SELECTCOMMITTEE ON INTELLIGENCE UNITED STATES SENATE QUESTIONNAIREFORCOMPLETIONBY PRESIDENTIAL NOMINEES SELECTCOMMITTEE ON INTELLIGENCE UNITED STATESSENATE QUESTIONNAIRE FOR COMPLETION BY PRESIDENTIALNOMINEES PART A - BIOGRAPHICAL INFORMATION 1. 2. FULL NAME: OTHERNAMESUSED: Kenneth Leonard Wainstein n/a DATEAND PLACEOFBIRTH: February 14, 1962 PaloAlto, California CITIZENSHIP: U.S. citizen 3. MARITAL STATUS: Married 4. SPOUSE’S NAME: Elizabeth Haynie Wainstein 5. SPOUSE’S MAIDEN NAME IF APPLICABLE: 6. NAMESAND AGESOFCHILDREN: Virginia Elizabeth Haynie REDACTED 7. EDUCATION SINCE HIGH SCHOOL: iNSTiTLrrioN DATES ATrENDED DEGREE RECEIVED DATE OF DEGREE University of California Berkeley School of Law 1985-1988 JD May 1988 University of Virginia 1980-1984 BA May 1984 8. EMPLOYMENr RECORD (LIST ALL POSITIONSHELD SINCE COLLEGE, INCLUDING MILITARY SERVICE. INDICATE NAME OF EMPLOYER, POSITION, TITLE OR DESCRIPTION, LOCATION, AND DATES OF EMPLOYME Ifr). POsiTioNrriTLE EMPLOYER Caf6 Studios Davis Polk & Wardwell LLP Burke & Herbert Bank Host Partner Member.Board of Directors Commissioner BipartisanCommissionon Biodefense,sponsoredby the HudsonInstitute SecurityAdvisory Board, Alclear, LLC (d.b.aCLEAR: Cadwalader,Wickersham& Taft LLP O’Melveny & Myers LLP Georgetown University Law Center United States Government Executive Office of the President United StatesGovernment Departmentof Justice LOCATION Washington.DC Washingm AlexandM DATES 2/20 – 2/21 6/17 – present 4/16 (est.) – present Washington,DC 12/14 – present Member New York, NY 11/14 – present Partner Washington,DC 3/12 – 6/17 Partner Washington,DC 2/09 – 3/12 1/09 (est.) - present c Assistantto the Presidentfor Homeland Securityand Counterterrorism AssistantAttorney Generalfor National Washington,DC 3/08 – 1/09 Washington, DC 9/06 – 3/08 Washington,DC 5/04 – 9/06 Washington,DC 3/03 – 5/04 Washington,DC 7/02– 3/03 Washington, DC 8/01 – 7/02 Washington,DC 10/92– 8/01 New York. NY 10/89– 10/92 Securi United StatesGovernment Departmentof Justice United StatesGovernment Departmentof Justice United for the District of Columbia Chief of Staff Federal Bureau of Investjgation United States Government Generalmo Department of Justice FederalBureauof Investjgation United StatesGovernment Departmentof Justice Director– United StatesGovernment Departmentof Justice ExecutiveOffice for United States Attorneys Interim United States Attorney, Principal Assistant United States Attorney, Deputy Chief of the Superior Court Division and Deputy Chief and line prosecutor in the United States Attorney’s Office for the District of Columbia United StatesGovernment Departmentof Justice AssistantUnited States Attorney in the Criminal Division of the United StatesAttorney’sOffice for theSouthern District of New York United StatesGovernment United StatesDisUict Court Gibson,Dunn & Williams LLP Hunton & Williams LLP Law Clerk for Judge Thomas Penfield Jackson Summer Associate Washington, DC 1 8/88 – 8/89 New York, NY and 6/87 – 8/87 Washington,DC Cleary Gottlieb Steen & SummerAssociate SecuritiesParalegal 6/86 – 8/86 10/84 – 5/85 Hamilton LLP United StatesGovernment Washingm Washingm Legislative Washington, DC 16/84 – 10/84 US House of Representatives Correspondent Office of Congressman Carl D. Perkins United StateGovernment Internal RevenueService GeneralCounsel’sOffice United StatesGovernment Internal RevenueService GeneralCounsel’sOffice United StatesGovernment Departmentof Defense Office of the Secretaryof Defense 9. Clerk a Clerk D Clerk a GOVERNMENr EXPERIENCE(INDICATE EXPERIENCEIN OR ASSOCIATION WITH FEDERAL, STATE, OR LOCAL GOVERNMENTS, INCLUDING ADVISORY, CONSULTATIVE, HONORARY, OR OTHER PART-TIME SERVICE OR POSITION. DO NOT REPEAT INFORMATION ALREADY PROVIDED IN QUESTION 8). 1 2. 3 4 5 6. Member of Public Interest Declassification Board (2013 – 2020) Member of CIA General Counsel External Advisory Board (2013 est. – present) Member of Director’s Advisory Board of the National Counterterrorism Center (2014 – present) Chairman of the National Security Agency General Counsel Advisory Board (20 14– 2016 est.) Chairman of the New York StateCounterterrorhn Advisory Panel (2017– 20 18) Member of the Judge Webster Commission on the FBI, Counterterrorism Intelligence and the Fort Hood Shootings (2009– 2010) 10. INDICATE ANY SPECIALIZEDi]frELLiGENCE ORNATIONAL SECURITYEXPERTISEYOU HAVE ACQUIRED HAVING SERVED IN THE POSITIONS DESCRIBED IN QUESTIONS 8 AND/OR 9. I initially developed my intelligence and national security expertise in the immediate aftermath of the 9/11 attacks. Prior to that point, I had served for 12 years