventures which shape and
sometimes define our lives, and, of course, the commerce and
trade which drives our economy. Transportation is one of the
most critical components of infrastructure on which a society
operates, yet over the past few decades we are beginning to see
the consequences of an aging infrastructure and experiencing
the fragility of our current system.
President Trump and Secretary Chao have begun to lay out
the administration's transportation priorities: number one,
ensuring safety and security as the most important objectives;
number two, rebuilding our nation's infrastructure; and number
three, embracing new technologies that will lead us into the
future. Rarely in our nation's history have we had so much
technological innovation and opportunity to transform our
nation's infrastructure. As one industry leader has put it, we
will see more change in the next 5 years in transportation than
we have seen in the past 50 years.
And so we are now at an inflection point when it comes to
transportation. New technologies, data analytics, new
manufacturing techniques, and innovative solutions are being
deployed around the world. Yet before us are some core
fundamental questions around transportation policy, such as,
one, the role of the Federal Government, and how do you balance
Federal Government with local support? Number two, the
allocation of Federal resources between urban and rural areas
so that nobody is left behind. And three, economic and
environmental stewardship. And four, the financing and
permitting of transportation infrastructure projects. Together,
I believe we can address these complex policy questions,
rebuild our nation's infrastructure, and usher in new
technologies.
Finally, in my visits with each of you, many of you asked
that I visit your respective states. These requests have ranged
from visiting a rail along the Gulf ports to streets on
Honolulu, to the Colorado passenger rail, and I-470, which,
Senator Gardner, I know that you worked tirelessly and received
a loan just 2 weeks ago for that project.
I commit fully to visit each of your states to get an in-
depth look with you and to work together with you and your
staff to build the world's safest, most efficient
transportation system. In fact, on my way to this hearing, I
spent about 18 days driving on 4,000 miles of our interstate
highway, driving my family, these three munchkins, across the
country. It seemed fitting that I should embrace and experience
much of the nation's infrastructure up close as we spend the
next few years really solving some of these big challenges.
Thank you again for the opportunity to appear before you
today. I am happy to take any questions.
[The prepared statement and biographical information of Mr.
Kan follow:]
Prepared Statement of Derek T. Kan, Nominee for Under Secretary of
Transportation for Policy, U.S. Department of Transportation
Thank you for the opportunity to appear before you today. If I am
confirmed, I look forward to working with all of you and your staff to
strengthen our Nation's transportation system.
I am joined today by my wife, Connie Kan, my children, Jordan,
Evan, and Avery, my parents, Scott and Julie Kan, and my sister and
brother-in-law, Grace Kan and Kennie Hsu.
A recurring memory I have of my childhood is riding in the backseat
of my parents' old blue Oldsmobile. Mom and Dad, who had recently
immigrated and were struggling to make ends meet in America, would
shuttle my sister and me around town. So, we spent many hours sitting
in that car and fighting traffic around Los Angeles. That was the
vehicle by which I began to discover the world and that was the
beginning of my fascination with transportation.
I started my career as a Program Examiner at the White House Office
of Management and Budget. It was there I learned about different types
of government programs, regulatory and budget concepts, and, most
importantly, the value of public service. I left OMB to join the
Senate, and spent time working for Senator Jon Kyl, Senator Hutchison,
and Senator McConnell.
Since leaving the Senate, I have spent my career in the private
sector advising companies, building and managing teams, and operating
businesses. I most recently was the General Manager of Lyft in Southern
California while also serving on the Board of Amtrak. This experiences
showed me firsthand how to manage a fast-growing enterprise and
effectively operate a business.
I am fascinated by both passenger and freight transportation.
Transportation makes possible the reunion of beloved family and
friends, the epic adventures which shape, and sometimes define, our
lives, and, of course, the commerce and trade which drives our economy.
Transportation is one of the most critical components of infrastructure
on which a society operates. Yet over the past few decades, we are
beginning to see an aging infrastructure and experience the fragility
of our current transportation system.
President Trump and Secretary Chao have begun to lay out the
Administration's transportation priorities: 1) ensuring safety and
security as the most important objectives, 2) rebuilding our Nation's
infrastructure, and 3) embracing new technologies that will lead us
into the future. Rarely in our Nation's history have we had so much
technological innovation and opportunity to transform our Nation's
infrastructure. As one industry leader recently pointed out, we will
likely see more changes with automobiles in the next five years than we
have seen in the last fifty.
We are now at an inflection point when it comes to transportation.
New technologies and data analytics, new manufacturing techniques, and
innovative solutions are being deployed around the world. Yet, before
us are some core fundamental questions around transportation policy
such as 1) the role of the Federal Government in critical, but local
projects, 2) the allocation of Federal resources between urban and
rural areas so that nobody is left behind, 3) economic and
environmental stewardship, and 4) the financing and permitting of
transportation infrastructure projects. Together, we can address these
complex policy questions, rebuild our Nation's infrastructure, ensure
the safety and security of our transportation system, and usher in new
technologies.
Finally, in my visits with the members of this committee, many of
you have asked that I visit your respective states. These requests
range from visiting a light rail system to a rural airport to an
unfinished highway to a crumbling bridge. If confirmed, I commit to
visit your states and work with you to build the world's safest and
most efficient transportation system.
Thank you again for the opportunity to appear before you today. I
am happy to take any questions.
______
a. biographical information
1. Name (Include any former names or nicknames used): Derek Tai-
Ching Kan.
2. Position to which nominated: Under Secretary of Transportation
for Policy, U.S. Department of Transportation.
3. Date of Nomination: May, 2017.
4. Address (List current place of residence and office addresses):
Residence: Information not released to the public.
5. Date and Place of Birth: August 15, 1978; Los Angeles, CA.
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: Connie Kan.
7. List all college and graduate degrees. Provide year and school
attended.
University of Southern California, B.S. Business
Administration, 1999
London School of Economics, Diploma in Economics, 2001
London School of Economics, M.Sc. Economic History, 2004
Stanford Graduate School of Business, MBA, 2012
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.
White House Office of Management and Budget, Program
Examiner (2004-06)
U.S. Senate Republican Policy Committee, Chief Economist/
Policy Advisor (2006-07)
U.S. Senate, Office of the Republican Leader (2008-10)
Bain & Company, Consultant (2012-14)
GenapSys Inc., Director of Strategy (2014-15)
Story and Heart, Advisor (2015-16)
GLG Research, Consultant (2016-17)
Amtrak, Board Member (2015 to Present)
Lyft, General Manager--Southern California (2015 to Present)
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. 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.
Board Member, Amtrak (2015 to present)
General Manager, Lyft (2015 to present)
Consultant, GLG Research (2016-17)
Advisory Board Member, Los Angeles County Auto Show (2016-17)
Advisor, Story and Heart (2015-16)
Director of Strategy, GenapSys (2014-15)
Board Member, Environmental Defense Action Fund (2013-14)
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 religious
organization, private club or other membership organization. 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 handicap.
Advisory Board Member, Los Angeles County Auto Show, 2016-2017
Member, Pacific Council on International Policy, 2010 to
present
Board Member, Environmental Defense Action Fund, 2013-2014
Board Member, Great Commission Community Church, 2007-2010
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. 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. Also list all offices
you have held with, and services rendered to, a state or national
political party or election committee during the same period. None
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Arjay Miller Scholar, Stanford Graduate School of Business,
June 2012
Harvey Fellowship, September 2011
16. Please list each book, article, column, or publication you have
authored, individually or with others. 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.
TARP Without Strings, American Enterprise Institute
17. 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
18. 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 wish to serve because I believe I have both a passion for public
service and background to help the Department of Transportation. My
previous background includes time at OMB where I worked with agencies
to develop strategic plans and budgets as well as time as a Senate
staffer working on budget, appropriations, and other economic matters.
More recently, I spent much of my time at Bain and Amtrak driving
financial and operational excellence. One exciting developing in the
transportation space includes the emergence of new technologies and
services. I believe my time at Lyft positions me well to help develop
policies that continue to encourage safety while not stifling
innovation.
19. 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?
The mission of the Department of Transportation is to serve the
United States by ensuring a fast, safe, efficient, accessible and
convenient transportation system that meets our vital national
interests and enhances the quality of life of the American people,
today and into the future. As set by statute, the responsibilities of
the Under Secretary is to provide leadership in the development of
policy for the Department, supervise the policy activities of Assistant
Secretaries with primary responsibility for aviation, international,
and other transportation policy development and carry out other powers
and duties prescribed by the Secretary. I have experience in managing a
large organization starting from my time at OMB and more recently at
Bain, Amtrak, and Lyft.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
Maintaining a high level of safety and safety regulation:
One of the critical components of DOT's is to regulate safety.
Policies and programs must be developed so as to ensure all
forms of transportation in this country as operated at a safe
and efficient level.
Effectively using taxpayer resources: The Federal Government
has faced persistent deficits. As a result, the Department of
Transportation, like all other agencies, must ensure that each
taxpayer dollar is spent wisely. Moreover, DOT must eliminate
waste, fraud, and abuse to ensure good stewardship of Federal
resources.
Refreshing and modernizing our transportation
infrastructure: Across the country, we have aging
infrastructure where bridges, roads, and other key
infrastructure have not been sufficiently maintained or
upgraded. Without a massive refresh, our infrastructure will
impair economic productivity.
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 currently receive a salary from Lyft for my position as General
Manager. As part of my compensation package with Lyft, I also own
restricted stock units in Lyft, and I will receive a severance payment
from Lyft. I also currently receive board fees from Amtrak for my
position as a Board member, as well as occasional fees from GLG
Research for my position as a Consultant. If confirmed, I will resign
from these positions.
I hold vested stock options with GenapSys, my former employer; I
received these as part of my compensation package when I was employed
there as Director of Strategy. If confirmed, I will retain these stock
options. I also have a 401(k) plan retirement from my former employer,
Bain & Company, which is housed with Vanguard and invested in a
diversified mutual fund; neither I nor Bain makes any further
contributions to the plan. If confirmed, I will retain my 401(k) plan
from Bain. I have a TSP account from my previous government service; if
confirmed, I wi11 retain my TSP account.
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.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
Designated Ethics Official to identify potential conflicts of interest.
Any potential conflicts of interest will be resolved with the terms of
an ethics agreement that I have entered into with DOT'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.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
Designated Ethics Official to identity potential conflicts of interest.
Any potential conflicts of interest will be resolved with the terms of
an ethics agreement that I have entered into with DOT'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. Describe any activity during the past ten years in which you
have been engaged for the purpose of directly or indirectly influencing
the passage, defeat, or modification of any legislation or affecting
the administration and execution of law or public policy.
As a Congressional staffer, I influenced the legislative process by
advising Senators, drafting amendments, and negotiating legislation.
6. Explain bow you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Transportation's
Designated Ethics Official to identify potential conflicts of interest.
Any potential conflicts of interest will be resolved with the terms of
an ethics agreement that I have entered into with DOT's designated
Agency Ethics Official and that has been provided to this Committee. I
am not aware of any other potential conflicts of interest.
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. My current and former employers have been involved in
litigation and administrative proceedings as part of their normal
business dealings, but I was and am not an officer of those businesses
and have not been named as a party in those actions.
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. Wil1 you ensure that your department/agency complies With
deadlines for information set by congressional committees? Yes
2. Will you ensure that your department/agency does whatever it can
to protect congressional witnesses and whistle blowers from reprisal
fox 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 Derek Tai-Ching Kan
Experience
Lyft Inc--Los Angeles, CA
General Manager; 2015-Current
Have P&L ownership over all SoCal operations, growing region
to become largest market within Lyft
Increased rides 5x, increased market share by 250 percent
while reducing CPAs and moving market to profitability
Grew team from 0 to 50 in twelve months and created new
operating model and org structure
Amtrak--Washington, DC
Board Member; Current
Unanimously confirmed by U.S. Senate; member of Finance and
Marketing Committees
Selected new CEO and assisted with transition to new
leadership
Actively managed executive team to improve strategy and
operational performance
Genapsys--Redwood City, CA
Director of Strategy; 2014-2015
Developed operating model; led fundraising efforts and
developed go to market strategy for product launch
Bain & Company--Los Angeles, CA
Consultant; 2012-2014
Designed operating model, strategy, and operational
improvement plan for nation's largest electrical utility
Developed operating model and org structure for $1 billion
consumer electronics company
Integrated two global sales forces and developed
implementation plan for $10 billion life sciences company
McKinsey & Company--Los Angeles, CA
Summer Associate
Evaluated leverage buyout opportunities and advised deal
team on the competitiveness of target industry
Elliott Management--New York, New York
Advisor; 2010-2011
Analyzed and developed financial model for a $50 million
hedged long/short equity investment
Advised portfolio managers on implementation of financial
regulatory reform and tax changes
U.S. Senate Office of the Republican Leader--Washington, D.C.
Policy Advisor; 2008-2010
Advised Senators on all economic-related matters, including
Highway Trust Fund solvency, new funding mechanisms for DOT,
budget process reform, appropriations, and capital markets
legislation
Helped negotiate Emergency Economic Stabilization Act of
2008 (TARP) and Economic Stimulus Act of 2008
Analyzed financial regulatory system and negotiated
comprehensive financial regulatory reform (Dodd-Frank)
Negotiated and developed communications strategy for 2008
auto bailout proposal
U.S.Senate Republican Policy Committee--Washington, D.C.
Chief Economist; 2006-2007
Published policy papers on capital markets competitiveness,
private equity industry, subprime mortgage market, credit
rating industry reform, Highway Trust Funds, and Federal budget
process reform
Advised Senators on legislation, regulatory developments and
general trends related to the U.S. economy, Federal budget,
banking, housing, and pension issues
White House Office of Management and Budget--Washington, D.C.
Presidential Management Fellow; 2004-2006
Assisted the President and his executive team with
management, policy development, and budget execution
Worked with agencies to implement the President's Management
Agenda
Managed and reorganized VA's $2.1 billion information
technology portfolio
Eli Lilly & Company--Los Angeles, CA
Sales Specialist; 2002-2003
Awarded highest sales achievement honor for performance in
the top 1 percent of entire company
KPMG,Structured Finance Group--Los Angeles, CA
Associate; 2001
Developed financial models to project cash flow and develop
sensitivity analysis of asset-backed securities
Education
Stanford Graduate School of Business Stanford, CA
Master of Business Administration 2010-2012
Arjay Miller Scholar (Top 10 percent)
London School of Economics and Political Science London, United Kingdom
Masters of Science, Economic History with Merit 2003-2004
Graduate Diploma, Economics 1999-2001
University of Southern California Los Angeles, CA
Bachelor of Science, Business Administration 1996-1999
Memberships
Los Angeles Auto Show, Advisory Board, 2015-2017
Pacific Council on International Relations, Member, 2011-2015
Great Commission Community Church, Board Member, 2007-2010
Environmental Defense Action Fund, 2013-2014
The Chairman. Thank you, Mr. Kan. And I'm just curious if
the streets of Honolulu are the first ones you'll be visiting?
[Laughter.]
The Chairman. Mr. Redl, please proceed. Thank you.
STATEMENT OF DAVID J. REDL, NOMINEE TO BE ASSISTANT SECRETARY
FOR COMMUNICATIONS AND INFORMATION, U.S. DEPARTMENT OF COMMERCE
Mr. Redl. Thank you, Senator. Mr. Chairman, Senator Schatz,
and members of the Committee, thank you for the opportunity to
appear today and for scheduling the hearing.
My name is David Redl, and I'm the President's nominee to
be Assistant Secretary of Commerce for Communication and
Information, and Administrator of NTIA.
I would like to start by thanking President Trump and
Secretary Ross for this honor. The communications and
information sectors are the backbone of modern commerce, and as
principal adviser to the President on telecommunications, NTIA
plays an integral role in preserving our Nation's leadership in
these sectors. Whether it's broadband deployment, the digital
economy, or managing our government spectrum resources, NTIA is
at the forefront of preserving and advancing our information
economy.
I would also like to thank my family, who is here today.
I'm joined by my mother, Susan Redl; my father, David Redl; my
mother-in-law, Maria Smith; my wife of nearly 10 years, Amy
Redl; and our son, who on his first day of summer vacation is
wearing a tie----
[Laughter.]
Mr. Redl.--Benjamin Redl. He'll be turning 6 next week, and
he's very excited.
My family did everything they could to make sure a young
man with a fascination for technology had the tools to succeed.
When I turned 5 years old, my family got me an IBM PC jr. It
had a whopping 128k of memory, a 5\1/4\-inch floppy drive, DOS
3.2, and cartridges, and I was hooked. From then on, I wanted
to work on anything electronic, whether it was helping my
mother, Sue, process the family business's accounts receivable
on a Monroe accounting machine with magnetic-stripe ledgers and
a cassette drive or helping with the avionics from the right
seat of my dad's Beechcraft Bonanza, I wanted in.
As I got older, my dad instilled in me a curiosity that
drives me to this day. My father, also David Redl, is a man who
wants to know how things work. He's a man who likes to take
things apart, right down to the nuts and bolts. In his case,
literally, the family business is automotive recycling.
You could also say that working in technology runs in the
family. My grandfather, John Roberts, spent his career as an
employee of IBM, including working on the Apollo program in the
1960s at Cape Canaveral.
Technology has always fascinated me, and its understanding
and its inner workings have become my career, so I mean it with
absolute sincerity when I say it's an honor to sit before you
today.
For the last six years, I've had the privilege of working
as a member of the professional staff of the House Committee on
Energy and Commerce. Under the leadership of Chairmen Fred
Upton and Greg Walden, I dedicated my time on Capitol Hill to
working closely with my colleagues, both Republican and
Democratic, to find bipartisan solutions to contemporary
telecommunications issues. We didn't agree on everything, but
by focusing on the things we could agree on, the vast majority
of our bills passed the House of Representatives by large
bipartisan margins.
In that spirit, I would like to offer a short list of
commitments on which I hope there is bipartisan consensus. If
confirmed, I'll work with Congress and the administration to
ensure that the needs of our nation's government spectrum users
are balanced with the continuing need for additional licensed
and unlicensed commercial spectrum. I will advance policies to
improve access to broadband for all Americans. I'll work to
advance the U.S. digital economy. And I'll work to ensure that
the Internet remains a driver of free speech, free market
commerce, and economic opportunity.
Mr. Chairman, the staff of NTIA are the unsung heroes of
the U.S. digital economy. They're experts working for the
American people in a small government agency all but unknown
outside the Beltway. And like my father, they're people that
revel in the nuts and bolts. It would be a privilege to have
the chance to lead them.
Again, thank you for holding this hearing. I look forward
to any questions the Committee may have.
[The prepared statement and biographical information of Mr.
Redl follow:]
Prepared Statement of David J. Redl, Nominee to be Assistant Secretary
of Commerce for Communications and Information, U.S. Department
of Commerce
Mr. Chairman, Ranking Member Nelson, and Members of the Committee,
Thank you for the opportunity to appear before you today and for
scheduling this hearing. My name is David Redl and I am honored to be
the President's nominee to be Assistant Secretary of Commerce for
Communications and Information and the Administrator of NTIA.
I'd like to start by thanking President Trump and Secretary Ross
for the honor of this nomination. The communications and information
sectors are the backbone of modern commerce and as principal advisor to
the President on telecommunications, NTIA plays an integral role in
preserving our Nation's leadership in these sectors. Whether it's
broadband deployment, the digital economy, or managing our government
spectrum resources, NTIA is at the forefront of preserving and
advancing our information economy.
For the past six years, I have had the privilege of working as a
member of the professional staff of the House Committee on Energy and
Commerce. Under the leadership of Chairmen Fred Upton and Greg Walden,
I dedicated much of my time on Capitol Hill to working closely with my
colleagues, both Republican and Democratic, on a number of
telecommunications issues, among them improving the availability and
use of spectrum.
Spectrum is the invisible infrastructure of our digital economy,
and it enables our increasingly mobile society. Despite the good work
that has been done to make more spectrum available, demand continues to
grow as smart cities, connected cars, and 5G wireless technologies
become closer to widespread deployment. Among NTIA's responsibilities
is management of the Federal Government spectrum. Improving the
performance of government spectrum systems, providing incentives for
government agencies to make better use of spectrum, and promoting
spectrum research and development have been critical to the digital
economy and will continue to be important for NTIA. The recent changes
made by Congress to the Spectrum Relocation Fund are already driving
Federal agencies to reach for new efficiencies, but the work on this
front is far from over. If confirmed, I will work to continue to
improve government spectrum efficiency and make additional spectrum
available to fuel our Nation's licensed and unlicensed wireless needs.
In addition to working to expand the spectrum available for
broadband, NTIA plays a critical role in working to ensure no American
is left out of our digital society. The unfortunate reality is that
there continue to be Americans for whom access to basic broadband is
lacking, particularly
in rural areas. Recently, Transportation Secretary Elaine Chao
testified before the Senate Committee on Environment and Public Works
that the Trump Administration's infrastructure initiative will include
broadband infrastructure. As the President's principal advisor on
communications policy, NTIA will play a role in developing the
Administration's approach. And rightly so. The staff of NTIA have
decades of experience in what works--and what doesn't--when it comes to
promoting private sector investment in broadband networks. If
confirmed, I will work with the talented professionals at NTIA to drive
investment in rural America to bring the economic opportunity of
broadband to the unserved parts of our country.
Finally, I'd like to discuss the important work that NTIA does to
promote the U.S. digital economy. That work takes many forms. NTIA is
the United States' representative on the Internet Corporation for
Assigned Names and Numbers' Government Advisory Committee where it
works to ensure the Internet remains an engine for global communication
and commerce; NTIA engages industry and the public in multistakeholder
groups to address issues of privacy and the Internet of Things; and,
NTIA works to protect the Internet and Internet users through its
policy work on cybersecurity.
This work is critical to preserving the Internet as an engine of
free speech and free-market commerce, and to protecting Americans
online. The multistakeholder process NTIA has employed holds the
potential to bring a fresh approach to communications policy challenges
and new levels of engagement with the Internet community. This same
approach can also further NTIA's work on cybersecurity. The President's
recent Executive Order on the topic recognizes the Department of
Commerce's role in cybersecurity and NTIA's approach has the potential
to provide a new voice to the commercial Internet and its users in this
important discussion.
The NTIA's approach to policy, engagement, and its role as the
President's ``principal adviser on telecommunications policies
pertaining to the Nation's economic and technological advancement,''
make NTIA uniquely qualified to tackle the communications challenges of
the twenty-first century. If confirmed, I will work with the men and
women of the NTIA to expand broadband availability, preserve the
Internet as a driver for economic growth, promote the U.S. digital
economy, and to drive investment in the broadband networks that
comprise the global Internet.
Again, I thank President Trump and Secretary Ross for the honor of
this nomination and I look forward to answering any questions for the
Committee.
