U.S. GOVERNMENT PUBLISHING OFFICE

29–975 PDF WASHINGTON : 2018

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 

( 

Available online: http://www.govinfo.gov 

(II) 

SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION 

ONE HUNDRED FIFTEENTH CONGRESS 

FIRST SESSION 

JOHN THUNE, South Dakota, Chairman 

ROGER F. WICKER, Mississippi 

ROY BLUNT, Missouri 

TED CRUZ, Texas 

DEB FISCHER, Nebraska 

JERRY MORAN, Kansas 

DAN SULLIVAN, Alaska 

DEAN HELLER, Nevada 

JAMES INHOFE, Oklahoma 

MIKE LEE, Utah 

RON JOHNSON, Wisconsin 

SHELLEY MOORE CAPITO, West Virginia 

CORY GARDNER, Colorado 

TODD YOUNG, Indiana 

BILL NELSON, Florida, Ranking 

MARIA CANTWELL, Washington 

AMY KLOBUCHAR, Minnesota 

RICHARD BLUMENTHAL, Connecticut 

BRIAN SCHATZ, Hawaii 

EDWARD MARKEY, Massachusetts 

CORY BOOKER, New Jersey 

TOM UDALL, New Mexico 

GARY PETERS, Michigan 

TAMMY BALDWIN, Wisconsin 

TAMMY DUCKWORTH, Illinois 

MAGGIE HASSAN, New Hampshire 

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 

(III) 

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 

Page

IV 

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 

(1) 

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 

2 

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. 

3 

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. 

4 

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 fastgrowing 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. 

5 

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 

6 

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) 

7 

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, nonelected, 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? 

8 

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. 

9 

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 

10 

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 

11 

• 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. 

12 

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 51⁄4-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. 

13 

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 PresiVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00017 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
14 

dent’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 Commerce, 

U.S. House of Representatives 

Chief Counsel July 2013 to present 

Counsel February 2011–July 2013 

CTIA—The Wireless Association Director, Regulatory Affairs July 2009–February 2011 

Counsel, Regulatory Affairs April 2007–June 2009 

Legal Intern Summer 2005, August 2006– 

April 2007 

Office of Congresswoman Sue Kelly Intern Spring 2006 

Federal Communications Commission Legal Intern Fall 2004; Spring 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. 

15 

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, nonelected, 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 

16 

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. 

17 

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. 

18 

• 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 opeds. 

• 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 

19 

• 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 

20 

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 

21 

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) 

22 

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, nonelected, 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. 

23 

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. 

24 

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. 

25 

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. 

26 

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/AntiIcing.’’ 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. 

27 

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 

28 

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.’’ 

29 

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. 

30 

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 

31 

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 

32 

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. 

33 

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 

34 

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 

35 

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 

36 

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 RepVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00040 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
37 

resentatives. 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 apVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00041 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
38 

proaching (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. § 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. § 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. § 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. § 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 notiVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00042 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
39 

fied 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. § 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 probVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00043 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
40 

able 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 

41 

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 specVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00045 Fmt 6633 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
42 

trum 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? 

43 

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 

44 

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. 

45 

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.] 

46 

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. 

47 

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. 

48 

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. 

49 

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 agreeVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00053 Fmt 6633 Sfmt 6601 S:\GPO\DOCS\29975.TXT JACKIE
50 

ments. 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 

51 

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 

52 

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 

53 

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. 

54 

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 

55 

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 

56 

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 

57 

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 

58 

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-inhand. 

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. 

59 

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 

60 

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 enVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00064 Fmt 6633 Sfmt 6601 S:\GPO\DOCS\29975.TXT JACKIE
61 

joyed 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. 

62 

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.] 

(63) 

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 todate. 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 recVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00067 Fmt 6601 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
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ommendations 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. 

65 

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 performancebased 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. 

66 

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 everworsening 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 

67 

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 chalVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00071 Fmt 6601 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
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lenge 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 inVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00072 Fmt 6601 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
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terest 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. 

70 

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 ‘‘optout’’ 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 comVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00074 Fmt 6601 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
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pliments 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. 

72 

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 optout? 

73 

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 

74 

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 everincreasing 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, 

75 

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. 

76 

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 

77 

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 

78 

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 reVerDate Nov 24 2008 10:14 May 23, 2018 Jkt 075679 PO 00000 Frm 00082 Fmt 6601 Sfmt 6621 S:\GPO\DOCS\29975.TXT JACKIE
79 

lated 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. 

80 

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. 

81 

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 safetyrelated 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. 

82 

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. 

83 

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. 

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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. 

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