as a federal line prosecutor and supervisor, focusing primarily on criminal justice issueswith occasional involvement in prosecutions involving national security issues like export control, international terrorism and espionage. After 9/1 1, however, my focus turned largely to the counterterrorism effort and the federal government’s broader national security program. As Director of the Executive Oflice of U.S. Attorneys in 2001-02, 1coordinated the efforts of the federal prosecutors’ offices to reorient their enforcement program toward counterterrorism, integratetheir operations with those of the Intelligence Community and generally become more active participants in the counterterrorism effort. From 2002-04, 1served as FBI GeneralCounsel and then Chief of Staff. In those positions, I was centrally involved in the Bureau’s efforts to develop its intelligence processesand capabilities and transform itself into a full-fledged intelligence agency. I also worked closely with Director Mueller on the various national security issuesthat arose during that time &ame. After 2.5-years as the Interim and then the Senate-confurued United States Attorney in the District of Columbia, I was nominated and confirmed as the first Assistant Attorney General for National Security. In that position, I worked with my colleagues to establish and build the National Security Division, which was the first new DOJ division in about a half century. As Assistant Attorney General, I served as the Justice Department’s statutorilydesignatedliaison with the Intelligence Community. I also worked with my NSD colleaguesto, among other things, managethe integration of the Department’s national security prosecutorsand its intelligence attorneys in the Office of Intelligence Policy and Review into a single division; overseeall of the national security prosecutionsaround the country; propose and testify about national security legislation; build an enhancedprocessof oversight of FBI national security investigations; and start an initiative to increaseenforcement of export control violations. In 2008, 1 was askedby PresidentBush to serve as his Homeland Security Advisor (Assistant to the Presidentfor Homeland SecurIty and Counterterrorism). In that position, I advised and briefed the Presidenton counterterrorism and homeland security matters, convenedand chaired meetings of the Cabinet Officers on the Homeland Secwity Council, and oversaw the inter-agency policy making and coordination process for counterterrorism1 infras&ucture protection, biodefense and pandemic planning, disaster response and recovery and other homeland security matters. Since my departure from government service on Inauguration day of 2009, 1 have remained involved in national security matters, including through the government affiliations listed in Question 9 above. My participation with these governmental national security entities -- along with my membership on various private national security related organizations (see Question 12 below) and my last twelve years of teaching National Security Law and Investigations at Georgetown Law School – have helped to keep my knowledge and experience curTent and up to date on the evolving issues in the national security area. 11. HONORS AND AWARDS (PROVIDE INFORMATION ON SCHOLARSHIPS, FELLOWSHIPS, HONORARY DEGREES,MILITARY DECORATIONS, CIVILIAN SERVICE CITATIONS. OR ANY OTHER SPECIAL RECOGNITION FOR OUTSTANDING PERFORMANCEOR ACHIEVEMENT). College: Phi Beta Kappa (1984) Graduation with High Distinction (1984) Law School: California Law Review (1986-88) Moot Court Board (1986-88) Department of Justice: The Edward J. Randolph Award for Outstanding Service to the Departmentof Justice (2008) Department of Justice Director’s Awards for Superior Performance (2) (1997 and 2000 est.) Special Achievement Awards as an Assistant U.S. Attorney (several) (1990’s) Bar Association of DC Lawyer of the Year Award, Bar Association of the District of Columbia (Est. 2005) 12. ORGANIZATIONAL AFFILIATIONS (LIST MEMBERSHIPS IN AND OFFICESHELD WITHIN THE LAST TEN YEARS IN ANY PROFESSIONAL, CIVIC, FRATERNAL, BUSINESS. SCHOLARLY. CULTURAL, CHARITABLE, OR OTHER SIMILAR ORGANIZATIONS). Affiliations with governmental organizations are listed above in question #9. R(JA ON s United StatesAttome Council on FoI In Relations DC Affordable Lamr St. S' lhen’s & St. :nesSchool StatesUnited Democr; Center }FFICEHELD onlcer andBoard Member DA: ) Member Member. Ad 201 l-oresent Board Member, Board of Governors 20192020- Member, Advisory Board 2020-present National Security Institute, George Member, Advisory Board 2018-present Co-Chair of the Committee on National Security Law, Policy & 2009-201 8 of Columbia Old Dominion Boat Club Practice Member Member,SteeringCommittee MasonUniversi The Bar Association of the District Center of Cyber and Homeland Securityat GeorgeWashington Universit St. M ’s Catholic Church Old PresS M House University of Virginia Association Ahn Parishioner Member Member Edward Bennett Williams Inn of 13. 