______
a. biographical information
1. Name (Include any former names or nicknames used): David John
Redl.
2. Position to which nominated: Assistant Secretary for
Communications and Information, Department of Commerce and
Administrator of the National Telecommunications and Information
Administration.
3. Date of Nomination: 5/18/2017.
4. Address (List current place of residence and office addresses):
Residence: Information not provided to the public.
Office: 2125 Rayburn House Office Building, Washington, D.C.
20515.
5. Date and Place of Birth: February 1, 1981; Rhinebeck, NY.
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).
Amy Luella Redl, Director, Federal Government Relations, Sanofi
Inc.
7. List all college and graduate degrees. Provide year and school
attended.
B.A., Journalism, Penn State, 2003
B.A., Political Science, Penn State, 2003
J.D., Catholic University of America, 2006
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.
------------------------------------------------------------------------
Employer Title Period of Employment
------------------------------------------------------------------------
Committee on Energy and Chief Counsel July 2013 to present
Commerce, U.S. House of
Representatives
---------------------------------------------
Counsel February 2011-July
2013
------------------------------------------------------------------------
CTIA--The Wireless Director, Regulatory July 2009-February
Association Affairs 2011
---------------------------------------------
Counsel, Regulatory April 2007-June 2009
Affairs
---------------------------------------------
Legal Intern Summer 2005, August
2006-April 2007
------------------------------------------------------------------------
Office of Congresswoman Intern Spring 2006
Sue Kelly
------------------------------------------------------------------------
Federal Communications Legal Intern Fall 2004; Spring
Commission 2005
------------------------------------------------------------------------
Arnold & Porter (UK), LLP Summer Associate Summer 2004
------------------------------------------------------------------------
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.
------------------------------------------------------------------------
------------------------------------------------------------------------
Pennsylvania Lambda Corp. Director 2012-2016
------------------------------------------------------------------------
Vice President 2012-2013
------------------------------------------------------------------------
President 2013-2015
------------------------------------------------------------------------
Vice President 2015-2016
------------------------------------------------------------------------
Maryland Gamma Corp. President 2011-2012
------------------------------------------------------------------------
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
religious organization, private club, or other membership organization.
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 handicap.
I am a member of the Phi Kappa Psi Fraternity, a collegiate
fraternity of men. I served as a member of the Executive Council of the
fraternity from 2001-2003.
I am a member of the Federal Communications Bar Association, the
FCBA ``is a volunteer organization of attorneys, engineers,
consultants, economists, government officials and law students involved
in the study, development, interpretation and practice of
communications and information technology law and policy.'' I have been
a member since my time in law school in the early 2000s. To my
knowledge, the FCBA does not discriminate on the basis of sex, race,
color, religion, national origin, age, or handicap.
I am a member of The Federalist Society for Law and Public Policy
Studies. I also serve as a member of the Telecommunications &
Electronic Media Practice Group Executive Committee. I have been a
member since 2012. To my knowledge, the Federalist Society does not
discriminate on the basis of sex, race, color, religion, national
origin, age, or handicap.
13. Have you ever been a candid ate 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. 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. Also list all offices
you have held with, and services rendered to, a state or national
political party or election committee during the same period.
The FEC website lists a donation of $500 to Joseph Pitts (via
Friends of Joe Pitts) on 6/30/2014. My wife made this donation from our
joint checking account. It should have been attributed to her.
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
Bishop's Scholarship, Catholic University of America, 2003
Scholarship, Kennedy School of Government, Harvard University,
2016
16. Please list each book, article, column, or publication you have
authored, individually or with others. 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.
As part of my duties for both CTIA--The Wireless Association and
the Committee on Energy and Commerce, I have appeared on panels and
spoken at events on matters within my job responsibilities. Most
recently, I gave a speech in March 2017 at an event hosted by the U.S.
Council on International Business on the Energy and Commerce
Committee's priorities.
17. 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.
My job responsibilities with the Committee on Energy and Commerce
require me to serve as counsel at the witness table from time to time,
but I have never been invited to testify before Congress.
18. 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?
Throughout my career I have worked to promote the availability of
broadband, improve spectrum use and efficiency, and promote the
innovation and investment that have made the Internet the greatest
engine of communications and commerce the world has ever known. For the
last six years, I have been an employee of the Committee on Energy and
Commerce in the U.S. House of Representatives and been privileged to
serve my country working toward these goals. The responsibilities of
the Assistant Secretary of Commerce for Communications and Information
would be a continuation of the work that I have done in both the public
and private sectors and an opportunity to continue to serve the
country.
19. 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 to ensure that NTIA promptly addresses
deficiencies identified by the GAO and the Inspector General of the
Department of Commerce. I believe that my experience with the Committee
on Energy and Commerce managing groups of Members and staff, as well as
the myriad outside parties that have business before the subcommittee
will enable me to lead the agency effectively.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
I believe the top three challenges facing NTIA are:
1. Modernizing Federal spectrum systems to maximize spectrum use for
Federal and non-Federal users. Spectrum continues to be a
finite resource in increasing demand. Left unaddressed, the
challenge of balancing mission and commercial demands could
impact the Nation's leadership in 5G technology.
2. Improving broadband availability, particularly in rural areas.
3. Effectively addressing the needs of the U.S. digital economy both
domestically as the principal adviser to the President on
telecommunications policies pertaining to the Nation's economic
and technological advancement and internationally in
multistakeholder and multinational fora.
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.
In connection with the nomination process, I have consulted with
the Office of Government Ethics and the Department of Commerce's
designated agency ethics official to identify any potential conflicts
of interest. Any potential conflicts of interest will be resolved in
accordance with the terms of my ethics agreement with the Department's
designated agency ethics official. I understand that my ethics
agreement has been provided to the Committee. I am not aware of any
potential conflicts 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. None.
5. Describe any activity during the past ten years in which you
have been engaged for the purpose of directly or indirectly influencing
the passage, defeat, or modification of any legislation or affecting
the administration and execution of law or public policy.
From 2008 to 2009 I was a registered lobbyist for my employer,
CTIA--The Wireless Association. My work focused on telecommunications
regulation and legislation consistent with CTIA's lobbying disclosure
filings.
As an employee for the Committee on Energy and Commerce, my job
responsibilities include working directly on the drafting and
disposition of legislation and the oversight of agencies within the
jurisdiction of the Subcommittee on Communications and Technology.
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
Any potential conflicts of interest will be resolved in accordance
with the terms of my ethics agreement with the Department's designated
agency ethics official. I understand that my ethics agreement has been
provided to the Committee. I am not aware of any potential conflicts of
interest other than those that are the subject of my ethics agreement.
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? 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
Resume of David J. Redl
Education
The Catholic University of America, Columbus School of Law--Washington,
D.C.
Juris Doctor, May 2006
Graduate, Institute for Communications Law Studies
CommLaw Conspectus: Articles Editor, 2006 Symposium
Coordinator
Pennsylvania State University--University Park, PA
B.A. Journalism, May 2003; B.A. Political Science, May 2003
Experience
Committee on Energy and Commerce, U.S. House of Representatives--
Wahington, D.C.
Chief Counsel--July 2013 to Present
Counsel--February 2011-July 2013
Served as primary legal advisor to Chairman Fred Upton and
Subcommittee on Communications and Technology Chairman Greg
Walden.
Managed subcommittee staff comprised of a team of lawyers
and non-legal professional staff.
Provided legal and drafting advice to all Members of the
Subcommittee on Communications and Technology on matters within
the subcommittee's jurisdiction.
Worked with media and advocacy groups to support Committee
policy goals, including media interviews, participation on
discussion panels, and drafting op-eds.
Represented the United States at international conferences,
including multiple ICANN conferences and two treaty-level
conferences of the U.N. International Telecommunication Union
(2012 World Conference on International Telecommunication and
2014 Plenipotentiary Conference).
Legislative Achievements:
Title VI of the Middle Class Tax Relief and Job Creation Act
of 2012
Required the FCC to auction certain spectrum assets to
the public. To date this has resulted in more than $40b in
revenue for the U.S. Government.
Authorized spectrum incentive auctions--auctions in
which the government shares a portion of proceeds with
licensees that volunteer to relinquish their licenses.
First auction under this model is set to take place in the
first quarter of 2016.
Established and funded FirstNet, an independent
government agency dedicated to building and operating an
interoperable wireless broadband network for public safety
entities.
H. Con. Res. 127/S. Con. Res. 50 (112th Congress)
A concurrent resolution expressing the sense of
Congress in support of the multistakeholder model of
Internet governance. Served as the catalyst for the
congressional discussion of additional Internet governance
issues, including ICANN and the IANA transition.
STELA Reauthorization Act of 2014
Reauthorization of the laws that govern the carriage
of broadcast television on satellite television platforms.
Includes both communications law and copyright law
provisions.
Title X of the Bipartisan Budget Act of 2015
Generated more than $4b in revenue from the auction of
government spectrum assets. Additionally requires the
government to develop plans for the reallocation of an
additional 100 MHz to improve commercial wireless
broadband.
CTIA-The Wireless Association--Washington, DC
Director, Regulatory Affairs July 2009-February 2011
Counsel, Regulatory Affairs April 2007-June 2009
Researched and drafted regulatory filings representing the
wireless industry in nearly all aspects of regulation. Specific
emphasis on spectrum issues, broadband, new technology and
regulatory mandates.
Prepared and presented ex parte presentations to FCC
Commissioners, legal advisors and staff.
Prepared and presented weekly regulatory updates for
representatives from member companies.
CTIA-The Wireless Association--Washington, DC
Legal Intern Summer 2005, August 2006-April 2007
Assisted in drafting comments and reply comments in FCC
proceedings on universal service
Prepared presentation materials and participated in ex parte
meetings with FCC Commissioners and staff
Office of Congresswoman Sue Kelly--Washington, DC
Intern Spring 2006
Drafted general correspondence on policy issues for use in
responding to common questions and concerns
n various communications policy matters
Researched and d rafted internal memoranda on current
communications policy issues
Drafted responses to individual constituents' on
communications issues
Federal Communications Commission--Washington, D.C.
Legal Intern, Wireless Telecommunications Bureau Fall 2004; Spring 2005
Researched and drafted staff orders pertaining to wireless
service licensing
Researched novel wireless broadband service issues
Arnold & Porter (UK), LLP--London, England
Summer Associate Summer 2004
Researched impact of European Union telecommunications
regulations on existing client properties
Reviewed client contracts as part of due diligence report
Security Clearance
Active TS/SCI clearance.
The Chairman. Thank you, Mr. Redl.
And, Benjamin, 6-year-old birthdays are great. They're
unlimited sugar.
[Laughter.]
The Chairman. Mr. Sumwalt, please proceed with your
testimony.
STATEMENT OF ROBERT L. SUMWALT III, NOMINEE TO BE MEMBER OF THE
NATIONAL TRANSPORTATION SAFETY BOARD (NTSB) FOR A 5-YEAR TERM
EXPIRING DECEMBER 16, 2021, AND TO BE DESIGNATED VICE CHAIRMAN
FOR A TERM OF 2 YEARS
Mr. Sumwalt. Good morning. And thank you, Chairman Gardner,
Ranking Member Schatz, and distinguished members of the
Committee. I'm honored to appear before you today as you
consider my nomination as a member of the National
Transportation Safety Board, and I am grateful to President
Trump for the confidence he has placed in me through this
nomination.
I've been honored to serve on the NTSB for nearly 11 years,
where I've served as a member, the Vice Chairman, and now as
Acting Chairman. In my most recent role as Acting Chairman,
I've placed renewed focus on ensuring that the agency lives our
core values of safety, excellence, independence, integrity,
diversity and inclusion, and transparency.
During my tenure on the Board, I've been a fierce advocate
for improving safety in all modes of transportation, including
issues such as teen driver safety, impaired driving,
distractions in transportation, and professionalism in
aviation. I've testified before Congress regarding rail safety
initiatives, including Positive Train Control and the transport
of flammable liquids by rail. It has been my duty to serve as
the voice of objectivity and reason when deliberating and
determining the probable cause of more than 150 transportation
accidents. I believe that in order to truly improve safety, we
must not simply focus on the obvious human error, but, instead,
we must determine the underlying factors that led to the
accident.
I've been privileged to serve as Chairman of the Board of
Inquiry for a number of high profile investigative hearings,
including the 2009 Washington Metropolitan Area Transit
Authority, or WMATA, train-to-train collision near the Fort
Totten Metro station right here in the District of Columbia.
While that investigation identified technical issues within the
train control system, it also uncovered systemic organizational
deficiencies, including WMATA's lack of a safety culture, the
ineffective safety oversight by WMATA's Board of Directors, and
the insufficient regulatory oversight and authority by the Tri-
State Oversight Committee.
Although our transportation system generally performs very
well, when transportation accidents do occur, it is imperative
that we be able to reassure the American public that the
government is conducting an honest, competent, thorough, and
unbiased investigation. The Board must act with an objective
dispassionate eye, calling the facts as we see them, and then
conducting a thorough analysis of those facts. Simply
investigating the accident alone does not prevent accidents. To
accomplish that, we must use our analysis to formulate safety
recommendations to government and industry, and we must also
follow up on the status of those recommendations. Clearly, the
American public and the transportation community depend on the
NTSB to fulfill its mission, not only in the wake of an
accident, but to also be proactive through the Board's advocacy
role and by conducting safety studies.
Additionally, the Board has an important role in assisting
victims and their families in the wake of transportation
disasters. The NTSB must also keep up with emerging
technologies in transportation, which have the potential to
certainly improve safety, but they may present challenges as
well.
If confirmed, I will continue to support the Board in all
of its endeavors. Additionally, 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, with this Committee as we work together to enhance
transportation safety for us all.
Thank you for your time, and I look forward to answering
your questions.
[The prepared statement and biographical information of Mr.
Sumwalt follow:]
Prepared Statement of Robert L. Sumwalt III, Nominee to be Board
Member, National Transportation Safety Board
Thank you, Chairman Thune, Ranking Member Nelson, and distinguished
Members of the Committee. I am honored to appear before you today as
you consider my nomination as a Member of the National Transportation
Safety Board (NTSB). I am grateful to President Trump for the
confidence he has placed in me through this nomination.
I've been honored to be on the NTSB for nearly 11 years, where I
have served as Member, Vice Chairman, and Acting Chairman.
In my most recent role as Acting Chairman, I have placed renewed
focus on ensuring the agency lives our core values of Safety,
Excellence, Independence, Integrity, Diversity and Inclusion, and
Transparency.
During my tenure on the Board, I have been a fierce advocate for
improving safety in all modes of transportation, including issues such
as teen driver safety, impaired driving, distractions in
transportation, and professionalism in aviation. I have testified
before Congress regarding rail safety initiatives, including Positive
Train Control and the transport of flammable liquids by rail. It has
been my duty to serve as a voice of objectivity and reason when
deliberating and determining the probable cause of more than 150
transportation accidents. I believe that to truly improve safety, the
investigation must not simply stop at finding the obvious error, but
instead, must uncover each underlying factor that led to the accident.
I've been privileged to serve as Chairman of the Board of Inquiry
for a number of high-profile investigative hearings, including the 2009
Washington Metropolitan Area Transit Authority (WMATA) train-to-train
collision near the Fort Totten Metro Station here in the District of
Columbia. While that investigation identified technical failures within
the train control system, it also uncovered systemic deficiencies,
including WMATA's lack of a safety culture, the ineffective safety
oversight by the WMATA Board of Directors, and the insufficient
regulatory oversight and authority by the Tri-State Oversight
Committee.
Although our transportation system generally performs very well,
when transportation accidents do occur, it is imperative that we be
able to reassure the American public that the Federal Government is
conducting an honest, competent, thorough, and unbiased investigation.
The Board must act with an objective, dispassionate eye, calling the
facts as we see them, and then conducting a thorough analysis of those
facts. But simply investigating the accident, alone, doesn't prevent
accidents; to accomplish that, we must use our analysis to formulate
safety recommendations to government and industry. We must also follow
up and track the status of those recommendations.
Clearly, the American public and the transportation community
depend on the NTSB to fulfill its mission, not only in the wake of an
accident, but also to be proactive through the Board's advocacy role
and by conducting safety studies. Additionally, the NTSB has an
important role in assisting victims and their families in the wake of
transportation disasters. The NTSB must also keep up with emerging
technologies in transportation, which have the potential to
dramatically improve safety, but may present challenges, as well.
If confirmed, I will continue to support the Board in all its
endeavors.
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: Board Member, National
Transportation Safety Board.
3. Date of Nomination: May 10, 2017.
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, D.C. 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
Kaylyn Mackenzie Sumwalt (daughter) Age 22
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 NTSB Board Member
August 2006 to present
SCANA Corporation
Manager of Aviation
November 2004-August 2006
(Managing corporate flight department for a Fortune 500
company)
U.S. 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 pmt time
service or positions with Federal State, or local goverrunei1ts, 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
religious organization, private club, or other membership organization.
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 handicap.
Note: None of these organizations restrict membership on the basis
of sex, race, color, religion. national origin, age or handicap.
Academie de L'Air et de L'Espace
Foreign Associate Member
2014 to present
Aircraft Owners and Pilots Association
Member
2005 to present
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. 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. Also list all offices
you have held with, and services rendered to, a state or national
political party or election committee during the same period.
I have not given any political contributions exceeding $500 in the
past ten years. Additionally, I have held no offices for, nor rendered
any services to, any state or national political party or election
committee during the past ten years.
15. List all scholarships, fellowships, honorary degrees, honorary
society memberships, military medals, and any other special recognition
for outstanding service or achievements.
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
16. Please list each book, article, column, or publication you have
authored, individually or with others. 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.
Congressional and Legislative Testimony
Testimony before the Joint Committee on the Judiciary, 189th
General Court, The Commonwealth of Massachusetts, on House bill
1187, Primary enforcement seat belt legislation, Boston, MA
(November 18, 2015).
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. (February 26, 2014).
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 U.S. House of Representatives,
Subcommittee on Aviation, Committee on Transportation and
Infrastructure, Hearing on Runway Safety, Washington, D.C.
(February 13, 2008).
Testimony Before the U.S. Senate, Committee on Commerce,
Science and Transportation, Subcommittee on Surface
Transportation and Merchant Marine, Infrastructure, Safety, and
Security, Rail Safety Legislation (May 22, 2007).
Testimony Before the U.S. House of Representatives Committee on
Transportation and Infrastructure, Subcommittee on Railroads,
Pipelines and Hazardous Materials, Washington, D.C. (January
30, 2007).
Testimony Before Illinois Task Force on Graduated Driver
Licensing, Chicago, IL (October 11, 2006).
Testimony Before Commerce, Science, and Transportation
Committee of the United States Senate, Opening Statement of
Senate Confirmation Hearing (July 27, 2006).
Published Books or Book Chapters
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. (2015). 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., Helmreich, 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.
Schwab, 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 NT5B board seat. Safety Preflight.
American Airlines flight safety publication. April, 2016.
5umwalt, 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.'' OpEd 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 On Line. 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), 32nd IFA International
Conference. November 4-7, 2002. Dublin, Ireland.
Sumwalt, R.L., ``How to Set Up a LOSA--U.S. 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 LEB.'' Professional Pilot Magazine.
June 2002.
Sumwalt, R.L., & Thomas, R.J. ``Findings from the U.S. Airways
Line Operations Safety Audit (LOSA).'' 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.'' Flight Safety 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 1995.
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.'' Air Line 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 Wing tips. 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. ``Piaggio P180 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 (FLIR 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 8737
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. ``F28 Flightcheck,'' 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 198S.
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
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, D.C.
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, D.C.
December 9, 2016 Opening and Closing Statements--NTSB
Investigative Hearing: Accident Involving Heart of Texas
Balloons near Lockhart, TX. Hearing conducted in Washington,
D.C.
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, D.C.
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 speech on 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: ``PI REPs: 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, D.C.
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 Investigadon de Accidentes de Aviacion Civil (JIAAC), Buenos
Aires, Argentina.
April 6, 2016--Webinar on 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, D.C.
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 A31R Conference in Arizona.
January 16, 2016--Presentation about ways to improve aviation
emergency response at A31R 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, D.C.
September 10, 2015--Luncheon Speech, Short Line Safety
Institute Forum, Washington, D.C.
August 26, 2015--Presentation to SC Aerospace Conference,
Columbia, SC
July 30, 2015--Keynote Address at the Flight Safety Foundation
3rd Annual Dinner, Washington, D.C.
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, D.C.
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, D.C.
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 lnvestigaci6n de Accidentes de
Aviaci6n Civil, Buenos Aries, Argentina
May 29, 2014--Presentation 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 cell phone 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, D.C.
January 10, 2014--Presentation to the University Aviation
Association, Washington, D.C.
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, D.C.
September 27, 2013--Presentation on creating a healthy safety
culture to Embry-Riddle Aeronautical University's Prescott
campus, Prescott, AZ
September 16, 2013--Presentaf1on 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, D.C.
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 HEU-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, D.C.
January 13, 2013--Presentation to the Transportation Research
Board Human Factors Workshop on Safety Data, Washington, D.C.
December 10, 2012--Telecon presentation to Steel River
Infrastructure Partners on role of leadership in preventing
organizational accidents
December 7, 2012--Luncheon Remarks for International Air and
Transportation Safety Bar Association, Washington, D.C.
December 3, 2012--Keynote Remarks for National Organizations
for Youth Safety (NOYS)--Teen Distracted Driving Prevention
Summit, Washington, D.C.
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, D.C.
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--Pilot and ATC professionalism presentation to
Beaver County Community College
May 8, 2012--Remarks for Launch of Global Youth Traffic Safety
Month, Washington, D.C.
May 7, 2012--Remarks to NTSB Youth Open House, Washington, D.C.
May 3, 2012--Remarks to To the International Society of Air
Safety Investigators, Mid Atlantic Regional Chapter IMARC,
Washington, D.C.
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 Costal Committee Summer Meeting, Las Vegas, NV
May 10, 2011--Opening Remarks at the Truck and Bus Safety
Forum, Washington, D.C.
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, NO
March 26, 2011--Remarks at South Carolina Aviation Safety
Council 2011 Safety 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--Remarks before the Transportation Research
Board 90th Annual Meeting, Washington, D.C.
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, D.C.
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, D.C.--Chairman's Opening Remarks, Washington, D.C.
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, D.C.
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, D.C.
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, D.C., June 22, 2009--Chairman's
Opening Statement, Washington, D.C.
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, D.C.
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, D.C.
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
Apri1 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, D.C.
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, D.C.
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, D.C.
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, D.C.
August 19, 2008--Remarks to the FAA Air Traffic Organization
Leadership Summit, Washington, D.C.
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, D.C.
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, D.C.
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 FAA 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, D.C.
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, D.C.
January 9, 2008--Remarks to the University Aviation
Association, Washington, D.C.
December 6, 2007--Opening Remarks to the Aviation Directors
Roundtable, Washington, D.C.
November 6, 2007--Open·mg Remarks Before the NATA
Aviation Business Roundtable, Washington, D.C.
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,
D.C.
May 23, 2007--Remarks Before the Flight Safety Foundation Board
of Governors, Washington, D.C.
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 his Swearing-In Ceremony,
Washington, D.C.
17. 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.
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 NTSB Board Member,
Washington, D.C.
18. 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 have a strong background in transportation safety. As a Member of
the NTSB for nearly 11 years, I have been 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 150 transportation accidents, as
well as serving as chairman of six NTSB investigative hearings and
forums. I have been Board Member on Scene for 28 transportation
accidents, which involved conducting over 60 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 250 speeches, as well as testified to Congress and State
legislative branches regarding transportation safety issues.
Additionally, I have served as Acting Chairman of the agency since
March 31, 2017. I have a deep passion for, and commitment to, improving
the safety of our Nation's transportation system. I feel that I am
making positive contributions and would be honored to continue serving.
19. 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?
I have served as Acting Chairman of the NTSB since March 31, 2017.
I have met with each of the agency's 13 departments to emphasize the
need for us live by the agency's values of Safety, Excellence,
Independence, Integrity. Diversity and Inclusion, and Transparency. I
have also held listening sessions with each of these groups to seek
their ideas for how the agency can operate more effectively and
efficiently. As Acting Chairman of NTSB, I meet on a regular basis with
the Acting Managing Director and the Chief Financial Officer regarding
our Management Accountability and Controls (MAC) program. I have
charged our management team with developing an action plan-one that
requires management accountability-for closing-out risks items that
were identified by the agency's Senior Management Oversight Council. I
will ensure these items are properly addressed.
From 2004-2006, I led an aviation department for SCANA, a Fortune
500 energy company. There I managed personnel along with ground and
flight safety, flight crews, aircraft, unit operations, maintenance,
budgeting, and all associated fiduciary matters. Additionally I was
responsible for managing the disposition, acquisition, and deployment
of multi-million dollar aircraft and support assets, including
construction planning for a multi-million dollar aviation facility to
house company aircraft and personnel My duties involved supervising
department personnel, including hiring of departmental employees, as
well as leading the development of first-ever department strategic
plan, flight operations manual, and formulating practices to ensure
standardization in critical night and maintenance practices.
20. What do you believe to be the top three challenges facing the
department/agency, and why?
Budgetary issues--The current reality of Federal Government is
the need to cut budgets and spend wisely. The NTSB is no
exception. Like most other agencies, we are challenged with
doing more with less.
Maintaining workforce--The NTSB has talented, dedicated
employees, many of whom are experts in their respective fields.
Many of these employees are approaching (or have already
reached) retirement age. I believe it is vital that we recruit
and train workers to replace these experienced employees as
they retire or otherwise leave the agency.
Ensuring we maintain our edge--Closely linked to the above two
items, I feel it is essential that the NTSB maintain its
investigative edge. In order to do that, we need to ensure we-
have well-trained employees and good equipment. I believe in
investing in people by providing training, and I am fearful
that, due to budgetary restrictions, we may run into a
situation where we don't have enough resources to provide
training to maintain that edge. Technology is advancing and the
agency needs to be postured to address the investigation needs
associated with those changes. Among those advancing
technologies are Unmanned Aerial Systems, autonomous vehicles,
and commercial space transportation.
b. potential conflicts of interest
1. Describe all financial arrangements, defe1red 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. U.S. 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.
My previous Ethics Agreement dated October 11, 2011 stated that I
would not participate in any particular matter that comes before the
Board involving specific patties in which U.S. Airways, or any wholly
owned subsidiary of U.S. Airways, is or represents a party unless
authorization to participate is granted in accordance with the
procedures set forth at 5 C.F.R. Sec. 2635.502. Upon consulting with
the Office of Government Ethics for my EA dated May 11, 2017, OGE
believed it was no longer necessary to specifically mention U.S.
Airways since they arc no longer a viable entity due to the merger.
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. None
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. None
5. Describe any activity during the past ten years in which you
have been engaged for the purpose of directly or indirectly influencing
the passage, defeat, or modification of any legislation or affecting
the administration and execution of law or public policy. None
6. Explain how you will resolve any potential conflict of interest,
including any that may be disclosed by your responses to the above
items.
In accordance with my Ethics Agreement dated May 11, 2017, 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. 208(b)(1), or qualify for a regulatory
exemption, pursuant to 18 U.S.C. Sec. 208(b)(2).
Furthermore, I currently hold assorted stocks of transportation-
related companies. At the present, the total value of these stocks meet
the de minimis exemption under 5 C.P.R. Sec. 2640.202, and I will
continue to monitor the value of those interests. As outlined in my May
11, 2017, Ethics Agreement, 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)(1).
Because my accounts are managed by a brokerage firm, on the same
date that my Ethics Agreement was signed (May 11, 2017), in accordance
with my EA, I notified my account manager of the need obtain my prior
approval on a case-by case basis for U1e 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.
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.
There is nothing unfavorable.
As far as favorable information, I would like the Committee to know
that I have a longstanding commitment to and passion for improving
transportation safety. As I have for nearly 11 years as an NTSB Board
Member, if confirmed, I will work diligently to use my knowledge,
skills and experience to help improve safety in all modes of
transportation safety. My work ethic is unsurpassed.
d. relationship with committee
1. Will you ensure that your department/agency complies with
deadlines for information set by congressional committees? 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
firstl1and 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: Prominent safety executive with a sustained record of
leadership and success advancing domestic and international
transportation safety. Worked across a range of roles and
responsibilities to decisively improve safety performance in large,
complex, dynamic transportation organizations in both the private and
public sectors.
Experience and Achievements
National Transportation Safety Board, Washington, D.C.--2006 to Present
Acting Chairman, Vice Chairman and Board Member (Presidential
appointee)
Nationally recognized transportation safety advocate and accident
investigation authority. Responded as part of NTSB's Go-Team to 28
transportation casualties in all modes of transportation. Conducted
over 60 on-scene media events including live national television and
radio network appearances. Provided individual and collective review of
over 150 major transportation investigations to determine accident
probable cause and subsequent recommendations to prevent recurrence.
Served as Chairman of Board of Inquiry for five high-profile accident
public hearings. Presented over 250 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-million 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 U.S. 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 that remains in place today.
NASA Aviation Safety Reporting System (ASRS)--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 USC 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. Coauthored a book profiling aircraft accidents, their
cause, and lessons learned.
Coauthored a book chapter on Crew Resource Management, and authored
book chapters in two books on effective aircraft accident investigation
procedures. Authored foreword in book on safety leadership.
Awards and Recognition
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
Testimony, Publications, Speeches and Presentations
The Chairman. Thank you, Mr. Sumwalt. And we'll begin with
questions. And as a reminder, of course, we're dealing with the
nomination today of Robert Sumwalt, of South Carolina, to be
Member of the National Transportation Safety Board; David Redl,
to be Assistant Secretary for Communications and Information,
Department of Commerce; and Derek Kan, of California, to be
Under Secretary of Transportation for Policy.
Before asking questions, though, I would ask unanimous
consent to include in the record letters of support for the
nomination of David Redl, from Engine Advocacy and the Consumer
Technology Association. Without objection, those will be
entered into the record.
[The information referred to follows:]
Engine
June 6, 2017
Hon. John Thune,
Chairman,
Dirksen Senate Office Building,
Washington, DC.
Hon. Bill Nelson,
Ranking Member,
Hart Senate Office Building,
Washington, DC.
Dear Chairman Thune and Ranking Member Nelson:
Engine wishes to express its strong support for David Redl's
nomination to the position of National Telecommunications and
Information (NTIA) Administrator.
As a non-profit advocacy and research organization that supports
high-growth startups, one of our highest priorities is ensuring that
the Internet remains the driver of innovation and economic growth. Many
decisions made at the NTIA, including promoting secure communications
networks, efficient use of federally held spectrum, and broadband
deployment are critical to startups nationwide. From his work in
Congress and the wireless industry, Mr. Redl is incredibly qualified to
be the top Federal advisor on all telecommunications issues. His
experience working with the startup and technology communities over the
years will be an asset to the NTIA in crafting policies that help drive
the growth of the Internet, startups, and the economy.
We hope the Committee will promptly approve his nomination, and we
look forward to working with him in the coming years.
Sincerely,
Evan Engstrom,
Executive Director.
______
September 26, 2017
Hon. John Thune,
Chairman,
Committee on Commerce, Science and Transportation,
United States Senate,
Washington, DC.
Hon. Bill Nelson,
Ranking Member,
Committee on Commerce, Science, and Transportation,
United States Senate,
Washington, DC.
Dear Chairman Thune and Ranking Member Nelson:
We write to support the confirmation of David Redl to lead NTIA as
Assistant Secretary for Communications and Information at the
Department of Commerce.
Not only is Mr. Redl extraordinarily well-qualified to deal with
pressing domestic issues including overseeing FirstNet and identifying
underutilized government spectrum for commercial use, but we are
confident in his ability to advise Secretary Ross and President Trump
on international telecommunications issues consistent with American
interests and free-market principles.
Among other important items that fall within NTIA's international
portfolio, Mr. Redl understands the challenges raised by the Obama
Administration's poorly-orchestrated transition of the Internet
Assigned Numbers Authority function to the Internet Corporation for
Assigned Named and Numbers multi-stakeholder process.
We had the opportunity to meet with Mr. Redl recently and we were
impressed by his steadfast resolve to protect American interests
against the risks of foreign government compromise of Internet
governance now that the U.S. Government no longer has direct oversight
over IANA. For example, Mr. Redl is committed to actively engaging in
the multi-stakeholder process both directly and in cooperation with
American companies to advocate both for U.S. economic interests as well
as for our Constitutional values, including a strong commitment to
First Amendment principles.
Finally, many of us have worked closely with Mr. Redl over the
years. Among telecommunications professionals, his reputation is
impeccable. He is an excellent choice to head NTIA and should be
quickly confirmed.
Sincerely,
Phil Kerpen,
President,
American Commitment.
Daniel Schneider,
Executive Director,
American Conservative Union.
Grover Norquist,
President,
Americans for Tax Reform.
Jeff Mazzella,
President,
Center for Individual Freedom.
Katie McAuliffe,
Executive Director,
Digital Liberty.
George Landrith,
President,
Frontiers of Freedom.
Andrew Langer,
President,
Institute for Liberty.
Seton Motley,
President,
Less Government.
Lawrence J. Spiwak,
President,
Phoenix Center for Advanced Legal & Economic Public Policy Studies.
Cc: Members of the Senate Committee on Commerce, Science and
Transportation
The Chairman. So, Mr. Redl, I'll start with you. If
confirmed as NTIA Administrator, you would be tasked with
overseeing the Federal Government's significant, significant
inventory of spectrum holdings. As data usage rates and
technological innovations continue to grow, our commercial
spectrum needs are greater than ever, and we need to ensure we
have a pipeline in place for both licensed and unlicensed
spectrum. Can I get your commitment that you will work with the
appropriate stakeholders to identify whether there are
underutilized Federal spectrum bands that might be reallocated
or repurposed for commercial user sharing?
Mr. Redl. Thanks, Senator. Yes, of course. One of the core
jobs that NTIA has is balancing the need for spectrum for
government users to meet their very important needs, protecting
the country both physically and our economic well-being, and
also balancing that with a need for additional spectrum in the
commercial sector.
The Chairman. Thank you. And our international competitors,
including Japan and South Korea, are quickly advancing in the
telecommunications field to win the race for a widespread 5G
deployment. In order that we remain globally competitive and
retain our spot as the world's premier wireless innovator, can
you commit that if confirmed, you will work with this
Committee, the FCC, and others to ensure we keep 5G advancement
a top priority for our nation?
Mr. Redl. Yes, Senator.
The Chairman. Thank you.
Mr. Kan, as you may know, Denver Union Station in my home
state was recently renovated with support from the TIFIA and
the RRIF program, loan programs, a rare instance of loan
programs being used together to finance an innovative project.
The FAST Act established the Build America Bureau to streamline
and harmonize applications between the programs, increase
technical assistance, and improve project delivery, and the
Under Secretary plays a key role in overseeing the Bureau.
Could you speak to your vision for the Build America Bureau and
any plans you might have to improve infrastructure financing
with the new FAST Act structure?
Mr. Kan. Yes, Senator. The FAST Act passed this Committee
and passed the floor I think about a year and a half ago 83 to
16. It is a great example of the good work that this Committee
does and the power of bipartisanship. The Build America Bureau
is one of the most important components of the Department of
Transportation, and it really tries to solve a key market
breakdown where you have sources of capital and uses of capital
sometimes not working together.
A large part of the reasons why markets sometimes fail is
when you have too much uncertainty in a market, and the Build
America Bureau seeks to streamline some of those questions with
more efficient permitting, a clear one-stop shop to solve many
of these gaps between sources and uses of funding. I commit to
work with you and your office to make sure the Build America
Bureau continues to optimize allocations spent, and not only
seek to attract private capital, but really try to figure out
how to bring all stakeholders to the table to deploy capital as
efficiently as possible.
The Chairman. Thank you, Mr. Kan. And I appreciate that
focus. In your opening statement, you talked about permitting,
and now, of course, talking about permitting, streamlining
inefficiencies, and I think that's the target of every
committee that I serve on and I hear in the Senate, how we make
sure that government is effectively communicating with each
other, better streamlining the process, and making permitting
more effective.
In the FAST Act, I pushed for the inclusion of a Government
Accountability Office study to evaluate the effectiveness of
the Federal Railroad Administration, the final rule on quiet
zones, including a look at the benefits, costs, and challenges
with establishing quiet zones. I understand that the report
will be issued in the next few months. Can I get your
commitment to carefully review the results of that study and to
consider any necessary and appropriate changes to regulations
or grant program considerations should the study find any
pertinent issues to be addressed?
Mr. Kan. Senator, quiet zones are a very important issue,
particularly in urban areas and areas where mass and local
transit flow through. I commit to study the issue closely and
working with you and your office to understand the products of
those recommendations.
The Chairman. Thank you.
Mr. Sumwalt, in your capacity as a member of the Board at
the National Transportation Safety Board, where you've served
for the past 11 years, you've got a unique perspective on the
challenges the agency currently faces, and I think in your
opening statement, you talked about the factors underlying the
accidents that you've investigated. What are your priorities
going to be? Lay them out again from your opening statement
should you be confirmed.
Mr. Sumwalt. Well, Senator, thank you for the question. We
have our Most Wanted List, and there are 10 items on that, and
I think each of those items are areas that the Board has
determined that we really need to move further along on. So I
want to continue to work on each of those issues.
We have some challenges within the agency, three that I'd
like to mention: one would be the budgetary issues; another
would be maintaining the effective work force; and, finally,
ensuring that we maintain our competitive edge. I'll be glad to
discuss any of those that you like.
The Chairman. Thank you. Perhaps we can get into them
further.
Senator Schatz.
Senator Schatz. Thank you, Mr. Chairman.
Mr. Kan, first a little bit about Hawaii. We're the most
isolated, populated place on the planet. We're 2,500 miles from
Los Angeles. We're 5,000 miles from the U.S. capital. And we
really are different from a transportation infrastructure
standpoint. We depend on aviation for our primary private
sector economic driver. And, of course, we depend on the
shipping industry and maritime infrastructure for fuel, for
food, for construction materials, for our basic sustenance.
My question for you, Mr. Kan, is my own judgment about the
Department of Transportation is that you have a lot of
flexibility within the statute to tailor whatever you can do to
an individual state's needs. And all I want is your commitment
to work with us, understanding that coming from an island in
the Pacific, coming from a place that is far away, that we're
going to need to work with you in a way that may be different
from all the other states in the continental United States. Do
I have that commitment?
Mr. Kan. Yes, sir.
Senator Schatz. Thank you very much. I want to talk to you
about Safe Streets. Nearly 5,000 people were killed by a car
while walking in 2014. Many of these deaths are preventable
through highway design that is safer for all. Senator Heller
and I are working on a Safe Streets legislation. We made some
progress in the FAST Act. I would like to do more. And I would
like your commitment to work with us on what can be done
administratively just to make our streets safer.
This ought not to be a partisan issue. This ought not to be
a question of where you come down on issues that are a little
more contentious, smart growth, density, you know, cars versus
bikes. All of that stuff I like to set aside. I have my own
views about that set of issues, but we ought to come together
when it comes to safe routes to school, when it comes to
sidewalks, when it comes to crosswalks, and keeping people
safe. So do I have your commitment to work with us on Safe
Streets?
Mr. Kan. Yes, sir.
Senator Schatz. Thank you.
Mr. Redl, I want to talk to you about IoT. There's a
working group on this committee and others who care very deeply
about the Internet of Things, and it's been a key area of focus
for our committee as well as the bipartisan IoT caucus. More
and more technologies come online, and therefore it's critical
that the government have a consistent approach for encouraging
the development and deployment while protecting consumers.
One of the challenges is if you are in the business of,
say, developing an app, but let's say it monitors certain
health indicators while you are in your car, it's not at all
clear under which jurisdiction of the Federal Government you
may have to operate. As some of these new technologies come
online, if you're a three- or four-person shop with a really
good idea and a good technology, in order to scale,
unfortunately the next thing you need is a lawyer, not new
creative people, new engineers, new business managers.
One of the challenges that we see in the private sector is
that although we want to have a light touch from a regulatory
standpoint, we do need to provide clarity because all of these
statutes that were written that may apply to an IoT technology
were written before the IoT existed. Unless we want some of
these companies to be operating under 17 different statutory
regimes, we're going to have to provide some clarity.
As you probably know, the 2017 Omnibus included report
language requiring the Commerce Department to coordinate IoT
efforts with other agencies. Do you commit to pulling together
an interagency group together to review the policy issues
impacting IoT?
Mr. Redl. Senator, I think that's a great point.
Technology, and particularly communications and information
portions of technology, are pervasive in our economy. They
cross across a number of industries, which necessarily, means
it crosses over portions of our Federal Government. If I'm
confirmed, I absolutely will work with you and your staff and
the Committee and all of the folks at the Department of
Commerce to try and knock down some of those barriers.
Senator Schatz. OK. That's great, and I understand your
commitment to working on knocking down barriers, but there is a
provision in the 2017 Omnibus that calls on Commerce to pull
together an interagency working group. Do I have your
commitment to do that?
Mr. Redl. Yes, to work with the rest of the Department of
Commerce, yes, sir.
Senator Schatz. Thank you.
Thank you, Mr. Chairman.
The Chairman. Thank you, Senator Schatz.
Senator Wicker.
STATEMENT OF HON. ROGER F. WICKER,
U.S. SENATOR FROM MISSISSIPPI
Senator Wicker. Mr. Kan, I was struck by Senator Schatz's
question. And, you know, Honolulu is such a distant, isolated,
and overcrowded place, I think it's commendable that you would
be willing to visit such a disadvantaged----
[Laughter.]
Senator Wicker. On the other hand, it's a mere two and half
hours down to the Gulf Coast of Mississippi, and perhaps you
would like to make that trip first.
[Laughter.]
Senator Wicker. The FAST Act mandated that the FRA convene
a working group to evaluate the restoration of inner city
passenger rail between New Orleans and Orlando, a corridor that
was significantly impacted by Hurricane Katrina, as you know.
What will you do to support the restoration of passenger rail
along the Gulf Coast, and how will you be the Federal partner
to these communities that need to realize the economic benefits
of restoring passenger rail?
Mr. Kan. Thank you, Senator. I know that this is a very
important rail line that goes through Gulfport, Bay Saint
Louis, Pascagoula, and I have studied the rail line, some of
the options that exist. Senator, it is a very important issue I
know for not only the state of Mississippi but for some of the
local states. I look forward to working with you, the Southern
Rail Commission, with Amtrak, and with the Department to
identify options and opportunities to try to bring back that
rail line.
Senator Wicker. OK. Well, I appreciate that assurance. Let
me shift to an area where I serve on the Board. That's the
Merchant Marine Academy. As you know, the Sea Year was
suspended for a while. Commendably, Secretary Chao has
reinstated the Sea Year aboard commercial vessels, but there is
still much work to be done at this, a very excellent,
university.
While vessels participating in the Maritime Security
Program are required to host midshipmen for the Sea Year, there
is currently no incentive for other vessels to participate in
this training program. Will you work with MARAD to address this
issue and ensure that midshipmen receive the training they need
to serve our merchant mariner workforce?
Mr. Kan. Yes, sir.
Senator Wicker. Thank you very, very much.
Now, Mr. Redl, let me ask you about FirstNet. FirstNet is
expected to release its draft state plans to each of the states
and territories by the end of this month. These draft plans
will detail how FirstNet proposes to deploy the Nationwide
Public Safety Broadband Network in those areas. The statute
allows states to opt out of FirstNet's plan and build their own
radio access network if the states believe they can better
accommodate the needs of first responders in their own
jurisdiction. Do you believe the opt-out choice in the statute
is meant to allow states the true right to opt out of FirstNet
and construct their own radio access networks?
Mr. Redl. Senator, I first and foremost hope that when
these plans come out later this month that every state will
find them to meet the needs of their state and their public
safety users. However, as you rightly note, the statute does
provide an opt-out, and, yes, it is my belief that the states
should be given the opportunity to truly opt out. But the
statute also says that it's NTIA's job to make sure that those
opt-out plans meet the needs of public safety users. If I'm
confirmed, I will absolutely work with each state that wants to
opt out to ensure that their opt-out right is recognized and
that their public safety users get the network that they need.
Senator Wicker. Do you think the statute allows enough time
for states to conduct an adequate review of its communications
and coverage needs before choosing to opt-in or opt-out of
FirstNet? And explain why.
Mr. Redl. I certainly hope so, Senator. There has been a
lot of work done at the state level to date in the lead up to
this point. The SLIGP process, the State and Local
Implementation Grant Program, provided states with funding to
prepare for this decision and to prepare for what their public
safety users will need. So I certainly hope that the amount of
time they have will be adequate.
Senator Wicker. What does the statute say with regard to
time?
Mr. Redl. There's a fixed amount of time that they have,
from the time that they receive their plans to review, and if
they choose to opt out, then they'll have to opt out I believe
it's within 90 days they'll have to opt out, and they will have
to submit their plan to the Federal Communications Commission
first to see if their plan would be interoperable with
FirstNet.
Senator Wicker. With regard to user fees, as Administrator,
how will you work to ensure that user fees don't become a cost
burden for rural users, such as those in Hawaii and
Mississippi?