2005-present 2010-2017 1962-present 1993-present 1984-present 2000 (est.)-present PUBLISHED WRITINGS AND SPEECHES(LIST THE TITLES, PUBLISHERS,BLOGSAND PUBLICATION DATES OF ANY BOOKS, ARTICLES, REPORTS, OR OTHER PUBLISHED MATERIALS YOU HAVE AUrHORED. ALSO LIST ANY PUBLIC SPEECHESOR REMARKS YOU HAVE MADE WITHIN THE LAST TEN YEARS FOR WHICH THERE IS A TEXT, TRANSCRIPT. OR VIDEO). IF ASKED, WILL YOU PROVIDE A COPY OF EACH REQUESTED PUBLICATION, TEXT, TRANSCRIPT, OR VIDEO? Yes I have tried to recall all writings, speechesor remarks that would be responsive to this question. If additional materials are identified, those materials will be reported to the Committee promptly. Pleasenote that certain such materials may not be available currently in digital form or in hard copy. 1. Monthly podcastsof United Security with Lisa Monaco on Caf6 Studios -- 2020-21. 2. Guest podcast appearance on Karen Greenberg’s Vital Interests Podcast – May 1 1, 202 1 3. Guest appearance in 2018 for the National Security Law Today podcast of the ABA Standing Committee on Law and National Security. This is the link to that podcast: https://soundcloud.com/nsltodav/answering-tough-questions-with-ken-wainstein 4. Op-ed with Lisa Monaco on national security leadership– August 21, 2019. https://www.washingtonpost.com/opinions/america-please-look-beyond-lpur-self-interest-and.do-yourduty/2019/08/2 1/1206dd94-c448-11e9-9986-1fb3e4397be4 story.html 5. Op-ed with Lisa Monaco on domestic terrorism – November 5, 2018. https://www.washingtonpost.com/opinions/weve-declared-war-on-foreign-terrorism-why-not-do-the-samefor-domestic-threats/2018/1 1/05/707c3d5c-e13a- 1 le8-ab2c-b3 1dcd53ca6b story.html 6. Article I wrote with A. JosephJay III for Bloomberg Law, IndependentInvestigations in Higher Education – July 11, 2016. 7. Article I wrote with A. JosephJay III as part of a symposium, 7heUnique Aspectsof Independent Investigations in Higher Education, American Journal of Trial Advocacy; Birmingham Vol. 39, Iss. 3, (Spring 2016), 587-94. 8 Speechat the Ethics and Compliance Officer Association Sponsoring Partner Forum on May 9, 2013, Cyber Threat and Response. 9. Speechat The Heritage Foundationon May 8, 2013, The Changing Nature of Terror: Law and Policies to ProtectAmerica. 10. Article I wrote for the 2009 NYU Center on Law and Security Magazine, Terrorism Prosecutionand the Primacy of Prevention Since 9/1 1. 11. The University of California, Berkeley School of Law Transcript, The USA Patriot Act, Spring/Summer 2003 12. My law school comment: Judicialty Initiated Prosecution. 76 CALIFORNIA LAW REVIEW 727 (1988). 13. Client Alerts: I have been listed along with other attorneys on client alerts about compliance and civil and criminal enforcementissues issuedby my law firms over the last ten years. 14. Panels and Conferences: I have spoken on numerous panels and at legal and professional conferences, but I’m not aware of any available transcripts or recordings. 15, Congressional Testimonies over the last ten years: A. Hearing on the Modus Operandi and toolbox of Russian and Other Autocracies for Undermining Democracies Throughout the World, before the Subcommittee on Crime and Terrorism of the Senate Judiciary Committee on March 15, 2017. B. Hearing on Election Interference: Ensuring Law Enforcement is Equipped to Target Those Seeking to do Harm, before the SenateJudiciary Committee on June 12, 2018. C. Hearing on Outside Views on Biodefense for the Department of Defense, before the Subcommittee on Emerging Threats and Capabilities of the House Armed Services Committee on February 3, 2016. D. Hearing on the Reauthorization of the FISA Amendments Act, before the SenateJudiciary Committee on May 10, 2016. E. Testimony in support of Stevan Bunnell in his confirmation hearing for the position of GeneralCounsel of the Department of Homeland Security, before the SenateCommittee on Homeland Security and Governmental AfFairs on September18, 2013. F. Hearing on Counterterrorism Policies and Priorities: Addressing the Evolving Threat, before the Senate Foreign Relations Committee on March 20, 2013. G. Hearing on Cybersecuhty and U.S. National Security, before the