Mr. Redl. Networks aren't much without users, Senator, and
if you've got a network that people can't afford to be on, you
lose that network effect. So if confirmed, I will work with
FirstNet to make sure that we get as many people on the network
as possible.
Senator Wicker. And Colorado.
[Laughter.]
Senator Wicker. Thank you very much. I appreciate it.
The Chairman. Senator Cruz.
STATEMENT OF HON. TED CRUZ,
U.S. SENATOR FROM TEXAS
Senator Cruz. Thank you, Mr. Chairman.
Gentlemen, welcome.
I want to start, Mr. Sumwalt, with a question for you. As
you know, on July 30th of last year, a commercial balloon
crashed in Lockhart, Texas, tragically killed 16 people,
including the pilot, Alfred Nichols. And following that crash,
a number of facts have become public that are deeply
concerning. For example, the balloon's pilot, Mr. Nichols, had
a history that included five DWI arrests, three drug offenses,
and a medical condition that could disqualify him from being
able to operate a commercial balloon. The Austin American-
Statesmen has reported that the FAA learned of the pilot's
criminal record two years before the Lockhart crash and failed
to take any enforcement action against Mr. Nichols.
Further, this crash has also brought to attention that the
FAA exempts commercial balloon pilots from having to obtain a
medical certificate, and medical certificates are required for
nearly all commercial pilots, and may have discovered that Mr.
Nichols was prescribed drugs over the year preceding the crash
that are listed on the FAA's Do Not Issue--Do Not Fly Guide for
Aviation Medical Examiners that would have prevented the
issuance of a medical certificate.
Do you think the standards are appropriate for commercial
balloon pilots? And what can be done to better protect the
flying public?
Mr. Sumwalt. Senator Cruz, thank you for raising this very
important issue. I was the Board Member on scene for that
tragedy. I met with the family groups. And furthermore, I was
privileged to chair the NTSB's investigative hearing of that
accident in December. So the issues you have raised have
certainly gotten my attention, they've gotten the attention of
our investigators. I do not want to prejudice the outcome of
the investigation, but I can tell you that it really is
alarming that this pilot was able to hang out a shingle and fly
people for hire. That's very much of a concern, and I'm
confident that our investigation will address those issues. The
real trick will be having the FAA follow up on those
recommendations. That's going to be the real trick.
Senator Cruz. Setting aside the precise cause of that
crash, which needs to be investigated fairly, do you think
there are changes in the rules and regulations going forward
that would be wise to consider?
Mr. Sumwalt. Well, I certainly believe, Senator Cruz, that
it would be wise for regulatory changes to be made. Again, I
don't want to prejudge the investigation, however, it doesn't
make sense that somebody can operate a balloon commercially
without a medical certificate. To do an air tour in a
helicopter or in an airplane, that pilot would have to have a
medical, but for the same thing in a balloon, they don't have
to. We think there should be similar standards.
Senator Cruz. Thank you.
Mr. Redl, let's shift to a different topic, which is ICANN.
And I know you're familiar with this issue, that in the end of
last year, the previous administration allowed the Federal
Government's contract with ICANN to expire. Do you think that
was a wise and prudent decision?
Mr. Redl. Senator, I think there has been a lot of debate
about that. The reality is that we are in the situation we're
in. And Secretary Ross, when asked by this Committee what he
thought about the decision I think hit the nail on the head,
that the administration supports, as you see in the Fiscal 18
budget, and as Congress has said, the multistakeholder model of
Internet governance, and that with the situation in front of
us, we're going to have to move forward and be a vigorous
representative of U.S. interests before ICANN.
Senator Cruz. OK. I'm going to ask the question again. Do
you think it was a wise and prudent decision?
Mr. Redl. You know, we spent a lot of time on Capitol Hill
debating that. The reality of the situation was that once the
decision was made to announce that it was going to happen, I
think it would have been very difficult to put the genie back
in the bottle. I have spent a lot of time in my capacity as a
congressional staffer working to try to ensure that as we went
through that process, the U.S. interests were protected. I feel
confident that given the way the process turned out and the
changes that were made to the accountability mechanisms at
ICANN, that the U.S. is in a position to continue to protect
its interests.
Senator Cruz. Microsoft and Facebook and YouTube, which is
owned by Google, all of whom supported President Obama's
Internet transition, have signed a Code of Conduct with the
European Union to remove so-called hate speech from European
countries in less than 24 hours. Do you think these global
technology companies have a good record of protecting free
speech? And what can be done to protect the First Amendment
rights of American citizens?
Mr. Redl. I think the technology companies have a difficult
challenge ahead of them trying to do business in multiple
jurisdictions across very different sets of laws. I can say
confidently that if I'm confirmed and heading NTIA, I will use
NTIA's position as an advocate for U.S. interests, including
freedom of speech and free market economics.
Senator Cruz. Well, Mr. Redl, I look forward to continuing
this conversation with you because this is an issue of
considerable interest to me and I think to a great many Texans.
Thank you.
The Chairman. Thank you, Senator Cruz.
Before I recognize the Senator from Minnesota, I'll have
you note, Senator Klobuchar, that Mr. Kan has already committed
to visiting Hawaii, Colorado, and Mississippi first, so the
Senator----
[Laughter.]
STATEMENT OF HON. AMY KLOBUCHAR,
U.S. SENATOR FROM MINNESOTA
Senator Klobuchar. Very nice. Hawaii--which? Hawaii,
Colorado, Mississippi.
Senator Schatz. He can come to my state fourth because you
might want to come around January.
Senator Klobuchar. Yes.
[Laughter.]
Senator Klobuchar. But you could come to Minnesota in
January for the Super Bowl, Mr. Kan, because that's where it
will be. It will not be in any of those other states at that
time.
[Laughter.]
Senator Klobuchar. OK. So, Mr. Kan, one of the things that
we're talking about a lot in these hallways is infrastructure
investment and how important it is. For those of us who have
rural states, we have some concern about just the public-
private model and what that would mean because we think it
wouldn't quite create the incentives we need. Obviously, there
are some things we can do with public-private partnerships. Are
you willing to work with me and others on this committee to
find innovative ways to fund our infrastructure?
Mr. Kan. Yes. Senator, rural transportation patterns are
distinct from urban city transportation. You see higher car
ownerships, particularly in states such as Minnesota. And I
commit to work with you and the members of this Committee to
think through, how do we allocate capital efficiently,
particularly in rural America?
Senator Klobuchar. And you know we don't have toll roads in
Minnesota or North Dakota or Wisconsin or Iowa or Missouri. OK.
Open Skies, going to the skies now. Open Skies agreements
are important for U.S. transportation policy for all carriers.
I spoke briefly with the Secretary about this the other day.
Both Democratic and Republican administrations have pursued
these agreements. Right now we are very concerned that recent
actions by companies like Norwegian Air International, United
Arab Emirates, Qatar, are undermining our Open Skies agreements
and hurting our workers. She said that the Department is
working on this and will have a decision shortly, but it's
really becoming a problem because they are subsidizing their
airlines and then they are undercutting us in the competition.
It is that simple. What can the Department do, in your mind, to
ensure American airline workers are not harmed by unfair
competition that is not an even playing field?
Mr. Kan. Senator, this is a very important issue. It is a
topic that the Secretary has spoken about. It is an area that
will fall under my purview. I commit to quickly, as soon as I
am confirmed, to investigate and follow up on the analysis to
see is Gulf air carriers and Norwegian Air are inappropriately
subsidizing air traffic.
Senator Klobuchar. One of the FAA's--thank you. One of the
FAA's most successful government-industry partnerships for,
again, a lot of rural areas is the FAA Contract Tower Program,
which provides proven cost effective and critical air traffic
control safety benefits to 253 smaller airports in the country.
Do you agree that contract towers are a vital part of our
aviation system?
Mr. Kan. I think contract towers, as well as a lot of other
parts of the aviation system, are critical parts. It is a
system that is complex with a lot of moving parts. Each of
these pieces are very important.
Senator Klobuchar. OK. Thank you.
Mr. Redl, as Co-Chair of the Next Generation 911 Caucus, I
know that we need some upgrades to our 911 system, and I've
been working on the Next Generation 911 Act with Senator
Nelson. Mr. Redl, are you committed to working with the joint
911 Implementation and Coordination Office to advance Next
Generation 911?
Mr. Redl. Senator, absolutely. 911 is a critical piece of
our public safety infrastructure, and commercial networks have
advanced, and FirstNet is getting ready to deploy advanced
networks for our first responders. 911 is the connectivity
between the two of them. And I certainly look forward to
working with the Department of Transportation.
Senator Klobuchar. Thank you. We're also working on the Dig
Once concept to help get broadband laid, and so that's
something else we can talk about later, so I appreciate that.
Distracted driving, Mr. Sumwalt. In the last 5 decades,
traffic fatalities on our roads have been declining. However,
data recently released by the National Highway Traffic Safety
Administration shows that from 2014 to 2015, there was a 7
percent, which is high, increase in traffic fatalities. We know
that the distractions behind the wheel played a major, major
role in this. I included a provision, along with Senator Hoeven
in the FAST Act, which made it easier for states to get grants.
Actually, only the state of Connecticut got a grant one year.
This is an encouragement to states to try to upgrade their
laws, as a lot of the enforcement is done on a state-by-state
basis. Secretary LaHood took this on as a major issue, and we
appreciated that. Some of this, we understand not everyone is
going to be able to--police officers are going to spend all day
looking for distracted drivers, but we do think some of these
operations going on intermittently are a good idea, that
upgrading the state laws for both accidents and others,
education efforts, are key to this. People just don't seem to
understand that when they look at their phone when they're
going 65 miles an hour, it is like putting on a blindfold and
going the entire length of a football field. So could you
comment on your views on this and what you think we should do?
Mr. Sumwalt. Absolutely, Senator Klobuchar, and thank you
very much for your interest in this topic. The NTSB has a Most
Wanted List. Distractions in transportation is one of those
items and has been. We are very concerned about it. I
personally have moderated two roundtables on distractions in
transportation, primarily the highway mode. You pointed out the
distractions, that multitasking doesn't work very well. That's
a myth.
And we also agree with the three-legged stool, that it
requires education and awareness, it requires laws, and then
finally visible enforcement of those laws. So we are concerned
about distractions in all modes, and we look forward to working
with you and this committee in looking for ways to curb this
problem.
Senator Klobuchar. Thank you very much.
The Chairman. Thank you, Senator.
Senator Sullivan.
STATEMENT OF HON. DAN SULLIVAN,
U.S. SENATOR FROM ALASKA
Senator Sullivan. Thank you, Mr. Chairman. And gentlemen,
thank you for your desire to serve your nation.
Mr. Redl, I just want to mention that I, too, like Senator
Cruz, have some issues on the ICANN matter, and I think a lot
of us in the Senate do, so I think it will be important to make
sure we understand your views on that.
You know, a lot of us, which is normal in these hearings,
want to talk about issues that relate to our states. And in
Alaska, aviation and infrastructure and transportation is
absolutely critical for us.
So just a few facts about my state. I think there are only
17 other countries in the world that are bigger than Alaska.
Unfortunately Senator Cruz has left, but he has heard the line
from me before, if you split Alaska in half, Texas would be the
third largest state in the country. We have 82 percent of the
communities in Alaska are not accessible by road, 82 percent.
251 communities in my state are exclusively accessed by air
only, no roads. Over 60 communities in Alaska are covered by
the Essential Air Service.
So, Mr. Kan, I want to talk a little bit about these
issues. Some people talk about rural. We're extreme rural, as
you can kind of understand from those facts.
You and I have talked about this FAA weather policy that
has put Alaska in this very difficult dilemma where the FAA has
not funded new weather infrastructure in Alaska since the
1990s, and yet is now trying to apply a nationwide standard on
practices that would essentially shut down air service to many,
many of the communities I just mentioned. Under Secretary Rosen
committed to me during his confirmation process to work with us
on this issue. You and I have had a long discussion in my
office about it. Can I get your commitment here to continue
that discussion in a way that is resolved satisfactorily to my
constituents?
Mr. Kan. Senator, I looked into this. Rural aviation is
critical. I believe 47,000 jobs in Alaska depend on the
aviation industry. 82 percent of the communities are not
accessible except through rural transportation. I commit to
work with you and your staff on the FAA weather issue to find a
path forward that is satisfactorily addressed with by you and
your office.
Senator Sullivan. Great. I appreciate that. We all want
safety, it's critical to my state, but we need to actually be
able to fly into these communities, and a one-size-fits-all on
air policy does not work in my state for some of the reasons I
just mentioned.
Let me talk about another issue. Secretary Chao was in
front of this Committee just yesterday. A lot of discussion
with regard to the FAA and the Essential Air Service. A lot of
people don't remember this, but when there was aviation
deregulation, there was concern by the Congress that once
airlines were deregulated, they would no longer fly to smaller
communities, so they established Essential Air Service to help
with some of the communities that I just mentioned. Literally
hundreds in my state, hundreds, with no roads to them.
So I need your commitment to work with states like mine and
others on the Essential Air Service program to make sure that
the promises made during airline deregulation are not now
forgotten just because it was a couple of decades ago when we
deregulated.
Mr. Kan. Senator, the Essential Air Service program, which
I think was created October 1978 during deregulation, is an
important program. I understand it serves about 150 rural
communities, the plurality of those----
Senator Sullivan. Over 60 of which are in my state.
Mr. Kan. Exactly.
Senator Sullivan. And this is not just some kind of
convenience where, hey, you can either drive to the state or
get a flight a few hours later. You can't drive to these
communities, hundreds in my state.
By the way, I know you've committed to come to beautiful
places like Hawaii, which is beautiful, but so is my state. So
I think I already got your commitment to come up, right?
Mr. Kan. Twice.
Senator Sullivan. Yes, good.
[Laughter.]
Senator Sullivan. Thank you. You can come in the summer,
but I recommend the winter, too.
Mr. Kan. Four times.
Senator Sullivan. Good. So on Essential Air Service?
Mr. Kan. Yes. I understand it's a very important program,
and I look forward to work with you and your office and figure
out how we address some of the needs of rural airports.
Senator Sullivan. Thank you. One other issue. We're talking
a lot about infrastructure, and I think there's a lot of
bipartisan support here. Something else we had talked about,
we'll be introducing a bill next week, the Rebuild America Now
Act. You could have a trillion dollar infrastructure fund, but
if we don't fix our broken permitting system, where now on
average in America it takes 6 years to permit a bridge, 15
years to permit a runway, a new runway, in the Sea-Tac Airport,
the system in terms of infrastructure is going to continue to
just face enormous challenges.
Can I get your commitment--I've already got it from
Secretary Chao and others--to work with me and this Committee
on looking at ways to further refine, streamline, and make more
efficient our Federal permitting system, which is broken and
inhibits the building of infrastructure that is so desperately
needed throughout our country?
Mr. Kan. Senator, you have been a leader on this issue and
made significant progress. We have brought down the permitting
timelines I think from an average of 72 months now to 44
months. Forty-four months still seems like a very long time. I
look forward to work with you and your office to making sure we
continue to streamline permitting processes, particularly for
key infrastructure projects.
Senator Sullivan. Great. Thank you. And I will have
additional records--questions for the record, Mr. Chairman.
The Chairman. Thank you. And did you say to make Texas the
third largest state, split Alaska in half? Is that what you
said?
Senator Sullivan. I said if you split Alaska in half, Texas
would be the third largest state in the country.
The Chairman. Well, I'm pretty certain if you flatten
Colorado out, it becomes the fourth, so we might as well just
start----
[Laughter.]
Senator Sullivan. That's a good one. I haven't heard that
one.
[Laughter.]
The Chairman. Senator Young.
STATEMENT OF HON. TODD YOUNG,
U.S. SENATOR FROM INDIANA
Senator Young. Thank you, Chairman.
Mr. Kan, yesterday I spoke with Secretary Chao regarding
the importance of the Capital Investment Grant program to my
home state of Indiana, the ``Crossroads of America'' we like to
call ourselves. I was pleased to see the administration
recognize the importance of this program in their recent FY18
budget request requesting $1.2 billion for this transit
program. As you prepare to begin your work with Secretary Chao
this summer, I want to reiterate the bipartisan support this
program has here in Congress and the support it has back home
in my Hoosier state.
As the Federal Transit Administration works toward the
release of FY19, the annual report, I would urge you to
recognize the multitudes of communities across the country, but
my home state, at South Bend, Gary, and others that are
depending on the viability of this program in coming years.
Mr. Kan. Yes, sir. Having been in Indianapolis just 2 weeks
ago, I recognize a lot of the key infrastructure throughout the
state. I know that Capital Investment Grants, the CIG program,
is an important mechanism. I think as part of this
infrastructure process development, policy development, that we
are exploring all forms of government programs and what are the
most efficient ones to keep and optimize, including the
Capital--the CIG program.
Senator Young. I'm encouraged to hear that. Thank you for
visiting Indianapolis in preparation for this hearing. I hope
you spent a lot of money while you were there.
[Laughter.]
Senator Young. Mr. Redl, a great deal of spectrum is
allocated for use by the Federal Government, but that doesn't
mean it's always being used by a governmental entity. In the
House, I served as Co-Chair of the Electronic Warfare Working
Group, something I mentioned to you when we recently visited. I
learned a great deal about how the military shares spectrum
when their needs are limited by time or geography. That said,
the military and other agencies are hesitant to ultimately give
up their spectrum for commercial use, typically for
understandable reasons. What are your thoughts on what more can
be done to provide reasonable protections for ongoing Federal
uses without allowing such limited uses to keep nationwide
spectrum out of the hands of economically productive commercial
activities?
Mr. Redl. Well, Senator, I think the NTIA to date has done
an admirable job of trying to understand the needs of the
agencies for which they are authorizing spectrum use and
finding ways to find new synergies, new efficiencies, to get
more spectrum to the commercial space. That being said, those
government agencies have essential missions. And we need to
make sure that we have a process in place and continue to
engage in that process to protect their interests in their
missions while still trying to find more space. It's going to
take some ingenuitive approaches at this point, we're going to
have to be creative. As it turns out, spectrum demand on both
sides is going to continue to grow, but it's a challenge that,
if confirmed, I look forward to.
Senator Young. And over time, every process can be
improved, every bit of dialogue between different governmental
entities can be optimized, so I'll look forward to working with
you in the future to improve that process.
Can more be done to leverage commercially available
services to improve the efficiency, effectiveness, and
affordability of the Federal telecom systems?
Mr. Redl. I think so, and I think that's something that I
would love to work with you and your staff on looking at. It is
a challenge to get in and talk to these agencies and find out
how to find synergies, but where we're able to do so, as we
have in the past, as a congressional staffer, I worked very
deeply on working on the AWS-3 transition and getting our
government incumbents to be able to get out of portions of the
1.7 gigahertz band without compromising their missions, and in
some cases, that involved looking at whether or not commercial
alternatives made sense. I would love to continue working on
that.
Senator Young. I will look forward to working with you on
that as well. And do you believe there's an opportunity to
improve spectrum efficiency through the procurement and
management of Federal systems?
Mr. Redl. There's always an opportunity for more efficient
use of spectrum, and that's the ongoing challenge and frankly
the fun of working in spectrum policy. The technology keeps
changing, and it forces you to keep evaluating and figuring out
how changes on both the government-use side and the commercial
technology side can be used to make each other better users of
spectrum.
Senator Young. Well, I thank you for your service.
And, Mr. Chairman, I yield back the balance of my time.
The Chairman. Thank you, Senator Young.
And, Senator Peters, the author of the great America
Innovation Act, your turn.
STATEMENT OF HON. GARY PETERS,
U.S. SENATOR FROM MICHIGAN
Senator Peters. From one author to another, thank you so
much, Senator Gardner. It was a pleasure to be part of that
bipartisan legislation with you. And nice to see you in that
chair. So thank you for calling on me.
Very nice to have each of our witnesses here today. Thank
you for coming to talk about really some--you're going to have
some exciting times ahead of you really when you think about
transportation and communications coming together, something
that I'm very passionate about, being a Senator from Michigan,
and what will be likely the most transformative technology for
the auto industry since the first car came off of the assembly
line, and that's in self-driving autonomous vehicles that will
be linked with communications systems to each other, have all
sorts of technology on them to allow very safe operation. And
from a safety perspective, we may be able to eventually
eliminate most auto crashes at a time when nearly 40,000 people
die on our highways. That's obviously a big deal. But we have
to make sure that this technology continues to move forward,
the innovation moves forward.
I'm particularly pleased that the Chairman of this
Committee, Senator Thune, has been very engaged in this issue
as well. In fact, the two of us are working on some bipartisan
legislation that we hope to introduce shortly. We'll likely be
working with all of you when it comes to actually implementing
some of these new regulations in order to further the
technology that is so remarkable coming down the pike.
So with that, Mr. Kan, I wanted to talk to you a little bit
about kind of your view, your vision, of where you see this
technology going, how the Department will continue to further
it. I was pleased that in the previous administration a
facility in my state, in Ypsilanti, the American Center for
Mobility, was selected as one of ten validation sites and
testing sites.
These sites are going to be critical to bring all of the
companies together. These vehicles all have to work together.
In different companies, it's a different business model. You
have to have a Toyota talking to a Ford while it's on the road,
and a Ford to a GM and to a Nissan, and they have to all be
tested in one place.
So I'm curious as to your vision for that kind of testing
regime, also where you see autonomous vehicles going, and how
you plan to be a part of that process?
Mr. Kan. Thank you, Senator Peters, for raising this very,
very important issue. I know that you and Senator Thune have
been working on this topic for the last three and a half
months, and we begin to see some of the needs for this
committee and the Congress to step in. I believe there are 70
bills across 30 states dealing with AV that have either been
introduced, acted upon to some extent, and it really highlights
the need for a Federal role here. I think the vision of AV is
exciting.
It is clear from most folks in Silicon Valley that our
children will be sitting in self-driving cars, and their
children may be sitting in self-driving flying cars. And,
Senator, you and Senator Thune have been really the leaders on
balancing this question of, how do we protect safety while not
stifling innovation?
Early at a high level it seems like having the right
balance of making sure we set some direction without strangling
innovation is the key balance, and it sounds like you and
Senator Thune are headed down a right path to find that right
balance while also not creating an unwieldy patchwork of
regulations across the country.
Senator Peters. Well, if confirmed, I will look forward to
working with you on that. It sounds as if you're enthusiastic
and excited about the future.
Mr. Kan. Yes.
Senator Peters. It is about the balance. And we're going to
have to figure out this balance for a variety of new
technologies as they're coming down the pike that we've got to
be concerned about safety and be concerned about some of those
core policy issues, but also understand we can't stifle
innovation because we are living at the verge of a very
exciting time, even if it leads to self-flying cars, as you
just mentioned, Mr. Kan, which is certainly an ambitious goal
to see going forward.