SenateArured ServicesCommittee on July 14,2016. H. Hearing on National Security Leaks, before the Subcommittee on Crime, Terrorism and Homeland Security of the Senate Judiciary Committee on July 1 1, 20 12. PART B - QUALIFICATIONS 14. QUALIFICATIONS (DESCRIBEWHY YOU BELIEVE YOU ARE QUALIFIED TO SERVEAS UNDER SECRETARY FOR INTELLIGENCE AND ANALYSIS). My qualifications for this position are largely based on my government experience with national security and intelligence matters describedabove in responseto Question 10. That experience hasbeen supplementedduring my yearsin the private sector by my involvement in various national security-related boards and organizations (see responsesto Questions9, 10 and 12) as well as my numerousrepresentationsas a private lawyer that have involved individuals and issues relating to national security and the Intelligence Community. In addition, it is worth mentioning three other areasof experiencethat will be important to my effectivenessif confirmed to this position. The first is my managementexperience. As a government official, I was honoredto lead and managegroups ranging from my trial teamsas an Assistant U.S. Attorney, to the U.S. Attorney’s Office in Washington, D.C., the Executive Office for U.S. Attorneys, the FBI GeneralCounsel’s Office, the National Security Division and the staff of the Homeland Security Council. I also gained valuable and directly relevant management experiencewhen I helped Director Robert S. Mueller with the transformation of the FBI into a more effective intelligence agency in the years after 9/1 1 and when I managed the inter-agency policy-making process as Homeland Security Advisor for PresidentBush. This managementexperiencewill be critically important if I have the honor of leading the Office of Intelligence and Analysis and helping its stafFposition themselvesto meet the intelligence threats and needsof today and tomorrow. A secondareaof relevant experience is my long experiencewith state and local law enforcement. As a line and supervisory prosecutor for a dozen years, I worked hard to foster the working relationship betweenpolice and prosecutor that is essential to effective law enforcement. I continued that effort as a senior Justice Department official – and particularly as the U.S. Attorney in DC who, unlike other U.S. Attorneys, is responsible for prosecution of almost all adult crimes in the district and works very closely with the local police (the Metropolitan Police Department). Thanks to that effort – and the reciprocal effort of true professionalslike D.C. Police Chief Charles Ramsey and others – I had strong working relationships with state and local law enforcement at every step of my government career. That experience with – and appreciation for – our state and local partners will prove to be an important asset,given the important role that the Office of Intelligence and Analysis plays in the integration of the federal and state and local intelligence efForts. The last areaof experienceto highlight is my background as a federal prosecutor,in which position it was my job to advance public safety and pursue prosecutions, but also to protect the rights and liberties of the criminal defendants in those prosecutionsand of any others whoseprivacy and rights were affectedby our investigations and cases. The experienceof having that dual obligation during the formative stageof my career resultedin my maintaining an intensefocus on civil liberties concernsat every turn throughout my subsequentgovernment career,with a prime example being our establishmentof the Oversight Sectionand program within the National Security Division, which representedthe first time that Main Justice attorneyswere granted and exercisedcomprehensiveoversight authority over the FBI’s national security investigations. I will maintain that focus and deeprespect for civil liabilities concerns if I am selectedto this position in the domestic intelligence process,where constitutional rights can be easily implicated and must be scrupulously observed. PART C - POLITICAL AND FOREIGN AFFILIATIONS 15. POLITICAL ACTIVITIES (LIST ANY MEMBERSHIPSOR OFFICESHELD IN OR FINANCIAL coiwrRiBUTioNS OR SERViCES RENDERED TO. ANY POLITICAL PARTY. ELECTION COMMiTrEE, POLITICAL ACTION COMMITtEE, OR INDIVIDUAL CANDIDATE DURING THE LAST TEN YEARS). arne of R >ient Biden for President Biden for President ic NationalCommittee DNC Services Corn / D Amount Year of Contribution $2,800.00 $5,600.00 2020 2020 2020 m Joe Sestakfor President Ben Sassefor US. SenateInc Dettelbach for Ohio Dettelbach for Ohio Steve Dettelbach for Ohio Attorney General Ben Sassefor US SenateInc Ed Gil] Le Committee $250.00 $200.00 $500.00 $500.00 $ 1.000.00 2018 2017 2017 2017 2017 Rjght to Rise USA JEB 2016, Inc. Glenn Ivey for Con Ben Sasse for U.S. Senate EdGilll ie for Senate JulietteKa im for Friendsof DoI Gansler Friendsof Dol Gansler Mike Sullivan for US SenateCommittee Whitakerfor US SenateInc. Friendsof SusanBrooks $ 1.000.00 52.700.00 8300.00 $200.00 $ 1,000.00 $500.00 $250.00 $ 1,000.00 $ 1,000.00 $300.00 8250.00 2015 2015 2015 2014 2014 2014 2014 2013 2013 2013 2012 In addition to the above political contributions, I was a co-founder of the Former RepublicanNational Security Officials for Biden, which was affiliated with 501(c)(4) organization, Defending Democracy Together, and issued statementsduring the 2020 presidential campaign. 16. CANDIDACY FOR PUBLIC OFFICE (FURNISH DETAILS OF ANY CANDIDACY FOR ELECTIVE N/A PUBLIC OFFICE). 17. FOREIGNAFFiLIATIONS (NOTE: QUESTIONS17A AND B ARE NOT LIMITED TO RELATIONSHIPSREQUIRING REGISTRATION UNDER THE FOREIGN AGENrs REGISTRATION ACT. QUESTIONS 17A, B, AND C DO NOT CALL FOR A POSITIVE RESPONSEIF THE REPRESENtATION OR TRANSACTION WAS AUTHORIZED BY THE UNITED STATESGOVERNMENr IN CONNECTION WITH YOUR OR YOUR SPOUSE’S EMPLOYMEiWr IN GOVERNME Ifr SERVICE.) A. HAVE YOU OR YOUR SPOUSEEVER REPRESEIfrED IN ANY CAPACITY (E.G. EMPLOYEE, ATrORNEY, ORPOLITICAL/BUSiNESSCONSULTAIW),WITH ORWITHOLrr COMPENSATION, A FOREIGNGOVERNMENTOR AN E}rrITY co}rrROLLED BY A FOREIGNGOVERNMENP IF SO, PLEASE FULLY DESCRIBE SUCH RELATIONSHIP. Davis Polk is an intemational furu with offices around the world and which has represented companies that are state.ownedenterprises.Having reviewed my records, it appearsthat I did work on one occasion for one stateowned enterprise, the Chinese National OfFshore Oil Corporation, which is a client of the China office of our firm. At the request of another partner, I supervised an associate drafting a memo summarizing U.S. law. In total, I billed less than 3 hours of work, which was the full extent of my engagement and contacts on the matter. B. HAVE ANY OF YOUR OR YOUR SPOUSE’S ASSOCIATES REPRESENrED, IN ANY CAPACITY. WITH ORWITHOUT COMPENSATION,A FOREIGNGOVERNMENTOR AN ENTITY CONTROLLED BY A FOREIGN GOVERNME Ifr? IF SO. PLEASE FULLY DESCRIBE SUCH RELATIONSHIP. As stated above, I have worked in international law fums that representcompanies,sovereign wealth funds and other entities that are state-owned enterprises, and as such I have had colleagues (i.e. “associates”) in those furus who have done work for those entities. C. DURING THE PAST TEN YEARS, HAVE YOU OR YOUR SPOUSERECEIVED ANY COMPENSATION FROM. OR BEEN IIWOLVED IN ANY FINANCIAL OR BUSINESS TRANSACTIONSWITH, A FOREIGNGOVERNMENr OR ANY ENriTY CONIROLLED BY A FOREIGN GOVERNMENT? IF SO, PLEASEPROVIDE DETAILS No D. HAVE YOU OR YOUR SPOUSE EVER REGISTERED UNDER THE FOREIGN AGElfrs REGISTRATION ACT? IF SO, PLEASE PROVIDE DETAILS. No. 18. DESCRIBEANY LOBBYING ACTIVITY DURING THE PASTTEN YEARS, OTHERTHAN IN AN OFFICIAL U.S. GOVERNMENT CAPACITY, IN WHICH YOU OR YOUR SPOUSEHAVE ENGAGED FOR THE PURPOSEOF DIRECTLY OR INDIRECTLY INFLUENCING THE PASSAGE, DEFEAT, OR MODIFICATION OF FEDERAL LEGISLATION. OR FOR THE PURPOSEOF AFFECTING THE ADMINISTRATION AND EXECUTION OF FEDERAL LAW OR PUBLIC POLICY. N/A PART D - FINANCIAL DISCLOSURE AND CONFLICT OF INTEREST 19. DESCRIBE ANY EMPLOYMENT, BUSINESSRELATIONSHIP, FINANCIAL TRANSACTION, IIWESTME Ivr, ASSOCIATION, OR ACTIVITY (INCLUDING, BUT NOT LIMITED TO, DEALINGS WITH THE FEDERALGOVERNMENt ON YOUR OWN BEHALFOR ON BEHALF OFA CLiENr), WHICH COULD CREATE, OR APPEAR TO CREATE, A CONFLICT OF INTEREST IN THE POSITION TO WHICH YOU HAVE BEENNOMINATED. In connection with the nomination process,I have consulted with the Office of Government Ethics and the Departmentof Homeland Security’s Designated Agency Ethics Official to identify any potential conflicts of interest. Any potential conflicts of interest will be resolved in accordancewith the terms of an ethics agreementthat I will sign and transmit to the Department’s Designated Agency Ethics Official, which will be provided to this Committee. I am not aware of any other potential conflicts of interest. As laid out in Question 35, 1 have represented a number of clients – individuals, companies and other organizations – before the federal government in legal matters of various types. To the extent that those representations are not already over, my involvement in them will cease when and if I leave my law firm for this position, and none of them is of a nature that would create any appearance of a continuing conflict of interest. Pursuant to my Ethics Agreement, I will consult with DHS Ethics officials with respect to participating in any matters involving any of my former clients. 