But part of the ability to achieve this, and, Mr. Redl, you
addressed this a little bit with Senator Young's comments, but
I would like both of your comments, both Mr. Redl and Mr. Kan,
is that in order for this technology to work, we have to share,
potentially share, some spectrum. As you know, the 5.9
gigahertz band has been dedicated for short-range
communications within the auto industry, vehicle-to-vehicle.
There is a process going forward right now to see whether or
not that can be shared.
I would hope that I would have both of your commitments to
make sure that this is a fair and transparent process that is
driven by the facts. Sharing can be an important part of it
all, but we have to understand that these technologies related
to auto safety, the communications vehicle-to-vehicle using 5.9
gigahertz, is really about saving lives, and that should always
be the priority, is to use the spectrum because this is key to
this technology being fully utilized and this technology
bringing the incredible advances in auto safety that it
promises.
So if you could comment briefly on your commitment to
making sure this is a fair, transparent process, and only facts
will drive the ultimate decision, and also understanding that
safety should be paramount.
Mr. Redl. Senator, I completely agree. We should be pushing
for transparency at every venture in everything we do related
to spectrum. It's critical that as we look particularly at
DSRC, we've had over 10 years of time, money, and energy
invested into finding ways to make that spectrum work for auto
safety, a large chunk of which in the test bed at Ann Arbor.
And so I think as we go forward and look at ways to increase
use in that band, just like every other band that NTIA looks
at, and that the FCC does for that matter, we need to ensure
that those systems that have been planned for and are incumbent
are protected as we look at additional uses.
Senator Peters. Great. Thank you.
Mr. Kan?
Mr. Kan. Yes, you have my commitment.
Senator Peters. Great. Thank you. Appreciate it.
Mr. Chairman?
The Chairman. Thank you, Mr. Chairman.
Senator Capito.
STATEMENT OF HON. SHELLEY MOORE CAPITO,
U.S. SENATOR FROM WEST VIRGINIA
Senator Capito. Thank you, Mr. Chairman, and thank all of
you for coming today and for your willingness to serve. I
appreciate that very much.
I am going to talk--I've met all of you, so I appreciate
that. One of the things I want to talk about on our nation's
infrastructure obviously improve safety for motorists, relieve
congestion, and all of these things, but I am extremely
interested in how we can increase our high-speed broadband
Internet access with an infrastructure package. I think that
rural states like mine are particularly challenged. It needs to
be available and affordable for all, and it's not. And there
are technological challenges, but at the same time, they're not
insurmountable. And so I've talked with each one of you
individually on this.
And I would like to say to Mr. Redl, first of all, during
the stimulus package of 2010, West Virginia received a lot of
money in the BTOP program to build out our middle mile network,
yet we're still 48th in the country. It was, I would say--I
wouldn't say it was an abysmal failure, but there was a lot of
wasted money in that program.
So what should we consider, as Congress, for future
broadband infrastructure investments? Is a lack of broadband in
rural America, as I believe, a common theme that you see? And
can you talk more about economic benefits that you see there?
And will you work with me to help in this endeavor?
Mr. Redl. Thank you, Senator. We'll start with of course I
am looking forward to working with you and your staff----
Senator Capito. Good answer.
[Laughter.]
Mr. Redl.--to address rural broadband issues. I grew up in
a rural part of New York, which I know most people think of New
York and think of Manhattan, but there's a large rural portion
upstate. And I saw firsthand as a child as broadband first came
to my hometown, what that meant for my family's business. It
meant new markets and new opportunities and new economic value.
And certainly I think everyone in America should be able to
benefit from the economic value of broadband. I agree with you,
that BTOP, the program in West Virginia, was a lost
opportunity. I think that that program had the best of
intentions to bring things out, and it just didn't play out in
West Virginia in a way that brought the most value to West
Virginians. I spent a fair amount of time in Energy and
Commerce working on that challenge, and if I'm confirmed, I
would want to work as part of the administration to look across
all the different challenges that are facing each individual
state, and particularly rural areas, and try to find individual
mechanisms that will help support private sector investment in
those places.
Senator Capito. Great. Great. And I look forward to working
with you.
I wanted to ask Mr. Kan another broadband question, but I'm
going to go to Mr. Sumwalt because I want to make sure I have
time for this. As we talked about, thank you for coming to my
office and meeting with me. And I just want to take this
opportunity to thank you and the NTSB for your professionalism
in an accident that we had and the investigation that's moving
forward in Charleston, West Virginia. I was particularly
interested when you told me you started reading accident
reports when you were in high school, so this has been a
passion of yours for a long time. And I think the way that
you've conducted yourself in the past certainly bodes well for
the NTSB in the future. So thank you very much. And I look
forward to voting for you.
Mr. Sumwalt. Thank you so much.
Senator Capito. Thank you.
Mr. Kan, very quickly. You're over in Transportation. I've
been pleading with Secretary Chao, and we've written letters to
the President to sit with several of my colleagues again on the
broadband initiative to have it included in an infrastructure
package. How do you see transportation--I think there are some
great synergies in transportation and broadband deployment--how
do you see those as being hand-in-hand?
Mr. Kan. Thank you, Senator, for this question. It's very
important. As we begin to get permits for infrastructure, it's
oftentimes easy, as you find right-of-way issues, to address
some of the broadband right-of-way issues, and so there are a
lot of synergies as you begin to gather permits, file
paperwork, figuring out how to lay roads to lay cable right
next to them. And therefore especially in rural parts of the
country--and I was actually in Morgantown this past weekend to
see that it is important as we begin to address rural
infrastructure to also think about rural band hand-in-hand.
Senator Capito. Well, I look forward to that. I think some
of the permitting issues--I talked with the Forest Service
yesterday. They could be a good partner there. Obviously, in
the West there's a lot of forest, but still in the East there
are lots of forests where you've got to go in and around to get
to certain areas, and this is an area that they're looking at
as well in terms of being helpful, not in the private sector,
but for emergency services and for their own internal work.
So I look forward to working with you. I hope that coupling
of traditional transportation issues along with the other
economic development, particularly broadband, and ease of
permitting, and really what makes sense policy, in my view, is
continued under your stewardship. Thank you so much.
Mr. Kan. Thank you.
The Chairman. Thank you, Senator Capito.
And we have now entered the phase of the hearing known as
the stalling phase. Ah, very good. Senator Thune, just in time.
[Laughter.]
STATEMENT OF HON. JOHN THUNE,
U.S. SENATOR FROM SOUTH DAKOTA
Senator Thune. Thank you, Senator Gardner, thanks for
chairing, and thank you all for being here. We appreciate your
willingness to serve. It has already been highlighted, we have
a distinguished group of very well-qualified nominees before
our Committee today, and if confirmed, each of you is going to
have an opportunity to serve in a critical position to move the
Nation forward. And so I've just got a couple of quick
questions, and we'll wrap this up.
But this is for Mr. Kan. The FAST Act required the DOT to
develop a comprehensive multimodal freight map that identifies
corridors for the movement of goods from origin to destination.
Last June, DOT published a notice requesting comments on an
interim national multimodal freight network. In response, the
South Dakota Department of Transportation, along with most
other state DOTs, commented that the interim network was
insufficient and suggested additional designations for the
network.
So given the importance of an expanded network, I ask for
your commitment to consider all the comments from the states on
ways that the freight network can better represent the flow of
goods within our multimodal system.
Mr. Kan. Absolutely, Senator. Having been in South Dakota
just 2 weeks ago, I traversed 400 of the 678 miles of
interstate highway along I-90. It is clear that freight plays
an important role in South Dakota, as well as the Nation. You
have my commitment to incorporating all--a lot of the state
input into building that freight map.
Senator Thune. Great. Thank you. And as Senator Gardner
pointed out, that you went past Wall Drug if you did that.
[Laughter.]
Senator Thune. You also went past my hometown. But we do.
We rely heavily on the interstate system, all the Federal
highways and both state and local roads, too, getting our goods
to the marketplace, agricultural commodities. Of course, during
the middle of tourism season, the state is very busy, and
especially the middle of the Sturgis Rally, which will be
coming up here in a few couple of months.
But, Mr. Redl, the demand for spectrum, and you've probably
already been asked about this, but continues to grow with the
pace of innovation among both private sector and Federal users.
As you know, we can't create more spectrum, so the government
is going to have to figure out how to use what we have more
efficiently. And so my question is, how do you intend to
balance competing demands for spectrum that's already in short
supply?
Mr. Redl. Senator Thune, I think that's part and parcel of
what NTIA does every day. They've got a great process in place
and one that I'd like to expand on to make sure that there is
work through the Policy and Planning Steering Group, which
meets across the different Federal agencies, as well as the
Interagency Radio Advisory Committee, the IRAC, to make sure
that agency needs are met, and, frankly, to bring best
practices across all of these agencies to try and find
synergies and efficiencies, and that helps us find additional
spectrum to bring to the commercial sector.
Senator Thune. The Spectrum Pipeline Act modified the
Spectrum Relocation Fund, the SRF, to help Federal agencies
fund key R&D activities which could lead to freeing up more
spectrum in the future. Agencies developed R&D plans, which
have been submitted to NTIA, and until NTIA approves the plan,
OMB can't release any funds. Concerns have been raised that
NTIA's review process has slowed so much that SRF funds are not
being disbursed as Congress had hoped when enacting the
Pipeline Act.
If you're confirmed, will you commit to looking into this
issue and ensuring that SRF funds are disbursed in a timely
fashion and in accordance with congressional intent?
Mr. Redl. Yes, Senator.
Senator Thune. Finally, as you know, FirstNet is an
independent authority within NTIA tasked with the creation and
operation of a Nationwide Interoperable Public Safety Broadband
Network. This spring, FirstNet selected AT&T to be its first
private partner to build out and operate this network signing a
25-year agreement in which AT&T will spend about $40 billion to
build a high-speed network for the millions of public safety
users in all 50 states, 5 U.S. territories, and the District of
Columbia, including those serving rural communities and tribal
lands.
Should you be confirmed, what will you do as NTIA
Administrator to maintain visibility into the operations of
FirstNet and to conduct oversight to see that FirstNet remains
on time and on budget?
Mr. Redl. Mr. Chairman, the NTIA is, if nothing else, the
principal adviser to the President. And FirstNet, as part of
the Department of Commerce, also falls under the same rubric.
The statute is clear, that NTIA is to work with FirstNet and
with the states to make sure that there is deployment
particularly in rural areas. I think the idea, and then we've
been happy to see, AT&T has said that they will be able to get
public safety users on their network as priority users as soon
as the end of this year. And the rural benchmarks that are in
the Middle Class Tax Relief and Job Creation Act will help make
sure that there is build-out to rural areas where we don't
already have coverage.
Senator Thune. Mr. Chairman, I have a question for Mr.
Sumwalt, which I'll submit for the record.
But I thank you and I thank all of you for your willingness
to serve and for being here today. Thank you.
The Chairman. Thank you, Mr. Chairman. Thank you.
Senator Cortez Masto.
STATEMENT OF HON. CATHERINE CORTEZ MASTO,
U.S. SENATOR FROM NEVADA
Senator Cortez Masto. Thank you, Mr. Chairman.
And thank you to all of you for your willingness to serve.
Let me just say I'm juggling three Committee meetings, so I
appreciate your indulgence in letting me come.
Mr. Redl, thank you for coming to visit with me. It was a
great conversation, so I'd like to start with you if that's all
right. I enjoyed the conversation, and we talked a little bit
about your work experience and allowing me to underscore some
of the challenges we deal with in trying to ensure
telecommunications technology can reach and effectively work in
each corner of my state of Nevada, which is both urban and
rural areas.
One of the things we discussed is the intent to continue
working in a collaborative fashion across the Federal
Government to solve some of the barriers to broadband or
wireless deployment and reliability. Can I get a commitment
from you to break down bureaucratic silos to getting timely
siting of telecommunications technology on public lands, and
that your interagency working group will be maintained and work
in concert to help us expand rural broadband to places like
remote parts of Nevada?
Mr. Redl. Senator, yes, if confirmed, I intend to continue
that and to work with my colleagues throughout the Federal
Government.
Senator Cortez Masto. Thank you. I appreciate that.
And, Mr. Kan, thank you again for your willingness to step
up to the plate and work with us. We have seen upticks in
roadway fatalities in recent years as well as continued
concerns with some rail safety operations because of the lack
of Positive Train Control installed. Obviously, these are
indications that we need to continue to be vigilant and stay
focused on raising the bar of safety in our country. I believe
that's where innovation and technology can be vital. Would you
concur?
Mr. Kan. Absolutely, Senator.
Senator Cortez Masto. Can you commit that during your
tenure at the Department that you will help advance
transportation innovation and safety?
Mr. Kan. Yes, sir. Yes, ma'am.
Senator Cortez Masto. Thank you. And that you will consider
and raise concerns when questionable policies like hiring
freezes or executive orders hold up necessary safety
regulations where people's lives or livelihoods are at stake?
Mr. Kan. Absolutely.
Senator Cortez Masto. Thank you. I appreciate that.
And then to--I know the question is here somewhere. Oh, I
thought it was here. Excuse me. Thank you.
Mr. Sumwalt, as you stated in your testimony, you've been
at the NTSB since 2006, correct?
Mr. Sumwalt. That's correct.
Senator Cortez Masto. Yes. How many derailments or serious
rail incidents do you think you've had to go to and investigate
in that span?
Mr. Sumwalt. Entirely too many.
Senator Cortez Masto. Yes, that's what I thought. How many
of those have had various causes?
Mr. Sumwalt. Well, we find that there are numerous causes,
but we find that Positive Train Control is one very effective
mitigation factor, and that's one thing that, of course, has
been mandated by the Congress, and we're hoping that it will be
implemented sooner than later. We feel that for every day that
goes by without PTC, we have a risk of a rail disaster.
Senator Cortez Masto. I think of rail safety, and while we
have a very safe industry writ at large, it only takes a small
mistake to make a big impact, as you well know. Take, for
example, the February 2015 crude bi-rail event in Mount Carbon,
West Virginia, or similar event in Oregon from June 2016. These
incidents were the result of poor inspections by humans, and
yet they caused significant damage because of the fire caused
by the nature of the crude oil product that was being shipped.
As an NTSB Board member, one who led the investigation into
Amtrak 188, would you be a staunch proponent of the
installation of Positive Train Control?
Mr. Sumwalt. Absolutely. NTSB has advocated for that since
1970, and we have strongly pushed for that, and unfortunately
it took a disaster to have that be required in the Rail Safety
Improvement Act of 2008. And so we continue to push for it, and
we continue to go to accidents that could have been prevented
had it been in place.
Senator Cortez Masto. And I think this has been discussed,
but you'd agree that technology like PTC and ECP brakes are
incredibly important to raising the bar of safety for rail
operations in the country.
Mr. Sumwalt. Indeed.
Senator Cortez Masto. Thank you very much. I appreciate the
conversation.
The Chairman. Thank you, Senator.
And thank you to all the witnesses again and your families
for being here, your willingness to serve the country. The
hearing record will remain open for 2 weeks. During this time,
Senators are asked to submit their questions for the record.
Upon receipt, I would ask the witnesses to get their homework
done as quickly as possible and return it to the Committee.
Thank you very much for your time today. This hearing is
adjourned.
[Whereupon, at 11:20 a.m., the hearing was adjourned.]
A P P E N D I X
Response to Written Questions Submitted by Hon. John Thune to
Derek T. Kan
Question 1. Mr. Kan, should you be confirmed, you will be charged
with advising Secretary Elaine Chao on legislative and regulatory
initiatives and lead policy development across all modes of the
Department of Transportation (DOT). In your questionnaire, you mention
that of the many challenges facing the agency, refreshing and
modernizing our transportation infrastructure to promote economic
productivity is a priority. What approach should DOT take to improving
infrastructure and what role do you see public-private partnerships
playing as we address infrastructure revitalization?
Answer. If confirmed, I will seek to implement long-term reforms
for the regulation, funding, delivery, and maintenance of
transportation infrastructure projects. Simply providing more Federal
funds, without a strategic approach to infrastructure investment, is
not an effective solution to the Nation's infrastructure challenges.
Instead, U.S. DOT investments should be targeted to ensure the greatest
potential positive impacts on the economy, particularly with respect to
leveraging state and local resources. It is important to broaden and
expand participation in infrastructure funding so that more projects
can be undertaken overall and so that we do not supplant existing
state, local, or private funds already dedicated to infrastructure. The
private sector can serve an important role in leveraging existing
resources for more effective infrastructure development. While public-
private partnerships are not a one-size-fits-all approach for all
projects, private sector investment and expertise has the potential to
bring more efficient procurement methods, innovative design approaches,
market discipline, and a lifecycle focus on asset management.
Question 2. In the FAST Act, we established the National Surface
Transportation and Innovative Finance Bureau, which is intended to
serve as a one-stop-shop for States and local governments to receive
Federal financing or funding assistance. The President's Fiscal Year
(FY) 2018 budget includes a request of $3 million, which is the same
level the Bureau was funded at in the FY 2017 appropriations passed
into law this past May. The Executive Director for the Bureau will
report to you as the Under Secretary of Transportation Policy should
you be confirmed. How will you work with the Bureau to develop creative
financing solutions to address infrastructure?
Answer. If confirmed, I will work with the Bureau to develop
financing solutions that leverage state, local, and private funds for
infrastructure development. The Bureau's TIFIA and RRIF loan programs
have proven to be popular tools for the financing of transportation
infrastructure, with an existing portfolio of over $27 billion in loans
supporting nearly $90 billion in overall project value. The Private
Activity Bonds (PABs) program has also been an essential component of
the financing plans for many public-private partnerships, with over $11
billion in allocations to-date. I would work with the Bureau to broaden
the availability and accessibility of such financing tools to more
state and local decision-makers.
Furthermore, if confirmed, I will work with the Bureau to develop
and promote best practices in innovative finance and P3s and provide
extensive technical resources for states, municipalities, and other
public and private sector entities that are considering P3s. It is
critical to ensure that state and local decision-makers, serving on the
front-lines of our national infrastructure challenges, are equipped
with cutting-edge resources. This includes P3 toolkit materials,
training opportunities, project-specific technical assistance, peer
knowledge exchanges, value for money evaluation tools, and other expert
resources to support the knowledgeable and responsible implementation
of innovative project financing and delivery.
Question 3. In your questionnaire you mention that one of your
priorities, if confirmed, would be to promote a culture that eliminates
waste, fraud, and abuse. In February of this year, the Committee held a
hearing at which DOT Inspector General (IG) Scovel testified that DOT
continues to face delays in addressing recommendations to improve
pipeline and hazardous material safety issued both by DOT OIG as well
as National Transportation Safety Board. If confirmed, what steps would
you take to eliminate waste, fraud, and abuse at the agency as well as
address the outstanding recommendations made by DOT regarding pipeline
and hazardous material safety?
Answer. If confirmed, I will work with PHMSA to address outstanding
audit recommendations as well as other problems that are identified.
Question 4. Until recently, in addition to your role as a Director
on the Amtrak Board of Directors, you also served as a Manager for
Lyft, a company which has testified before this committee on the topic
of self-driving cars. Should you be confirmed, how will the Department
work to integrate emerging technologies such as self-driving vehicles?
Answer. If confirmed, I can assure you that the thoughtful
integration of technology into the transportation system to achieve our
national goals will be a top priority of mine. I believe this can be
done through several different approaches. First, the Department will
take an active role in encouraging open communication with the public
and key stakeholders to identify where technological improvements can
have a beneficial impact on safety, our economy, improving fuel
efficiency, enhancing mobility, and reducing congestion. Second, I will
work to ensure the Department continues to seek ways to reduce
regulatory burdens and other institutional barriers, where possible, to
support industry innovations reaching full deployment in the shortest
time possible. Third, I will work to streamline internal Departmental
reviews and expedite the necessary research and analytical processes to
help match the pace of private sector innovations. Lastly, but most
importantly, I will ensure that improving transportation safety remains
our top priority. The adoption of innovative technologies offers
tremendous potential to realize dramatic safety outcomes for our
Nation. Encouraging new ideas that deliver safer vehicles will be a
near term focus area. However, I will also seek to balance the pace of
innovation with proper safety assurances and oversight. The Department
will continue to play an active role in ensuring that automated
vehicles and other emerging technologies receive the necessary
development, validation, and performance testing required to reliably
integrate these technologies in a manner that will deliver many
benefits, but first and foremost, improve transportation safety.
______
Response to Written Questions Submitted by Hon. Deb Fischer to
Derek T. Kan
Question 1. Mr. Kan, to ensure the economic security of our
country, freight must be able to move smoothly across several modes of
transportation. Our intermodal connections are critical for ensuring
freight continues to flow. The FAST Act requires a National Strategic
Freight Plan, and the Department of Transportation has issued a draft
for public comments. During this time I look forward to reviewing
additional proposals to address intermodal connections. What do you
believe are the best strategies for improving our intermodal
connections?
Answer. I agree that the efficiency of goods movement depends on
high performing intermodal connections among our road, rail, and
waterborne transportation systems. First and last mile connections that
connect freight producers and distributors with major rail, port,
airport, and intermodal facilities are critical for the timely and
reliable movement of freight.
One step that we can take is to more clearly articulate the
importance of intermodal connectors as critical links in freight
transportation supply chains serving local economies and national and
global markets, which can help ensure that improvements for intermodal
connections are fully considered in the transportation planning
process.
Question 2. Mr. Kan, as you know, both rural and urban communities
face different infrastructure challenges. What works in one area may
not work in another. That's why I am in favor of the formula freight
program, which provides each state guaranteed funding for a wide array
of urban and rural corridor highway freight projects. Do you believe
that the freight program can represent an equitable way to strengthen
our infrastructure for both rural and urban communities?
Answer. In the next 30 years, the U.S. economy is expected to
double in size and the Nation's population is projected to increase by
68 million people. Driven by this projected economic and population
growth, freight movements across all modes are expected to grow by
roughly 42 percent by the year 2040. We also recognize that this
projected freight growth may affect rural and urban communities
differently, and that the Department's freight efforts must ensure that
rural communities' unique challenges are addressed.
Question 3. Mr. Kan, I am pleased to see the President and
Secretary Chao talk about the importance of regulatory reform as a way
to address infrastructure investment and freight movement. Federal
regulations tend to be prescriptive, where the government dictates how
industry will meet a standard. I'm looking at ways we can adopt
performance-based standards, which would allow stakeholders to develop
innovative methods for achieving a regulatory goal. Do you agree that
performance-based standards could facilitate innovative compliance and
safety technologies? If so, what modes of transportation or issues do
you believe would be best suited for using performance-based standards?
Answer. As I understand it, all the modes within the Department
look at the possibility of performance-based standards to ease
compliance while maintaining safety. If confirmed, I plan to use
performance-based standards wherever possible consistent with
maintaining the highest level of safety.
______
Response to Written Questions Submitted by Hon. Bill Nelson to
Derek T. Kan
Question 1. President Trump has talked about investing $1 trillion
in our infrastructure. The President's recent budget proposal, however,
would slash infrastructure funding. These cuts will hurt many projects
in Florida. If confirmed, what would your recommendation be to the
President on how to invest in infrastructure?
Answer. It is my understanding that the Department seeks to broaden
and expand participation in infrastructure funding so that more
projects can be undertaken overall and so that we do not supplant
existing state, local, or private funds already dedicated to
infrastructure. If confirmed, I will take a holistic approach when
considering how best to make national infrastructure investment
recommendations to Secretary Chao in support of the President's agenda.
Question 2. Do you support direct Federal funding for Amtrak and
capital investment grants?
Answer. If confirmed, I will look into Amtrak funding issues and
capital investment grants. I think it is important to evaluate Federal
funding and capital investment grants in the context of other economic
and transportation priorities.
Question 3. In 2016, a record 32 panthers were killed by cars in
Florida. We are working very hard to bring this endangered species back
from the brink of extinction, but that could be wasted effort if we are
not able to protect panthers from being hit by vehicles. That's why
wildlife crossings are such an important conservation tool for
panthers, black bears, and other animals. Do you support funding or
resources for wildlife crossings, especially along roads like Alligator
Alley (I-75) that would otherwise create habitat fragmentation?
Answer. We should seek to protect wildlife while facilitating
efficient transportation, and to use data to set sound policy. If
confirmed, I will work with the Federal Highway Administration and
other DOT entities working on this issue to develop and support cost-
effective strategies to reduce wildlife strikes, habitat loss, and
habitat fragmentation.
Question 4. There are many important rail projects in Florida that
rely on Federal support through funding, financing, and assistance with
advancing projects. Further, according to Operation Lifesaver, Florida
is one of the worst states for highway-rail grade crossing fatalities.
The FAST Act required the Department of Transportation to convene
the Gulf Coast Working Group to evaluate options for restoring Amtrak
service in the Gulf Coast region, including along the panhandle of
Florida. The report from the working group was due in September 2016.
Do you commit to quickly submit this report to Congress?
Answer. If confirmed, I will check on the status of this report and
try to expedite its completion
Question 5. The FAST Act included provisions to streamline the RRIF
loan process and increase utilization of the program. Will you ensure
those provisions are implemented expeditiously?
Answer. Yes, if confirmed, I will work to ensure that those
provisions of law are implemented expeditiously with the goal of
streamlining the process consistent with protecting the taxpayers'
interests. I understand that the Department, through its Build America
Bureau, has already been working to streamline the RRIF loan process
and increase utilization of the program, in accordance with provisions
in the FAST Act.
Question 6. What additional steps can the Department take to help
applicants move through the RRIF process?
Answer. If confirmed, I will explore ways the Department can help
move applicants through the RRIF process more quickly. With the
establishment of the Build America Bureau, in accordance with the FAST
Act, there has been a focused effort to identify inefficiencies in the
RRIF process and to reduce the time required for certain steps.
Question 7. The All Aboard Florida project was issued a final
environmental impact statement over 18 months ago. The Department has
yet to issue a Record of Decision on the project. Will you commit to
look into this issue?
Answer. Yes, if confirmed, I will look into this issue.
______
Response to Written Question Submitted by Hon. Maria Cantwell to
Derek T. Kan
Question. Last November, the voters of the Puget Sound Region voted
to increase their taxes in order to expand our light rail system to a
116-mile network. The congestion in the Puget Sound Region has almost
doubled in just the last five years. In fact, when Sound Transit opened
just two new light rail stations in March of 2016, ridership on the
system spiked by more than 70 percent. This expansion was made possible
through a combination of local funds and Federal funds from DOT.
Looking forward, Sound Transit has been working their way through
the FTA pipeline to advance expansions to the cities of Lynnwood in the
North and to Federal Way in the South. These projects will create
thousands of quality construction jobs. The Lynnwood Extension is in
the Engineering phase has a commitment from the FTA for $1.17 billion
and received the first installment of $100 million in FY 2017 from
Congress. The Federal Way Extension is in the Project Development phase
of the pipeline and expected to enter the engineering phase in FY 2018.
However, rather than support the commitment by our local
communities to transit projects by following the clear statutory
requirements of the program, the Administration's budget request is
punishing them for that effort, and using these local efforts as a
justification for slashing Federal spending on transit.
The Administration's position brings uncertainty to nearly 60
projects in 20 states already in the CIG pipeline. In many regions,
including in the Puget Sound, taxpayers agreed to support transit
projects with the expectation of a reasonable level of Federal support.
Local support of transit projects is not--as the administration
wrongly concluded in the budget submission--a reason to end the very
partnership voters relied upon when supporting these expansions.
As you develop policies at the Department of Transportation, will
you advance and fund these projects that provide commuters the
opportunity to get out of ever-worsening congestion and have
significant local financial support?
Answer. If confirmed, I will look into these issues. It is my
understanding that the Department is continuing to implement the CIG
program in accordance with program provisions as authorized in statute
and as appropriated, including advancing projects through the various
phases of the program.
It is also my understanding that the Department seeks to broaden
and expand participation through the President's infrastructure
initiative so that more projects can be undertaken overall and so that
we do not supplant existing state, local, or private funds already
dedicated to infrastructure. If confirmed, I intend to take a holistic
approach when considering how best to make national infrastructure
investment recommendations to Secretary Chao.
______
Response to Written Questions Submitted by Hon. Richard Blumenthal to
Derek T. Kan
Question 1. President Trump's Plan to Pay for $1 Trillion in
Infrastructure. In late May, the administration released its budget
request for 2018. Within the budget is a request for $200 billion
spread out over ten years. That $200 billion is eclipsed by drastic
cuts to other programs. Cuts to transportation--like the TIGER program
and Amtrak. Cuts to many other critical programs, like housing and the
environment and education and our workforce--cuts that undermine our
economy.
Elsewhere in the budget there's talk of tolling, privatizing
infrastructure, ending regulations, curtailing litigation, minimizing
the Federal role in transportation, and making states pay more--what
the administration calls ``self-help.'' And on top of this, the
administration has thrown its support toward massive tax cuts for the
wealthy and corporations.
You will lead policy development at DOT. And you've served on
Amtrak's board. President Trump proposed a $1 trillion infrastructure
package. Where would the other $800 billion come from?
Answer. The Administration is working on a comprehensive proposal
to spur additional infrastructure investments, through innovation,
incentives for increased local support and more private sector
investment, as well as streamline government involvement to deliver
infrastructure improvements faster and more cost effectively. The
Administration's goal is to seek long-term reforms on how
infrastructure projects are regulated, funded, delivered, and
maintained.
Question 2. Is a cut of approximately $700 million to Amtrak's
budget responsible?
Answer. As I understand it, the cut eliminates Federal support for
Amtrak's long distance train services, which have been the primary
driver of continual operating losses. The elimination of long-distance
subsidies will likely create some level of disruption, particularly in
the short-run.
Question 3. Is it possible to support tax cuts while also claiming
to want a $1 trillion plan?
Answer. Yes. I believe both policies will lead to increased growth,
strengthening our country. More specifically, the President's target of
$1 trillion will be met with a combination of new Federal funding,
incentivized non-federal funding, and expedited projects.
Question 4. Can you ensure the administration's plan won't just
lead to increased costs on consumers?
Answer. If confirmed, I will be very engaged in working to ensure
the new infrastructure initiative will not unduly lead to increased
costs on consumers.
______
Response to Written Question Submitted by Hon. Brian Schatz to
Derek T. Kan
Question. White House and the Office of Legal Counsel has recently
asked Federal Government agencies to only answer oversight requests
from committee chairmen, rather than all members of Congress, including
the ranking member. Do you personally commit to responding to oversight
requests and letters from minority members of Congress in a timely
manner?
Answer. If I am confirmed I plan to respond to Congressional
letters is a timely and bipartisan manner, including those from
minority members of Congress.
______
Response to Written Questions Submitted by Hon. Corey Booker to
Derek T. Kan
Question 1. On June 2, 2017, the Federal Motor Carrier Safety
Administration announced a withdrawal of the proposal to increase the
minimum insurance for trucks and buses. A fatal, multi-vehicle truck
accident can cost over $20 million to compensate families, care for the
injured, and pay for the destruction of our Nation's highway
infrastructure. However, the requirement to carry at least $750,000 in
minimum insurance for trucks has not been increased in 30 years, and
has not been tied to inflation, which has led to taxpayers having to
foot the bill in the aftermath of major truck accidents. Can you commit
to relook at the minimum insurance issue?
Answer. If confirmed, I will commit to look at the minimum
insurance issue, along with others in the Department
Question 2. Mr. Kan, as you know, President Trump's budget proposed
eliminating bipartisan and highly popular infrastructure programs such
as TIGER grants and funding for Amtrak's long distance passenger
trains. Do you recognize that cutting Amtrak's long-distance service
routes would increase costs and have a devastating impact on state
supported routes and the Northeast Corridor?
Answer. Cutting long-distance service routes would likely increase
costs in the short-run related to wind down; however, such an approach
would likely bring down operating costs in the long-run. There would be
an impact to state-supported routes and, to some extent, the Northeast
Corridor.
Question 3. Will you support Amtrak's long-distance train services?
Answer. If I am confirmed, I will look into Amtrak's long-distance
train services. I think it is important to evaluate increased Federal
funding for long-distance rail in the context of other economic and
transportation priorities. One continual challenge has been that long-
distance passenger rail service has been operating with financial
losses, while providing a service to specific communities.
Question 4. Mr. Kan, as you know, the TIGER grant program receives
strong bipartisan support in Congress and is oversubscribed around the
country. Will you advocate the benefits of the TIGER grant program in
your role at USDOT?
Answer. The Department takes a holistic approach when considering
how best to make national infrastructure investment decisions. The
TIGER program has not been formally authorized as part of a long-term
surface transportation bill. Many projects funded by TIGER are also
eligible under DOT's other mandatory highway and transit formula
programs. Furthermore, the Nationally Significant Highway and Freight
Projects discretionary grant program provides DOT the ability to award
competitive grants to projects of national or regional significance and
is authorized at $4.5 billion through 2020. DOT's credit and finance
programs also have additional capacity for financing many
transportation projects. Therefore, the Department will continue to use
all Congressionally funded programs to meet our national infrastructure
needs. Given the fact that Congress has appropriated $500 million in
FY17 for the TIGER program, if confirmed, I will help to ensure that
the Department executes this program in accordance with Congressional
requirements to seek the best possible transportation outcomes for our
Nation.
Question 5. I'm very concerned about recent trends in the
subcontracting among airlines of services like cabin cleaning,
catering, and those who are wheelchair attendants. Last month, Senator
Brown and I sent letters to the CEOs of each of the major airlines
asking for more information about their increased reliance on the
subcontracted workforce. Do you think we can and should do more to
improve labor conditions for workers that play these vital roles?
Answer. If confirmed, I will look into the role subcontractors'
play in airline services like the ones you mentioned.
Question 6. What do you think airlines can do to improve labor
conditions for workers--both the primary workers employed by the
airlines, and the workers employed by the companies airlines
subcontract with?
Answer. If confirmed, I will look into this issue and consult with
the Department of Labor.
Question 7. For decades, the United States Department of
Transportation has required airports to set goals for the inclusion of
minority-owned, women-owned, and disadvantaged businesses in federally-
funded projects. This is a successful program across multiple
transportation agencies, which is why I included an amendment to last
year's FAA reauthorization legislation that aligns the Department of
Transportation (DOT)'s definition of a small business with that used by
the Small Business Administration (SBA). This amendment passed the
Senate but unfortunately it was not included in the FAA extension bill
that became law. Do you agree that it is important to include small
business owners from historically disadvantaged groups in federally-
funded airport infrastructure projects?
Answer. If confirmed, I will work with the Secretary to continue
DOT's outreach to small, women and minority-owned businesses in
federally-funded projects.
Question 8. Will you commit to work with Congress to expand access
and remove obstacles to participation for disadvantaged small business
owners in these projects?
Answer. If confirmed, I will work with Congress to expand access
and remove obstacles for all groups, including disadvantaged small
business owners, related to infrastructure projects.
Question 9. The Airport Improvement Program (AIP) and the Passenger
Facility Charge (PFC) are both important funding streams for airport
infrastructure projects. However, unlike the AIP, the PFC program does
not set participation goals for women-and minority-owned small
businesses, otherwise known as disadvantaged business enterprises
(DBEs). Meanwhile, PFCs are eclipsing AIP as the primary funding source
for airport infrastructure. This means that DBEs are missing out on
more and more contracting opportunities for these projects. According
to a 2015 report prepared for the Airport Minority Advisory Council,
the cost of these missed opportunities may be as high as $564 million.
What is the Department's plan to improve DBE participation in PFC-
funded projects?
Answer. Ever since the PFC program was established by law 27 years
ago (in 1990), it has been treated as a special form of local revenue
but subject to Federal approval. The PFC program has never been subject
to any of the Federal requirements associated with Federal funds.
PFCs do play an important role in airport infrastructure funding.
PFCs can be used in conjunction with public-private partnerships and
alternative project delivery methods. Airports also like the PFC
program because PFCs can be used to pay interest on bonds--in fact, a
third of the approved PFC collections has been specifically for
interest (rather than hard construction).
Question 10. Would it be helpful to update legislation in this
area?
Answer. If Congress wants to add DBE requirements to the PFC
program, then legislative action would be needed.
Question 11. Mr. Kan, can you commit to work in your new role to
help the Department of Transportation do everything it can to advance
construction of the Gateway Project including the Hudson River tunnels?
Answer. Infrastructure in the tri-state area is of great importance
to the daily lives of millions of Americans. If confirmed, I will
request a full briefing on the status of the various projects that
comprise the ``Gateway'' program to ensure that the Department is well-
apprised as to any applications pending or submitted to DOT with regard
to these.
Question 12. One critical component of the Gateway Program is the
replacement of the century-old swing span Portal Bridge in New Jersey
that carries 450 passenger trains between Newark and New York City each
day. The environmental review process for the Portal Bridge concluded
years ago and the bridge design completed in June 2013. Given the
importance of this project to the entire Northeast Corridor, can you
commit to working to help make sure the Department of Transportation
does everything it can to facilitate construction on this project in
FY18?
Answer. If confirmed, I intend to: (1) request a full briefing on
the Portal Bridge project, (2) review the status of any application
related to this project, and (3) work with you and other stakeholders
to ensure that the project is not bogged down in a long permitting
process. Streamlining the permitting process is a goal we should pursue
for all infrastructure projects.
______
Response to Written Questions Submitted by Hon. John Thune to
David J. Redl
Question 1. Mr. Redl, as you know, last fall, the National
Telecommunications and Information Administration's (NTIA) contract
with the Internet Corporation for Assigned Names and Numbers (ICANN) to
perform the Internet Assigned Number Authority (IANA) functions was
allowed to lapse, effectively transitioning oversight of the IANA
functions from the U.S. Government to the global multi-stakeholder
community.
What do you see as NTIA's role going forward with regard to ICANN
and the global multi-stakeholder community model for Internet
governance, and how engaged will you be in representing U.S. interests
at ICANN's Governmental Advisory Committee, should you be confirmed?
Answer. Both Congress and the Trump Administration (through the
President's FY18 budget) have expressed support for the
multistakeholder approach to Internet governance and NTIA remains the
United States' representative on ICANN's Governmental Advisory
Committee. I believe that NTIA should continue to serve as a vigorous
advocate for the United States' interests at ICANN and other fora where
Internet governance issues may be raised. I believe that the power of
the Internet to bring free speech and free-market commerce to every
corner of the world is one of the most potent gifts the United States
has given the world, and as such, if confirmed I plan to be very
involved in working to preserve, protect, and expand the reach of the
Internet.
Question 2. Mr. Redl, as you know, the ICANN is a California-based
nonprofit corporation that serves as the convening authority for the
global multi-stakeholder community. One of the key concerns of those
who criticized last year's transfer of the IANA functions from NTIA
oversight to ICANN and the global multi-stakeholder community, was that
it could lead to ICANN moving outside the jurisdiction of the United
States. My understanding is that place and jurisdiction of
incorporation and operations, including governance of internal affairs,
tax systems, and jurisdiction of places of physical presence are all
still open topics for discussion. Needless to say, ICANN shifting its
legal jurisdiction of incorporation to another country would be deeply
concerning to many in Congress.
Question 2a. Do you share the concern about ICANN shifting its
legal jurisdiction to another country? Will you commit to informing
Congress if you observe any efforts by ICANN to move to another
country?
Answer. The accountability mechanisms created by the
multistakeholder process and adopted by ICANN are rooted in the laws of
the state of California. Therefore, if confirmed, I will work with
Federal agencies and Congress work to ensure that ICANN remains
headquartered in the United States.
Question 2b. Another concern voiced by many critics of last year's
transition of the IANA functions from NTIA oversight to the multi-
stakeholder community was whether it would enhance the role of
authoritarian regimes in Internet governance. Will you commit to
informing Congress if you observe any actions by authoritarian regimes
to enhance their role with respect to Internet governance?
Answer. As a congressional staffer, I witnessed firsthand, on
several occasions, attempts by some countries to impose more government
control over governance of the Internet. The cooperative relationship
between all parts of the U.S. Government is necessary to ensure that
these countries don't succeed. If confirmed, I will work with Congress
to counter any actions by authoritarian regimes to enhance their role
with respect to Internet governance.
Question 3. Mr. Redl, we are all aware that certain nation-states
such as Russia and China, as well as the United Nations (UN), through
its agency known as the International Telecommunication Union (ITU),
are constantly seeking opportunities to replace the global multi-
stakeholder community approach to Internet governance with a top-down,
government-controlled model. Obviously, government control of the
Internet would have profoundly negative implications for free
expression, free enterprise, and democratization. Many worry that the
UN will again seek to implement a top-down model for Internet
governance at the ITU's World Telecommunications Development Conference
in Buenos Aires in October and at the 2018 ITU Plenipotentiary
Conference in Dubai. Should you be confirmed, what efforts will you
engage in to preserve the global multi-stakeholder model, and to
prevent a top-down approach to Internet governance such as that
envisioned by the UN?
Answer. Preserving the multistakeholder approach to Internet
governance will be an ongoing challenge not only for the United States
government, but for all stakeholders the world over. Challenges to this
successful approach will certainly continue given the importance of the
Internet in global discourse and commerce. At a minimum, it is critical
that NTIA have the resources to be present at every step of these
multistakeholder and multilateral processes. As Chairman Upton often
reminded the staff of the Energy and Commerce Committee, ``you have to
be there on the takeoff if you want to be there for the landing.''
Without strong, informed voices like those of the talented
professionals at NTIA engaging at every stage of the debate, we run the
risk of giving ground to those who do not share our vision of the
Internet. If confirmed, I will work with the staff of NTIA, and across
the U.S. Government, to ensure that we are represented wherever these
debates are happening.
Additionally, the strength of the multistakeholder process is
inclusive participation. It is incumbent on the United States--all
stakeholders in the United States--to be informed advocates for the
Internet that we depend on and love. That means working across the
United States government to engage companies large and small,
universities, advocates, and individual citizens to participate in the
process. If confirmed, I will work to ensure that Americans and
American interests are represented in these important debates.
Question 4. Mr. Redl, as you know, the First Responder Network
Authority (FirstNet) is an ``independent authority'' within NTIA tasked
with the creation and operation of a nationwide interoperable public
safety broadband network. This spring, FirstNet selected AT&T to be its
private partner to build out and operate this network, and it appears
that the ambitious project to build a nationwide interoperable public
safety broadband network is finally under way.
Keeping in mind that FirstNet is an ``independent'' authority
within NTIA, what role do you envision playing as NTIA Administrator
with regard to FirstNet, should you be confirmed?
Answer. FirstNet has a very important task in front of it, and we
stand on the cusp of its realization. NTIA has a specific role under
the terms of the Middle Class Tax Relief and Job Creation Act of 2012
(MCTR) with respect to states that ``opt-out'' of FirstNet's radio
access network (RAN). While I am hopeful that FirstNet and AT&T's plans
for deployment of RAN in each state will be met with approval, the
statute is very clear and states have the choice to opt-out if they
believe they can better meet their public safety users' needs. In MCTR,
Congress adopted provisions that require states that opt-out make
certain showings to establish that a state can build and operate the
RAN so that first responders get mission critical service. If
confirmed, NTIA will follow the statute and work to ensure that opt-out
states are able, through a network partner, to provide any first
responder high quality, reliable broadband service for the long-term.
Additionally, as FirstNet is an independent authority within NTIA,
if confirmed I will work with FirstNet to ensure that its mission is
achieved. The professionals at NTIA have a wealth of experience in
networks and Federal contracting that compliments the public safety
experience amassed at FirstNet. There should be ways to work together
to achieve the National Public Safety Broadband Network Congress
envisioned.
______
Response to Written Questions Submitted by Hon. Jerry Moran to
David J. Redl
Question 1. I worked with the Office of Management and Budget (OMB)
on legislation that was ultimately included in the Bipartisan Budget
Act of 2015 to provide more funding and flexibility for Federal
agencies to use the Spectrum Relocation Fund (SRF) for research and
development related to their spectrum activities. It was our intention
that this additional funding and flexibility would result in more
efficient use of spectrum by Federal users and free up more government
spectrum for commercial use. OMB oversees the fund in consultation with
the National Telecommunications and Information Administration (NTIA).
Can this committee count on you to ensure that the SRF is being
utilized by agencies to achieve these goals?
Answer. Yes.
Question 1a. The U.S. Government Accountability Office (GAO) issued
a report in 2011 that basically said that NTIA needed to improve its
spectrum-management policies to promote more efficient use of Federal
spectrum. To put it bluntly, NTIA oversees the Federal use of spectrum,
but is sometimes ``pushed around'' by the large departments that
utilize the spectrum. Often large organizations within the Federal
Government do not have much of an incentive to relinquish valuable
spectrum, even if they're not using it efficiently. Do you agree that
changes should be made to NTIA's process when evaluating the spectrum
needs of other departments and agencies, so that NTIA can more
effectively manage such a valuable Federal resource?
Answer. Ensuring that Federal agencies have the spectrum resources
to meet their missions efficiently is part of NTIA's mission and will
continue to be a priority if I am confirmed. I believe that a
functional process--one that adapts to the rapid changes in spectrum-
based technology--is critical to achieving this goal. If confirmed, I
will work to ensure that NTIA's processes continue to evolve to meet
our national needs.