20. DO YOU nfrEND TO SEVER ALL BUSINESS CONNECTIONS WITH YOUR PRESENt EMPLOYERS. FIRMS. BUSINESS ASSOCIATES AND/OR PARTNERSHIPS, OR OTHER ORGANIZATIONS IN THE EVElfr THAT YOU ARE CONFIRMED BY THE SENATE? IF NOT, PLEASEEXPLAIN. Yes, I will do so consistent with the terms of my ethics agreement with the DHS Designated Agency Ethics official. 21. DESCRIBE THE FINANCIAL ARRANGEMEifrs YOU HAVE MADE OR PLAN TO MAKE, IF YOU ARE CONFIRMED. IN CONNECTION WITH SEVERANCE FROM YOUR CURRENTPOSITION PLEASE INCLUDE SEVERANCE PAY. PENSION RIGHTS. STOCK OPTIONS. DEFERRED INCOME ARRANGEMENTS,AND ANY AND ALL COMPENSATIONTHAT WILL OR MIGHT BE RECEIVED IN THE FUtURE AS A RESULT OF YOUR cuRREivr BUSINESS OR PROFESSIONAL RELATIONSHIPS. The terms of my separationfrom my law firm and related paymentsare set out in Part 3 of my OGE Form 278 and in my ethicsagreement. 22. DO YOU HAVE ANY PLANS. COMMITMENTS. OR AGREEMENTS TO PURSUE OUTSIDE EMPLOYMEifr, WITH OR WITHOUT COMPENSATION,DURING YOUR SERVICE WITH THE GOVERNMEbrr? IF SO,PLEASEPROVIDE DETAILS. No 23. AS FAR AS CAN BE FORESEEN.STATE YOUR PLANS AFTER COMPLETING GOVERNMEIfr SERVICE. PLEASE SPECIFICALLY DESCRIBE ANY AGREEMEifrs OR UNDERSTANDINGS, WRiTrEN OR UNWRiTrEN. CONCERNINGEMPLOYMEivr AFTERLEAVING GOVERNMEifr SERVICE. IN PARTICULAR. DESCRIBE ANY AGREEMEbrrs, UNDERSTANDINGS,OR OPTIONS TO RETURN TO YOUR CURRENT POSITION. I have no plans for employment after 1leave government in the event that I am confirmed for this position. Nor do I have any understandings,either explicit or implicit, with any employers about potential employment at that stageof my career 24. IF YOU ARE PRESEVrLY IN GOVERNMENt SERVICE.DURINGTHE PASTFIVE YEARSOF SUCH SERVICE, HAVE YOU RECEIVED FROM A PERSON oursiDE OF GOVERNME IW AN OFFER OR EXPRESSION OF IIfrEREST TO EMPLOYYOURSERVICESAFTERYOU LEAVEGovERNMEifr SERVICE? IF YES, PLEASE PROVIDE DETAILS. N/A 25. IS YOURSPOUSEEMPLOYED? IF YESAND THE NATURE OF THIS EMPLOYMEVr IS RELATED IN ANY WAY TO THE POSITIONFORWHICH YOU ARE SEEKINGCONFIRMATION,PLEASE INDICATE YOUR SPOUSE’SEMPLOYER. THE POSITION. AND THE LENGTH OF TIME THE POSITION HAS BEEN HELD. IF YOUR SPOUSE’S EMPLOYMEifr IS NOT RELATED TO THE POSITION TO WHICH YOU HAVE BEEN NOMINATED, PLEASE SO STATE. My wife is employed, but her employment has no relation at all to the position for which I have beennominated. 26. LIST BELOW ALL CORPORATIONS, PARTNERSHIPS, FOUNDATIONS, TRUSTS, OR OTHER EifriTiES TOWARD WHICH YOU OR YOUR SPOUSEHAVE FIDUCIARY OBLIGATIONS OR IN WHICH YOU OR YOUR SPOUSEHAVE HELD DIRECTORSHIPSOR OTHER POSITIONSOF TRUST DURING THE PAST FIVE YEARS NAME OF E}friTY POSITION DATES HELD SELF OR SPOUSE REDACTED 27 LIST ALL GIFTS EXCEEDING $1001N VALUE RECEIVED DURING THE PAST FIVE YEARS BY YOU, YOUR SPOUSE, OR YOUR DEPENDENrs. (NOTE: GiFrs RECEIVED FROM RELATIVES AND GIFTS GIVEN TO YOUR SPOUSE OR DEPENDEIfr NEED NOT BE INCLUDED UNLESS THE GIFT WAS GIVEN WITH YOUR KNOWLEDGE AND ACQUIESCENCE AND YOU HAD REASON TO BELIEVE THE GIrr WAS GIVEN BECAUSE OF YOUR OFFICIAL POSITION.) While I do not know their specific values, I have received things of value from aiends and colleaguesover the past five years. I have had many meals with friends and colleaguesat which my Mend or colleague picked up the tab (as well as many at which I picked up the tab). I have received gifts of wine from two of my law firm partners,and have exchangedholiday and birthday gifts with many friends, though these were likely under the $100 threshold. 28. LIST ALL SECURITIES,REAL PROPERTY,PARTNERSHIPrbrrERESTS.OR OTHERiNVESTMEvrs OR RECEIVABLESWITH A cuRREvr MARKET VALUE (OR, IF MARKET VALUE IS NOT ASCERTAINABLE, ESTIMATED cuRREvr FAIR VALUE) IN EXCESS OF Sl,000. (NOTE: THE INFORMATION PROVIDED IN RESPONSETO SCHEDULE A OF THE DISCLOSURE FORMS OF THE OFFICE OF GOVERNMENT ETHICS MAY BE INCORPORATED BY REFERENCE. PROVIDED THAT cuRREvr VALUATIONSARE USED.) DESCRIPTION OF PROPERTY VALUE METHOD OF VALUATION House in Montrose, Alabama $932,73 1 Baldwin County Real EstateAssessment Family homein Alexandria,Virginia 82,256,717 Alexandria Real Estate Assessment All other relevantproperty is listed on the OGE Form 278. 29. LIST ALL LOANS OR OTHER INDEBTEDNESS(INCLUDING ANY CONrrNGENr LIABILITIES) IN EXCESS OF $10,000. EXCLUDE A MORTGAGE ON YOUR PERSONAL RESIDENCE UNLESS IT IS RENTED OUT, AND LOANS SECURED BY AUtOMOBILES. HOUSEHOLD FURNITURE. OR APPLIANCES. (NOTE: THE INFORMATION PROVIDED IN RESPONSETO SCHEDULEC OF THE DISCLOSURE FORM OF THE OFFICE OF GOVERNME FW ETHICS MAY BE INCORPORATED BY REFERENCE, PROVIDED THAT covriNGENr LIABILITIES ARE ALSO INCLUDED.) NATURE OF OBLIGATION NAME OF OBLIGEE AMOUFfr N/A 30. ARE YOU OR YOUR SPOUSENOW IN DEFAULT ON ANY LOAN. DEBT. OR OTHER FINANCIAL OBLIGATION? HAVE YOU OR YOUR SPOUSEBEEN IN DEFAULT ON ANY LOAN. DEBT. OR OTHER FINANCIAL OBLIGATION IN THE PASTTEN YEARS? HAVE YOU OR YOUR SPOUSE EVER BEEN REFUSED CREDIT OR HAD A LOAN APPLICATION DENIED? IF THE ANSWER TO ANY OF THESE QUESTIONS IS YES, PLEASE PROVIDE DETAILS. No. 31 LIST THE SPECIFICSOURCESAND AMOUNtS OF ALL INCOME RECEIVEDDURINGTHE LAST FIVE YEARS, INCLUDING ALL SALARIES, FEES, DIVIDENDS. INrEREST. GIFTS. RE ifrs. ROYALTIES, PATENTS, HONORARIA, AND OTHER ITEMS EXCEEDING $200. (COPIESOF U.S. INCOME TAX RETURNS FOR THESE YEARS MAY BE suBSTiTurED SUBMISSION IS NOT REQUIRED.) REDACTED HERE. BUT THEIR 32. IF ASKED, WILL YOU PROVIDE THE COMMiTrEE WITH COPIES OF YOUR AND YOUR SPOUSE’S FEDERAL INCOME TAX RETURNSFOR THE PAST THREE YEARS? Yes. 33. LIST ALL JURISDICTIONSIN WHICH YOU AND YOUR SPOUSEFILE ANNUAL INCOMETAX RETURNS. For the 2020 tax year, my spouseand 1filed income tax returns in the following states: 1 . 2. 3. 4. 5. Alabama. California. Illinois, New York, and Virginia. In addition, my law firm included me in the following 2020 composite state tax returns: 1 . 3 . 2. 4. 5. Connecticut, Massachusetts. Minnesota. New Jersey,and Ohio. 34. HAVE YOUR FEDERAL OR STATE TAX RETURNSBEEN THE SUBJECTOF AN AUDIT. INVESTIGATION,OR INQUIRY AT ANY TIME? IF so, PLEASEPROVIDEDETAILS,INCLUDING THE RESULT OF ANY SUCH PROCEEDING. No. 35. IF YOU ARE AN ATrORNEY, ACCOUNTAFm, OR OTHER PROFESSIONAL,PLEASE LIST ALL CLiENrs AND CUSTOMERSWHOM YOU BILLED MORE THAN 5200WORTHOFSERVICES DURING THE PASTFIVE YEARS. ALSO. LIST ALL JURISDICTIONS IN WHICH YOU ARE LICENSED TO PRACTICE. I have an active bar license in the District of Columbia and an inactive bar license in California My clients over the past five years have beenthe following: Affonso. Luis Agustoni, Emanuel Ad Hoc Group of McDermott Term Lenders Ankura Consulting Group LLC Archdioceseof Washington Astrazeneca Pharmaceuticals LP Atairos Management,L.P. Baier,Marc BaronCapital, Inc. Brennan.JohnO Brookfield Real EstateFinancial Partner CaliburnInternational CharoenPokphandGroup CompanyLimited ChevronCorporation Citizens Financial Group Inc. ClapperJr., JamesR. CNOOC Limited [See answer to Question 17 above] Cohen, David S. ComcastCorporation Dowdall, John Energycap,Inc. Equinix, Inc. Facebook,Inc. FederalDepositInsuranceCorporation Fidelity National Financial FomentoDe ConstruccionesY Contratas Ford Motor Company Fulcrum IT Services General Dynamics Corporation Gustin, David Hay, Mary Henderson.Chris Holmes.David A. HSBC Holdings Plc IronNet Cybersecudty J.P. MorganChaseBank, N.A. Joyner,Christopher Kapoor, Rakesh Knight, Ellen Larose,Scott Leadield/IMG College Linklaters LLP Mansbach,Ross Mayopoulos,Tim McGuire, Jason Mislock, Steven Morell, Michael Morgan Stanley & Co. LLC MyLife Natura CosmeticosS.A. NBCUniversalMedia LLC Nefkens,Mike Oberman,Allan Odgen,Anthony Olsen.Matthew Omisc Holdings Pte. Ltd. Palma.Emanuele Picchietti, Phil PurduePharrna RBS SecuritiesInc Renaissance Technologies Reuss,Mark Sedaghat,Shawn Shipcom Wireless, Inc. Silver SpikeCapital SLM Corporation SF Motors StateOf New York Taieb. Eli The Catholic University of America Tyab, Naeem Undavya,Khayati United Cellular, Inc. Walmart Inc. Weiss,Alex Whitfield, Cong. Ed Wynn Resorts Limited Wyss,Andre Zocdoc I have also represented four clients during the past five years in non-public matters whose identities I am not disclosing becauseof bar ethical rules. 36. DO YOU llgrEND TO PLACE YOUR FINANCIAL HOLDINGS AND THOSEOF YOUR SPOUSEAND DEPENDENr MEMBERS OF YOUR IMMEDIATE HOUSEHOLD IN A BLIND TRUST IF YES. PLEASE FURNISH DETAILS. IF NO. DESCRIBE OTHER ARRANGEMEVrs FOR AVOIDING ANY POTENriAL CONFLICTS OF INTEREST I do not intend to put our financial holdings in a blind trust. Instead, I have entered into an Ethics Agreement to address any current conflict of interest concerns arising from my financial holdings, and I will follow the advice of the government ethics officials to avoid any conflicts of interest in the future. 