Question 2. As a concerned representative of rural Kansas, I have
been focused upon both spectrum policy and how to effectively see
wireless services deployed in the smaller, rural reaches of my home
state. I gather from your previous experiences that you understand the
challenges that places like Kansas face and that the NTIA has played a
vital role in the past in helping assess the state of deployment across
the Nation. I hope you will work with me and my colleagues to ensure
that rural Kansans are not relegated to inferior wireless service. An
accurate assessment of not only what urban consumers have available but
what rural consumers experience will be essential to helping guide this
Administration's and Congress' policy decisions to build out to the
``hard-to-reach'' corners of this country. What tools are available to
you at NTIA to ensure my constituents will have high quality wireless
service?
Answer. My experiences have shown me that if we want to have a
coherent policy for bringing broadband to rural and hard-to-reach
areas, we need to understand the challenges. To that end, NTIA used to
administer a program to ensure a National Broadband Map. This map
provided a crucial tool to understand the scope of the challenge and to
appropriately target support. Unfortunately, NTIA lacked the resources
to continue to maintain the map and without updates it no longer
represents the state of broadband in America. With appropriate
resources, the National Broadband Map represents a first step in
understanding the broadband needs of rural America.
In addition to understanding the scope of the problem, typically,
in rural and hard-to-reach areas economics are the overarching
challenge.
The economics of wireless are heavily impacted by population
density. Each cell site in a rural area serves fewer customers and each
site needs backhaul to bring the traffic into the larger network.
Therefore, the investment in the site itself takes longer to recoup--
sometimes longer than the lifecycle of the equipment given the rapid
pace of wireless evolution. At least part of this challenge can be
alleviated though smart policies and incentives to promote investment.
NTIA has been hard at work to help address some of these challenges
through the BroadbandUSA program--developing best practices and
providing technical assistance for state and local governments to
foster private-sector investment.
If confirmed, I will work with the staff of NTIA and across the
Federal Government to tackle these challenges.
Question 3. Due to the leadership of the Kansas 9-1-1 Coordinating
Council and AT&T, Kansas is well-positioned to serve as a leading model
in the operation of a nationwide interoperable public safety broadband
network pending some additional decision-making within the state. How
do you plan to use successful models of coordination, like those in
Kansas, to attract other states' to opt-in to the program?
Answer. The experience of states like Kansas were very instructive
as FirstNet went through the State and Local Implementation Grant
Program as well as the process of developing its RFP for a public-
private partner. If confirmed, I will work with FirstNet--an
independent authority within NTIA--to ensure FirstNet succeeds in its
mission to deploy a nationwide interoperable public safety broadband
network.
Question 3a. What are some of the major barriers or issues you
expect to come across in your efforts to stand up this high-speed
FirstNet system built specifically for the millions of public safety
users in all 50 states and five U.S. territories?
Answer. NTIA has a specific role under the terms of the Middle
Class Tax Relief and Job Creation Act of 2012 (MCTR) with respect to
states that ``opt-out'' of FirstNet's radio access network (RAN). While
I am hopeful that FirstNet and AT&T's plans for deployment of RAN in
each state will be met with approval, the statute is very clear and
states have the choice to opt-out if they believe they can better meet
their public safety users' needs. In MCTR, Congress adopted provisions
that require states that opt-out make certain showings to establish
that a state can build and operate the RAN so that first responders get
mission critical service. Going forward, NTIA's biggest challenge will
be to faithfully follow the statute and work to ensure that opt-out
states are able, through a network partner, to provide any first
responder high quality, reliable broadband service for the long-term.
Question 4. The American Recovery and Reinvestment Act of 2009,
commonly referred to as the ``Stimulus,'' provided $4.35 billion to
NTIA to fund broadband projects through grants. As this Committee is
once again posed to debate and hopefully pass an infrastructure bill
that likely will include money to expand broadband, what assurances can
you give this committee that NTIA will not pursue a policy of using
government money to overbuild existing broadband networks? And will you
commit to working with Congress to limit the opportunity of government
policies that overbuild existing networks?
Answer. If confirmed, I will work with the staff of NTIA to
honestly and effectively implement the laws adopted by Congress. That
includes any work to bring infrastructure to America's unserved
population. And yes, if confirmed I will work with Congress to ensure
our national investments in infrastructure are best targeted to serve
the unserved.
Question 4a. Americans today enjoy a wide platform of broadband
delivery options. Will you commit that NTIA will pursue a policy that
encourages the expansion of broadband to rural America on a
``technology neutral'' platform, especially when direct government
funding is being used?
Answer. Yes.
Question 5. There are numerous efforts underway to add Dynamic
Spectrum Access to Federal spectrum bands to facilitate sharing, but
these are mostly being done as one-off solutions unique to specific
bands. Would it be more efficient and effective in the long-term for
NTIA to consolidate these under a single spectrum management system
that can provide a common platform to support these band-specific
efforts?
Answer. The current efforts to employ Dynamic Spectrum Access (DSA)
are in their early stages. It is too early to know if these types of
efforts will be successful at facilitating better sharing than other
methods. Additionally, each spectrum band presents unique challenges
both because of the spectrum characteristics, but also because of the
nature of the incumbent operations. Work to expand DSA might prove to
be a valuable way to get more from our spectrum assets, but at this
point it is too soon to tell. If confirmed, I will work with the staff
of NTIA, the FCC, and Federal incumbents to evaluate the effectiveness
of DSA and its suitability to other bands of spectrum.
______
Response to Written Questions Submitted by Hon. Roy Blunt to
David J. Redl
Question 1. What should happen if NTIA doesn't like an alternative
plan from a state that chooses to opt-out of FirstNet building and
operating the Radio Access Network within their state, and how will
NTIA work with states who choose to opt-out?
Answer. By law, an opt-out state must submit to NTIA an application
for required spectrum rights from FirstNet and optional funds for
construction of the radio access network (RAN) in its state. To qualify
for either, the law requires a state to demonstrate five RAN attributes
that are necessary to ensure that a first responder has consistent,
sustainable, high-quality, and secure broadband service across the
nation--regardless of whether a state or FirstNet operates the RAN in a
state. NTIA is currently developing its Notice of Funding Opportunity,
which will detail how a state may make these demonstrations. NTIA
should only disapprove a state's opt-out application if a state fails
to make those statutory demonstrations. If given the opportunity, I'll
work to ensure that opt-out states clearly understand what they need to
demonstrate to NTIA.
Question 2. Will NTIA work with states who choose the opt-out
option to remedy any perceived deficiencies in their alternative plans,
and what recourse does a state have if it disagrees with NTIA's
findings on their alternative plans?
Answer. NTIA has stated that applicants will be provided
opportunities to remedy deficiencies before an application is
recommended for disapproval. NTIA intends to rely on no less than three
independent, subject matter experts to review applications based on
review standards and criteria that will be clearly laid out in the
grant guidance. NTIA will provide feedback from the technical review
panel to states and provide the states with opportunities to remedy
their application.
Question 3. Can you give your commitment that if a state chooses to
opt-out, that NTIA won't seek to thwart that choice, but will review an
alternative state plan objectively and with an eye toward respecting a
state's legally enshrined opt-out right?
Answer. Yes.
______
Response to Written Questions Submitted by Hon. Dean Heller to
David J. Redl
Question 1. Given the Senate Commerce Committee has jurisdiction
over both the FTC and the Internet, I want to bring to your attention
concerns regarding the potential confusion arising from the Internet
Corporation for Assigned Names and Numbers (ICANN) not implementing
proper safeguards when awarding certain generic top-level domain
strings (gTLDs).
Accountants in Nevada have provided me with some details about the
Association of International Certified Professional Accountants'
(AICPA's) situation with the pursuit of the .cpa gTLD, and I understand
that you are familiar with that issue as well.
NTIA plays an important role in the proper operation of the
Internet. What you can do as NTIA Administrator to ensure that
consumers are not faced with fraudulent and deceptive practices that
may arise from the awarding of a domain name to an entity that may
misuse that domain and foster misrepresentations about certified public
accountants?
Answer. NTIA remains the United States' representative on ICANN's
Governmental Advisory Committee and I believe that NTIA should continue
to serve as a vigorous advocate for the United States' interests at
ICANN. The accountability mechanisms at ICANN include tools to address
disputes regarding new gTLDs. I understand that AICPA is engaged in
this process. If confirmed, I will work with other Federal agencies,
including the Federal Trade Commission, to represent interests at ICANN
on these and other matters.
Question 2. Everyone in Congress agrees spectrum is valuable, and
we need it now to continue innovating, create jobs, and boost the
economy.
But it seems that time is the critical factor. In the past, it's
taken 13 years on average from start to finish to reallocate spectrum.
Looking at the 2012 legislation that reallocated spectrum, many of
those bands had been identified long before the auction took place.
We need spectrum now, not 13 years from now.
What are your ideas for speeding up the reallocation process? Is
there a specific reason it takes this long?
Answer. Finding opportunities for reallocation, and actually moving
very expensive and technologically complex government systems can be a
complicated and time consuming process. Congress has already begun the
process of making this process more fluid through the changes made to
the Spectrum Relocation Fund and the concept of a spectrum pipeline.
While it will continue to take time to evaluate, upgrade, or relocate
government spectrum systems, doing so on an ongoing basis with SRF
funding for research and development will help us continually find
opportunities. If confirmed, I look forward to further reviewing the
various processes and identifying efficiencies where able.
Question 3. Given that NTIA manages Federal spectrum, my view is
that your most important job, if confirmed, is to find more spectrum to
bring to market. Is there anything Congress can do to give NTIA more
authority and more leverage to convince Federal agencies to give up
some of their spectrum?
Answer. The work Congress has done to adapt the Spectrum Relocation
Fund to provide incentives for Federal agencies to part with spectrum
or upgrade systems along with the spectrum pipeline are in the process
of delivering results. If confirmed, I will work with the NTIA staff,
Federal agencies and Congress to provide the right incentives for
efficiency that can go a long way toward meeting our spectrum needs.
______
Response to Written Questions Submitted by Hon. Deb Fischer to
David J. Redl
Question 1. Mr. Redl and Mr. Kan, there are numerous examples of
autonomous technologies, whether it's trucks, ports, or railroads,
which are moving to a more connected transportation system. We need to
ensure the Federal Government will keep pace with these technologies.
Regulatory silos, in which agencies across the government are creating
duplicative and counter-productive regulations, are also a concern.
What will both of you do to incentivize the growth of new technologies
safely? And what methods can the government adopt to ensure duplicative
regulations and silos do not hinder these technologies?
Answer. The FY17 Omnibus Appropriations Act included report
language encouraging the Commerce Department to ``continue its
consideration of how to appropriately plan for and encourage the
proliferation of network connected devices, including soliciting input
from: industry stakeholders; subject matter experts; businesses . . .
and relevant Federal agencies.'' If confirmed, I will work with the
staff of NTIA to implement this provision and convene an interagency
group to review the policy issues impacting the Internet of Things,
including those related to transportation.
Question 2. Mr. Redl, Senators Booker, Gardner, Schatz, and I have
been working to develop a better understanding of the Internet of
Things here in the Senate. As the administrator of the NTIA, you would
have a significant role in developing the government's position on IoT.
What do you see as the greatest challenges facing IoT technologies, and
what can we do to promote innovation?
Answer. I believe the greatest challenge for IoT will be
cybersecurity. While most Americans have embraced the idea that they
need to do more to protect themselves when they are on their computers
or smartphones, IoT presents different challenges. Many don't regard
their thermostats, lightbulbs, cars, or appliances as computers that
may have cybersecurity risks, but in the age of IoT, they can be. If we
want to promote innovation, we must ensure that Americans trust the IoT
devices in their lives. NTIA already plays a role in both cybersecurity
and in the Internet of Things. If confirmed, I will work with the staff
at NTIA and across the Federal Government to promote smart IoT policies
that incorporate security and protect American consumers.
Question 3. Mr. Redl, the American Recovery and Reinvestment Act
(ARRA), commonly referred to as the ``Stimulus Act,'' provided $4.35
billion to NTIA to fund broadband projects through grants. As Congress
is once again posed to debate and an infrastructure bill that may
include money to expand broadband, what assurances can you give this
committee that NTIA will not pursue a policy of using government money
to overbuild existing broadband networks?
Answer. I share your concern that Federal dollars be spent to bring
broadband to unserved areas, rather than competing with private capital
in areas that already have broadband. If confirmed, I will work with
Congress to ensure our national investments in infrastructure are best
targeted to serve the unserved.
Question 4. Mr. Redl, the Global Positioning System (GPS) plays a
critical role in today's ``precision agriculture'' and will continue to
do so as farmers face the ever-increasing need to produce more on less
land using less seed, water, fertilizer, and pesticide. The expanding
use of GPS on rural croplands and ranchlands may be the largest single
technological advancement for farmers and ranchers in the past 30
years. With the help of location and navigation services made possible
by precision GPS, farmers today can use advanced tracking and automated
machine systems to conduct tilling, seeding and spraying operations at
levels of precision within 2 cm. Farmers are always looking for ways to
avoid personnel and equipment downtime, analyze soil, seed and other
inputs crops for optimum yield and efficiently manage inputs. Based on
government crop statistics, annual reported costs of each input, and
actual field savings data from the past 10 years, U.S. farmers could
save $8.2 billion annually by using GPS technology. If GPS technology
is compromised or cannot be used in the future, rural American
economies that are tied to the agricultural sector will be harmed, U.S.
leadership in agricultural production and trade will suffer, and
American consumers would likely see a significant uptick in food costs
across the board.
In the past few years, multiple Federal agencies, including the
FCC, the NTIA, the FAA and DOT, after significant testing, all
recognized that a proposal to convert mobile satellite spectrum for the
use of terrestrial wireless services would interfere with GPS and,
among other problems, would harm high precision GPS services integral
to U.S. agriculture. That proposal was rejected based on potential harm
to GPS. How would you ensure that any future spectrum proposals would
not interfere with or undermine such GPS-based services?
Answer. GPS is one of the United States military's greatest
technological advancements. Its use in the commercial sector and just
how pervasively it powers our economy cannot be overstated. In addition
to agriculture, nearly every aspect of our daily lives relies on the
GPS constellation at some point in its lifecycle. Protection of GPS has
been, and should be, a priority for NTIA. However, that does not mean
that the remainder of the L-band cannot be maximized for other uses.
Improvements in technology and coordination between users should be
part of the discussion as we look to best ensure no part of the
spectrum goes underused. If confirmed, working cooperatively with all
of the stakeholders in the GPS community would be a priority when it
comes to addressing additional uses in the L-band.
Question 5. Mr. Redl, many government and private commercial
stakeholders have said that GPS is a critical national asset that has
led to innovation not only in the agriculture sector in precision
farming, but also in military, surveying, aviation, automotive,
automatic highways, and consumer technologies. Do you agree and, if so,
what steps would you take to protect GPS from encroachment as the
Nation looks to find more and more wireless spectrum for re-allocation
to mobile broadband?
Answer. Protection of GPS has been, and should be, a priority for
NTIA. However, that doesn't mean that the remainder of the L-band
should not be maximized for other uses. Improvements in technology and
coordination between users should be part of the discussion as we look
to ensure no part of the spectrum goes underused. If confirmed, working
cooperatively with all of the stakeholders in the GPS community would
be a priority when it comes to addressing additional uses in the L-
band.
Question 6. Mr. Redl, the introduction and use of GPS-enabled
devices have brought significant advances in aviation safety and
greatly benefited the flying public. Numerous studies have documented
and quantified these life-saving benefits. Today, virtually all types
of aircraft utilize GPS for navigation and approaches. For the majority
of these aircraft, GPS is the primary means of navigation. As you may
be aware, GPS is a critical building block for TAWS (terrain awareness
and warning system), which has been responsible for reducing CFIT
(controlled flight into terrain) accidents among U.S. airlines. Such
incidents have dropped from a leading cause of deadly crashes to zero.
Given how dependent pilots have become on GPS features in avionics
equipment, particularly certified equipment, how would you ensure that
their ability to rely on GPS continues uninterrupted in the future by
potential interference from new spectrum services?
Answer. Protection of GPS has been, and should be, a priority for
NTIA. However, that does not mean that the remainder of the L-band
cannot be maximized for other uses. Improvements in technology and
coordination between users should be part of the discussion as we look
to best ensure no part of the spectrum goes underused. If confirmed,
working cooperatively with all of the stakeholders in the GPS community
would be a priority when it comes to addressing additional uses in the
L-band.
Question 7. Mr. Redl, GPS is the foundation for modernizing the
Nation's air traffic control system. The Capstone project in Alaska,
the original precursor to nationwide roll-out of the new reforms,
produced concrete evidence that GPS-enabled devices improve aviation
safety. What steps would you take to ensure that the full benefits of
GPS, unimpaired by the effect of future spectrum proposals, remain
available for modernizing the air traffic control system?
Answer. Protection of GPS has been, and should be, a priority for
NTIA. However, that does not mean that the remainder of the L-band
cannot be maximized for other uses. Improvements in technology and
coordination between users should be part of the discussion as we look
to best ensure no part of the spectrum goes underused. If confirmed,
working cooperatively with all of the stakeholders in the GPS community
would be a priority when it comes to addressing additional uses in the
L-band.
______
Response to Written Questions Submitted by Hon. Bill Nelson to
David J. Redl
Question 1. As you know, spectrum is a finite resource. Given that
both Federal and non-Federal spectrum uses are critical, what are your
policy priorities in key areas such as increasing bi-directional
spectrum sharing and similar access opportunities for both Federal
Government and commercial users?
Answer. As you note, spectrum needs are going to continue to
increase for both Federal and non-Federal users. In order to ensure
that we are getting the most out of this precious national resource,
NTIA will need to continue to work closely with both commercial and
Federal spectrum users to take advantage of every opportunity. If I am
confirmed, I intend to see to it that NTIA follows through on this
mission. NTIA has existing advisory groups, both within the Federal
Government (PPSG, IRAC) and with non-Federal interests (CSMAC) that
have been working productively on these issues. Coordination and
collaboration between NTIA and the Federal Communications Commission
also plays a key role.
Among the priorities for NTIA and the advisory groups, should I be
confirmed, will be examining how new commercial technologies can
improve Federal spectrum efficiency, how geographic and temporal
sharing between Federal and non-Federal users can improve spectrum
access for both, and how commercial systems can be leveraged to meet
government needs.
Question 2. The FCC recently released large amounts of millimeter
wave band spectrum (i.e., above 24 GHz). NTIA had an important role in
assisting with that effort, including making sure that Federal
operations were not hampered by future commercial operations. That
said, large-scale commercial operations (particularly wireless
broadband operations) are untested in millimeter wave spectrum. Would
it be useful now for NTIA and the FCC to focus on implementation
measures with respect to commercial operations in the bands already
made available to ensure the success of deploying 5G service to U.S.
consumers before focusing efforts on making available even more
millimeter wave bands in the short term?
Answer. Deployment and implementation of 5G technologies and making
additional spectrum available are interrelated goals. 5G technologies
have the potential to significantly change the way spectrum is used by
both Federal and non-Federal users. How that technology can be
implemented to meet our national needs is a priority in which NTIA can,
and does, play a large role. If confirmed, I will work with the NTIA
staff and Federal agencies to assess how 5G can be brought to Federal
users to meet mission needs and whether this could lower the spectrum
footprint needed for Federal users to perform their critical missions.
Additionally, as we look to implementation of 5G, NTIA's Institute
for Telecommunication Sciences (ITS) can play an important a role
through its spectrum research and testing. The applied spectrum
research done at ITS will be key to ensuring that we maximize use of 5G
technologies without hampering existing spectrum operations.
Question 3. According to some analysts, the cost of deploying
advanced wireless technologies is a fraction of what it was even a few
years ago. We have had testimony before the Committee that indicates
wireless carriers no longer have to rely exclusively on additional
spectrum to increase network capacity. How do you see these
developments impacting the market for spectrum and auction revenues,
particularly in light of the statutory directive for auction revenues
to cover relocation costs of Federal operations?
Answer. While technology has certainly impacted the way that
commercial carriers use spectrum, there continues to be demand for
additional spectrum. The recent incentive auction of broadcast spectrum
is indicative of this need and demonstrates that, even with the
incentive payments to broadcasters, there was tens of billions of
dollars worth of capitol interest in the licenses.
However, demand for spectrum is multifaceted and is dependent on
the characteristics of the specific band being considered and the
requirements of the technology to be deployed. Thirty years ago, the
2.4 GHz band was considered a ``junk band'' and given away for
unlicensed experimentation. Today, that band is the workhorse of
unlicensed allocations, fueling hundreds of millions of Wi-Fi devices.
And, just a few years ago, the spectrum in the millimeter wave bands
was considered too challenging for commercial wireless use. However,
now it is seen as a critical component of 5G services. As we look
forward, careful consideration of the needs of spectrum users, along
with the state of technological development band, will be critical to
determining the right path forward for each band of spectrum.
Question 4. Given the importance of GPS to the United States
(including for navigation, timing, banking, global operations,
transportation, and economic prosperity to name a few examples), would
you offer your thoughts regarding the importance of GPS operations as
NTIA and the FCC explore how to maximize use of various spectrum bands?
Answer. GPS is one of the United States military's greatest
technological advancements. From transportation to agriculture, nearly
every aspect of our daily lives relies on the GPS constellation at some
point in its lifecycle. Protection of GPS has been, and should be, a
priority for NTIA. However, that does not mean that the remainder of
the L-band cannot be maximized for other uses. Improvements in
technology and coordination between users should be part of the
discussion as we look to best ensure no part of the spectrum goes
underused.
Question 5. The evolution of our Nation's 9-1-1 infrastructure to
Next Generation 9-1-1 is a national imperative. That is why Senator
Klobuchar and I have developed our Next Generation 9-1-1 Act of 2017,
which is designed to give states and localities the Federal resources
and support they need to upgrade their existing
9-1-1 systems to benefit our citizens and first responders who put
their lives on the line every day. NTIA has an important role in
helping promote and support Next Generation 9-1-1 as one of the two
Departments who support the work of the Next Generation 9-1-1
Implementation and Coordination Office. Do you agree that the Nation's
transition to Next Generation 9-1-1 systems is a national imperative,
and that additional Federal support would help speed up that
transition?
Answer. Sadly, our Nation's 911 system has not kept pace with the
technological innovations of the communications sector. The dedicated
professionals who answer the emergency calls made from smartphones and
dispatch first responders that will be taking advantage of FirstNet are
unfortunately stuck in the middle with last century technology. If
confirmed, I would work to ensure that the potential of FirstNet is
reached, and that the power of the smartphone is realized for saving
lives by taking the needed steps to upgrade our Nation's 911 call
centers. I agree that this should be a national imperative and that
ensuring a speedy transition to Next Generation 9-1-1 will be dependent
on the availability of sufficient resources.
Question 6. Will you commit to fully supporting the work of the
Next Generation 9-1-1 Implementation and Coordination Office as it
moves forward on Next Generation 9-1-1 issues?
Answer. Yes.
Question 7. Will you commit to working closely with the Department
of Transportation, the other Department that supports the Next
Generation 9-1-1 Implementation and Coordination Office, to help speed
up the work of the Office?
Answer. Yes.
Question 8. Demand for spectrum is increasing among both commercial
and Federal users at a prodigious pace. You have a long history in this
space, including working for a trade association representing the
wireless industry. It is imperative that the Nation maintain a balanced
approach to spectrum policy that ensures that there are adequate
spectrum resources made available to all users. As head of NTIA, will
you commit to being an honest representative of the needs of Federal
spectrum users in the debate over the Nation's spectrum policy?
Answer. Yes.
Question 9. How do you plan to ensure a balance in spectrum policy
to meet the needs of both Federal and non-Federal users?
Answer. I take very seriously NTIA's statutory responsibility to
ensure this balance. If confirmed, I plan to ensure that NTIA's
existing resources, including the CSMAC, PPSG, IRAC, and ITS, are
leveraged to fully examine the needs of both Federal and non-Federal
users and that this information is used to help make informed spectrum
policy decisions.
Question 10. Mr. Redl, as you are aware, FirstNet has made great
strides over the last few years toward beginning deployment of the
nationwide wireless broadband network for first responders. Part of
this success has been a good working relationship with NTIA leadership,
who have respected FirstNet's status, as established by Congress, as an
independent entity within NTIA. Will you commit today to continuing
that cooperative relationship between NTIA and FirstNet, and respecting
FirstNet's statutory independence?
Answer. FirstNet enjoys a unique position within NTIA as an
independent authority. However, the Middle Class Tax Relief and Job
Creation Act of 2012 also creates a specific role for NTIA in the
establishment of the National Public Safety Broadband Network,
specifically with respect to states that opt-out of having FirstNet
deploy their Radio Access Networks. If confirmed, I will work with the
staff of NTIA to continue the cooperative relationship that exists
between FirstNet and NTIA, and work to provide any additional support
FirstNet needs to succeed in its important mission.
Question 11. Will you commit to being an advocate inside the
Department of Commerce on behalf of FirstNet, including with respect to
the need for the Department's leadership to respect FirstNet's
statutory status as an independent entity within the Department?
Answer. If confirmed, I will work with the staff of NTIA to
continue the cooperative relationship that exists between FirstNet and
NTIA, and work to provide any additional support FirstNet needs to
succeed in its important mission.
______
Response to Written Questions Submitted by Hon. Maria Cantwell to
David J. Redl
Question 1. One of the biggest challenges we face as a nation is
making sure robust broadband reaches the most remote parts of our
Nation. Thirty nine percent of rural Americans (23 million people) lack
access to high speed broadband. By contrast, only 4 percent of urban
Americans lack access to high speed broadband. And 41 percent of
Americans living on Tribal lands (1.6 million people) lack access high
speed broadband. Broadband is not a luxury--it is the infrastructure
that is needed to participate in the modern Internet economy. If you
are confirmed, you will be at the helm of an agency that has had a
significant role advancing broadband. NTIA has administered grant
programs to advance broadband. Additionally, the BroadbandUSA program
has received high marks for providing technical support and metrics to
public and private sector stakeholders for its ongoing broadband
programs. If you are confirmed, do you intend to continue the work of
BroadbandUSA and leverage those resources to continue the work to
support the deployment of broadband networks rural America?
Answer. I agree that bringing the economic opportunity of broadband
to every corner of America is a goal that we should all share. Rural
America and Tribal lands are particularly affected by this divide
largely because the economics of broadband are influenced greatly by
population density. BroadbandUSA has been working for several years to
provide state and local governments with the tools needed to attract
private investment in broadband and to better measure the effectiveness
of broadband deployment programs. If confirmed, I will work with the
BroadbandUSA team, and across the Federal Government through the
Broadband Interagency Working Group, to improve access to broadband in
rural and Tribal areas.
Question 2. With regard to broadband on Tribal Lands, NTIA, the
Department of Agriculture Rural Utility Service and the Federal
Communications Commission have been criticized for not coordinating or
pooling resources and information in order to address the truly
unacceptable lack of broadband on tribal lands.
Answer. See my answer to Question 3.
Question 3. How do you intend to use your resources to address the
problem of lack of broadband on Tribal Lands?
Answer. There are many challenges that Tribal areas face when it
comes to the deployment of broadband and many parts of the Federal
Government have responsibilities that affect the effort. If confirmed,
I will work through the Broadband Interagency Working Group, which is
co-chaired by the Department of Agriculture Rural Utility Service and
includes the Federal Communications Commission, to improve access to
broadband in rural and Tribal areas.
______
Response to Written Questions Submitted by Hon. Brian Schatz to
David J. Redl
Question 1. White House and the Office of Legal Counsel has
recently asked Federal Government agencies to only answer oversight
requests from committee chairmen, rather than all members of Congress,
including the ranking member. Do you personally commit to responding to
oversight requests and letters from minority members of Congress in a
timely manner?
Answer. Yes.
Question 2. Can you commit to working with OMB to produce a report
to the Committee with recommendations on options to reform the Spectrum
Relocation Fund addressing how the Fund could cover costs incurred by
Federal entities related to sharing bands with unlicensed users by
November 1, as is required in the FY17 omnibus?
Answer. Yes.
Question 3. The FY17 omnibus included report language encouraging
the Commerce Department to ``continue its consideration of how to
appropriately plan for and encourage the proliferation of network
connected devices, including soliciting input from: industry
stakeholders; subject matter experts; businesses . . . and relevant
Federal agencies.'' Can you commit to convening an interagency group to
review the policy issues impacting the Internet of Things?
Answer. Yes.
______
Response to Written Questions Submitted by Hon. John Thune to
Robert L. Sumwalt III
Question 1. Mr. Sumwalt, your distinguished 11-year career at the
National Transportation Safety Board (NTSB) as well as your background
as a commercial pilot gives you substantial perspective regarding the
challenges and opportunities at this agency. One of the issues you
cited in your questionnaire mentions the challenges associated with
integrating new technologies such as self-driving vehicles, unmanned
aerial systems, and commercial space vehicles.
How will the agency, from an investigative standpoint, deal with
safety challenges affiliated with these rapidly advancing technologies
and what is the agency's strategy for addressing any knowledge or skill
gaps NTSB employees currently face in the context of these
technologies?
Answer. Self-driving vehicles. As you well are aware, this
technology is advancing extremely rapidly.
The NTSB is involved with our first investigation of a crash
involving an automobile being operated in the autopilot mode. This
crash involved a Tesla colliding with a 18-wheeler truck in Williston,
Florida in May 2016. Although this vehicle is not a completely
autonomous vehicle, this crash is allowing NTSB's investigative staff
to explore aspects associated with self-driving cars. We are also
engaging with auto manufacturers, including their participation as
party members in our investigations. We expect to have the report of
this crash completed this fall and will keep your staff apprised of the
precise date of the board meeting, as well as the findings and
recommendations that emerge from the investigation.
Unmanned Aerial Systems. The NTSB completed our first investigation
of a UAS in 2007. That crash involved a General Atomics Predator B,
operated by U.S. Customs and Border Protection (CBP), which crashed
into a sparsely populated neighborhood in Nogales, Arizona. As a result
of this investigation, the NTSB issued 22 safety recommendations to the
Federal Aviation Administration and CBP, all of which have been
satisfactorily closed.
We have kept abreast of technological and regulatory developments
in the UAS industry since 2007, and have a very thorough and robust
capability and knowledge base in order to conduct an investigation of
any accident or incident regarding UAS that comes under our authority.
In August 2010, we revised our regulations to clarify that our
aviation accident and incident notification requirements also apply to
UAS. We released an advisory to operators in July 2016 to clarify
requirements for reporting--for example, if there is death or serious
injury, the aircraft weighs more than 300 pounds and sustains
substantial damage, or other specific serious incidents occur. To date,
we have investigated 35 events involving UAS.
In addition, we have implemented a plan for technical and
procedural training for staff who will participate in UAS accident and
incident investigations. The agency's lead investigator for UAS has
training and experience operating various types of UAS, including the
MQ-9 Predator-B, Insitu Scan Eagle, and numerous small UAS. Training
continues to focus on technical areas such as air traffic procedures
and technologies, vehicle performance, recorded data logging, battery
technology, operational training, and maintenance. We are also
conducting outreach with other investigative agencies and industry
stakeholders to become aware of best practices and techniques and
lessons learned from their experiences, and also to explain and clarify
our role and safety initiatives.
Finally, we have deployed UAS as an investigation tool in aviation
and rail accidents to provide aerial imagery and other technical
capabilities.
Commercial space vehicles. The NTSB has the authority to
investigate commercial space launch accidents under its general
authority to conduct transportation accident and incident
investigations for the purpose of improving transportation safety for
the public.
In July 2015, we completed the investigation of the October 31,
2014, accident involving SpaceShipTwo, a reusable suborbital rocket
which was operated by Scaled Composites LLC. The spaceship broke up
into multiple pieces during a rocket-powered test flight and impacted
terrain over a 5-mile area near Koehn Dry Lake, California.
We issued eight safety recommendations to FAA and two to the
Commercial Spaceflight Federation. NTSB staff has established relations
with numerous commercial space stakeholders and key government agencies
and we will continue to work to develop the necessary expertise.
While the NTSB believes it has general authority to conduct
investigations of commercial space accidents, that authority is not
expressly spelled out in NTSB's enabling legislation. To relive such
ambiguity in the event of future commercial spaceflight accidents, it
would be useful for Congress to consider specifically granting that
authority.
Question 2. Mr. Sumwalt, as you know, the NTSB has a meticulous
investigatory process for discerning the primary causes and
contributing factors to accidents. Could you speak to your approach as
a Board Member to publicly speaking or publicly identifying a
particular cause or contributing factor, or a recommendation for
addressing the cause or factor, prior to the results of the
investigation?
Answer. The NTSB's ultimate goal is to prevent similar accidents
from occurring in the future. If we focus only on the obvious error, we
miss valuable accident prevention opportunities because systemic flaws
may remain undetected and thus, uncorrected.
I have a sign posted in my office that states: ``The discovery of
the human error should be considered as the starting point of the
investigation, not the ending point.'' I use these words as a constant
reminder that our investigations must examine the entire system and not
just focus on errors of front line personnel.
When preparing for board meetings, I firmly believe it is my
responsibility to be fluent with the facts, circumstances, and
conditions surrounding that accident; studying these issues is a duty I
take seriously. I carefully study the report and meet with staff to
outline my concerns and areas where I have questions. As a quality
check on the draft report, I draft my own version of the probable cause
to ensure that the analysis is supported by the facts, the analysis
supports the findings and probable cause, and these support the
recommendations. I then compare my draft probable cause with that of
what staff has drafted. I typically delve into the public docket and
party submissions to understand more than is just presented in the
draft report. I encourage parties to the investigation to meet with me
so I can better understand their perspective. I then take all of this
into account when I vote on an accident product.
Question 3. Mr. Sumwalt, in some instances, as a result of limited
technical capacity and budget constraints, the development process or
expenditure of resources on a particular safety improvement may divert
attention or resources from another type of safety improvement. To what
extent does the NTSB consider these types of trade-offs that may have
unintended consequences for safety?
Answer. I believe our job, as an accident investigation agency, is
to determine what led to the accident and then look for ways that could
prevent future similar accidents. The NTSB does not consider cost vs.
benefit when issuing safety recommendations. This does not mean we are
unconcerned about the practicality of our recommendations.
I believe we must challenge industry and government to raise the
bar on safety by issuing recommendations that sometimes may be
considered to be ``stretch goals'' for the recommendation's recipient.
I believe unless we push the envelope on some issues, we won't achieve
breakthrough safety improvements.
As an example, as a result of the TWA 800 crash, a Boeing 747 that
crashed into the Atlantic Ocean shortly after departure from John F.
Kennedy International Airport, NTSB issued a recommendation in 1996
calling for improved fuel tank flammability standards. Most in the
industry believed that this could not be accomplished cost effectively
for transport category aircraft. FAA initially responded to the
recommendation, stating that such a recommendation would have ``little
benefit'' and would have ``significant economic implications.''
However, because of NTSB's recommendation--indeed a stretch goal--FAA
and industry pursued ways to develop affordable, practical, and
effective flammability reduction systems. Based on its success of this
undertaking, on July 21, 2008, the FAA adopted a requirement for
certain transport category aircraft to have fuel tank inerting systems.
I believe had NTSB not issued this recommendation in 1996, these
requirements may not have been implemented.
______
Response to Written Questions Submitted by Hon. Dan Sullivan to
Robert L. Sumwalt III
Question 1. The Medallion Foundation was founded in Alaska in 2001
to improve pilot safety awareness. One of its goal is to get operators
to voluntarily train and commit to higher standards of operational
safety through audits, simulator training and classroom training. Do
you agree that voluntary participation, in conjunction with normal
regulatory oversight, is an effective approach to increasing aviation
operational safety?
Answer. I firmly believe that voluntarily submitted safety
information is key to uncovering safety deficiencies. From 1991 through
2009, I was an outside consultant to NASA's Aviation Safety Reporting
System (ASRS). ASRS is a government-funded and operated program that
collects voluntarily submitted incident and safety reports from
aviation industry employees. These reports often contain rich
narratives and explanations of information that would not otherwise be
known. Through analyzing such information, we were able to identify
intervention measures to improve safety.
Additionally, as an airline pilot who worked in the airline's
safety department, I can state with authority the importance of having
voluntary nonpunitive safety reporting systems. Through these programs,
the airline was able to learn of safety-related issues that may not
have been highlighted until after an accident or serious incident.
Before being appointed to the NTSB in 2006, I ran the small flight
department for a Fortune 500 company. There I put in place the elements
for a confidential nonpunitive safety reporting system, as well as the
practice of internal and external audits. Now at the NTSB, when
speaking at safety conferences, I encourage the practice of internal
and external audits, as well as confidential nonpunitive safety
reporting systems.
NTSB has protections in our enabling legislation (49 USC 1114) and
regulations (49 USC 831.6) to protect voluntarily submitted safety
information. If confirmed, I will fight to ensure we do everything we
possibly can to encourage collection of such information, and that the
protections granted by the legislation and regulations remains in
force.
Question 2. The FAA and the Medallion Foundation have created a
partnership that has constituted a paradigm shift in public policy that
has resulted in dramatic improvements in aviation safety. Do you think
the NTSB would be interested in establishing a partnership with the
Medallion Foundation to help improve aviation safety?
Answer. I am familiar with the Medallion Foundation and appreciate
the work they have done to improve safety in Alaska. I believe in order
for the Medallion Foundation to be effective, a partnership with the
regulator (FAA) is essential. As the regulator, the FAA has the ability
to encourage such programs, and in my opinion, programs such as the
Medallion Foundation should be part of the FAA's ``safety tool box.''
On the other hand, the NTSB is not the regulator. Through the
Independent Safety Board Act of 1974, as amended, Congress intended for
us to be independent accident investigation agency, free from outside
influences. Keeping with that line of thinking, I believe the NTSB must
not compromise our independence by partnering with outside
organizations or agencies. This does not mean, however, that we should
not work with organizations such as the Medallion Foundation, and
government agencies, to encourage their endeavors to continue working
diligently to improve safety.
______
Response to Written Questions Submitted by Hon. Bill Nelson to
Robert L. Sumwalt III
Question 1. In October 2015, the El Faro tragically sank and all 33
crewmembers were lost. The National Transportation Safety Board has
been investigating the sinking. It's critical that we know what
happened so that we can prevent this kind of tragedy in the future. I
am anxious to hear the NTSB's recommendations for how we can prevent
this kind of tragedy from happening again. When can we expect this
report?
Answer. A Board meeting to determine the probable cause and issue
safety recommendations is planned for late fall of this year. I will be
sure that you are kept updated as more information is available.
Question 2. Are there specific safety issues that the NTSB has
identified so far?
Answer. Among other things, the investigation is looking into
decision-making processes regarding vessel operations in hurricanes and
other heavy weather occurrences, as well as tropical cyclone/hurricane
weather forecasting and dissemination.
______
Response to Written Questions Submitted by Hon. Richard Blumenthal to
Robert L. Sumwalt III
Question 1. In 2013 and 2014, Metro-North experienced a series of
crashes and collisions that led to six deaths and scores of injuries.
The NTSB, as an independent safety authority, was instrumental in
investigating those incidents, culminating in an exhaustive report in
late 2014. You were critical to that investigation and report. Some of
the many key findings were that Metro-North needed to better address
worker fatigue as well as install Positive Train Control--something
your agency has been urging for nearly five decades.
In late May, Metro-North had yet another derailment when a train
entered a part of track in Rye where Metro-North knew there was a
defect. A dozen riders were sent to hospitals.
I wrote Metro-North demanding answers that ensure Metro-North
installs PTC by the 2018 deadline. I received a response yesterday that
says the railroad ``continues to work diligently to implement'' by
2018.
I also understand you are investigating. What are your findings
about the incident in Rye?
Answer. The NTSB dispatched an investigative team to examine the
factors surrounding the derailment. The investigators gathered
information regarding the track's condition and operational factors
related to the derailment, and they are currently analyzing their
findings. I will be sure to continue to provide you with more
information as updates become available.
Question 2. What can you say about Metro-North's improvements as a
railroad since your 2014 report?
Answer. As part of the investigation into the derailment in Rye, we
are also evaluating Metro-North's progress toward addressing the
organizational issues raised in our 2014 investigation report of five
significant Metro-North Railroad accidents that occurred in 2013 and
2014. We will continue to provide you with more information as updates
become available.
Question 3. In February 2015, a Metro-North train collided into a
car at a grade crossing north of New York City, killing the driver of
the car and five on the train. It was a horrific event, and based on
that I worked closely with my colleagues to craft measures to improve
grade-crossing safety.
But there is much work to be done. I am eager to learn more about
how we can further prevent such tragedies. It is important to know more
about how the event took place.
You have led the agency's response to this incident and the
subsequent investigation. I recognize it was a unique incident with
many complicated technical issues about the train and intersection, but
it has been over two years.
When should we expect a report with conclusions about the incident?
Answer. A Board meeting to determine the probable cause and issue
safety recommendations is scheduled for this summer. I will be sure
that you are kept updated as more information is available.
I share your concerns regarding the time-frame for completing this
and other investigations, and, if confirmed, I pledge to continue to
push for timely completion of accident reports, which requires the
availability of adequate resources.
Question 4. What can you share about your findings?
Answer. The investigation is considering the adequacy of grade-
crossing warning systems, roadway and track conditions, and driver
behavioral factors, as well as analyzing the rail and the
crashworthiness of the railcar to determine if further safety
improvements are warranted.
The Board will consider the findings of the investigation during
the Board meeting.
______
Response to Written Question Submitted by Hon. Brian Schatz to
Robert L. Sumwalt III
Question. White House and the Office of Legal Counsel has recently
asked Federal Government agencies to only answer oversight requests
from committee chairmen, rather than all members of Congress, including
the ranking member. Do you personally commit to responding to oversight
requests and letters from minority members of Congress in a timely
manner?
Answer. Yes.
______
Response to Written Questions Submitted by Hon. Catherine Cortez Masto
to Robert L. Sumwalt III
Question 1. Would you agree that technology like PTC and ECP brakes
are incredibly important to raising the bar of safety for rail
operations in this country?
Answer. The NTSB has long called for Positive Train Control and we
have investigated numerous accidents that could have been prevented if
an operational PTC system been in place.
The NTSB does not have a position on ECP brakes, but in a study
performed by our staff, it was determined that ECP brake systems out-
performed distributed power configurations and conventional brake
systems. The study provides detailed description and analysis of each
rail braking system and the stopping distances they achieved under
various circumstances. While ECP brake systems performed best,
increasing the net braking ratio for any brake system substantially
improved its stopping performance. Improving braking capability is one
component of improving rail safety.
Question 2. Could provide us a round estimate on how many rail
investigations you've known about at NTSB that were PTC preventable?
Answer. Since 1969, the NTSB has investigated 148 rail accidents
that could have been prevented if an operational PTC system been in
place.
Question 3. In your safety expert opinion, do you think there would
be safety concerns with large amounts of nuclear waste traveling from
say Minnesota, Texas, or Mississippi, all the way to Nevada, by rail?
Answer. By statute, the NTSB is primarily an accident investigation
agency. To my knowledge, NTSB has never investigated an accident or
incident involving transport of nuclear waste by rail. Regulating the
safety of these shipments is the joint responsibility of the Nuclear
Regulatory Commission (NRC) and the Department of Transportation (DOT).
I believe that in order to ensure highest levels of safety of our
Nation's railway system, it is necessary to take a holistic approach to
managing safety. There is no single magic bullet.
From a high-level perspective, there needs to be an absolute
commitment to safety by the leaders and management of the railroad, as
well as that of the frontline employees. Leaders and individuals to
must have a collective commitment to emphasize safety over competing
goals to ensure protection of people and the environment. A culture
must exist where errors and unsafe acts can be brought to the attention
of management without fear of retribution or punishment, so that safety
concerns and deficiencies can be identified and corrected before an
accident or serious incident occurs.
Aggressive risk assessment and mitigation measures must be
employed. For example, when transporting flammable liquids by rail, the
railroad is required to consider 27 risk factors when evaluating route
selections.
Drilling down further, there needs to be adequate track inspection
and maintenance. In addition, because we continue to see transportation
accidents related to sleep apnea, the NTSB has recommended that the
Federal Railroad Administration implement a requirement for railroads
to conduct sleep apnea screening. We also have called for inward facing
cameras to be installed in the controlling locomotive cabs. PTC is, of
course, an essential component of maximizing railroad safety.
Measures such as these are necessary to ensure the highest levels
of safety.
Question 4. Are you aware if we have a safe and certified rail car
available to move spent nuclear fuel?
Answer. I am not aware of this but, if confirmed, pledge to look
into these standards.
Question 5. Would you think it would be a logical expectation that
we wouldn't move significant amounts of nuclear waste by rail until
those operations have trustworthy innovations like PTC and ECP brakes
more roundly installed, and utilized, by the industry?
Answer. I believe that transport of nuclear waste, like transport
of all hazardous materials, absolutely needs to be conducted in a
manner where risks are managed to an acceptable level. The measures
outlined in my response to Question 3, as well as those identified by
other agencies such the DOT, Department of Energy, and NRC, as well as
by the railroad and nuclear industries, must be implemented to ensure
that nuclear waste is transported safety.