37. IF APPLICABLE, LIST THE LAST THREE YEARS OF ANNUAL FINANCIAL DISCLOSUREREPORTS YOU HAVE BEEN REQUIRED TO FILE WITH YOUR AGENCY, DEPARTME bn, OR BRANCH OF GOVERNMEifr. IF ASKED, WILL YOU PROVIDE A COPY OF THESE REPORTS? My last three financial disclosure reports were the last three full years of my government service (2005-08). I’d be happy to provide them, assumingthey are on file at the Justice Department. PART E - ETHICAL MATTERS 38 HAVE YOU EVER BEEN THE SUBJECTOF A DISCIPLINARY PROCEEDINGOR CITED FOR A BREACH OF ETHICS OR UNPROFESSIONAL CONDUCT BY, OR BEEN THE SUBJECT OF A COMPLAiNr TO, ANY COURT,ADMINISTRATIVE AGENCY,PROFESSIONALASSOCIATION, DISCIPLINARY COMMiTrEE, OR OTHER PROFESSIONAL GROUP? IF SO. PLEASE PROVIDE DETAILS No. 39. HAVE YOU EVER BEEN INVESTIGATED, HELD, ARRESTED, OR CHARGED BY ANY FEDERAL. STATE, OR OTHER LAW ENFORCEMENT AUTHORITY FOR VIOLATION OF ANY FEDERAL STATE, COUNTY, OR MUNICIPAL LAW, REGULATION, OR ORDINANCE. OTHER THAN A MINOR TRAFFIC OFFENSE, OR NAMED AS A DEFENDAIfr OR OTHERWISE IN ANY iNDicTMEifr OR INFORMATION RELATING TO SUCHVIOLATION? IF SO, PLEASEPROVIDE DETAILS No 40. HAVE YOU EVERBEEN CONVICTEDOF ORENrERED A PLEA OFGUILTY ORNOLO COVrENDERETO ANY CRIMINAL VIOLATION OTHERTHAN A MINOR TRAFFICOFFENSE?IF SO, PLEASE PROVIDE DETAILS. No. 41. ARE YOU PRESENrLY ORHAVE YOU EVERBEEN A PARTY IN INTERESTIN ANY ADMINISTRATIVEAGENCY PROCEEDINGOR CIVIL LITIGATION? IF SO,PLEASEPROVIDE DETAILS Yes. In 2016, my wife and I secureda judgment in the General District Court of Alexandria, Virginia againsta former tenant in a rental property we owned for her failure to pay approximately $19,000 in rent. Although we securedthe judgment, we were unableto collect from the former tenant. The casewasElizabeth and Ken Wairtstein v. Nancy Piper, Case No. GV16001 119-00. 42. HAVE YOU BEEN INTERVIEWED OR ASKED TO SUPPLYANY INFORMATION AS A WITNESS OR OTHERWISE IN CONNECTION WITH ANY CONGRESSIONAL INVESTIGATION. FEDERAL. OR STATE AGENCY PROCEEDING, GRAND JURY INVESTIGATION, OR CRIMINAL OR CIVIL LITIGATION IN THE PAST TEN YEARS? IF SO, PLEASEPROVIDE DETAILS. No. 43. HAS ANY BUSINESS OF WHICH YOU ARE OR WERE AN OFFICER. DIRECTOR, OR PARTNER BEEN A PARTY TO ANY ADMINISTRATIVE AGENCY PROCEEDINGOR CRIMINAL OR CIVIL LITIGATION RELEVANr TO THE POSITION TO WHICH YOU HAVE BEEN NOMINATED? IF SO. PLEASE PROVIDE DETAILS. (WITH RESPECT TO A BUSINESS OF WHICH YOU ARE OR WERE AN OFFICER, YOU NEED ONLY CONSIDER PROCEEDINGS AND LITIGATION THAT OCCURRED WHILE YOU WERE AN OFFICER OF THAT BUSINESS.) No. 44. HAVE YOU EVER BEEN THE SUBJECTOF ANY INSPECTORGENERAL INVESTIGATION? IF SO, PLEASE PROVIDE DETAILS. No. PART F - SECURITY INFORMATION 45. HAVE YOU EVER BEEN DENIED ANY SECURITY CLEARANCE OR ACCESSTO CLASSIFIED INFORMATIONFORANY REASON?IF YES,PLEASEEXPLAIN IN DETAIL. No. 46. HAVE YOU BEENREQUIREDTO TAKE A POLYGRAPHEXAMINATION FORANY SECURITY CLEARANCE OR ACCESS TO CLASSIFIED INFORMATION? IF YES, PLEASE EXPLAIN. Yes, I believe I took palygraphs for my employmentat the FBI and also possibly in connection with my clearance for membership on one or more of the Intelligence Community advisory boards (NCTC, CIA or NSA). 47. HAVE YOU EVER REFUSEDTO SUBMIT TO A POLYGRAPH EXAMINATION? IF YES, PLEASE EXPLAiN. No. PART G - ADDITIONAL INFORMATION 48. DESCRIBE IN YOUR OWN WORDS THE CONCEPT OF CONGRESSIONAL OVERSIGHT OF U.S IVrELLiGENCE ACTIVITIES. IN PARTICULAR. CHARACTERIZE WHAT YOU BELIEVE TO BE THE OBLIGATIONS OF THE UNDER SECRETARYFOR INTELLIGENCE AND ANALYSIS AND THE iNrELLiGENCE COMMITrEES OF THE CONGRESS,RESPECTIVELY, IN THE OVERSIGHT PROCESS As I learned in my government service – and as I have taught my studentsin my national security law school seminar – Congressplays a critical role in overseeingthe operations of the Intelligence Community. It is absolutely vital that the executive branch keep Congress“fully and currently informed” of its intelligence activities, so that Congresscan provide the Intelligence Community with valuable guidance and carry out its critical oversight responsibilities. It is also vital that Intelligence Community ofTicials fully cooperatewith congressional investigations in a timely manner, and that they support and protect the rights of whistleblowers to raise their concernswithout fear of retaliation. In terms of respective obligations, it is the responsibility of the Intelligence Committees to demand the relevant information and ask the right answers to perform effective oversight. It is, in turn, the obligation of the executive branch leaders in the Intelligence Community to provide that information, to answer those questions and to encourage those under their charge to be similarly cooperative with Congressional oversight. During my government service, I was always proud to uphold that obligation in my extensivedealings with the relevant Congressionaloversight committees. I testified 10-20times before Congress,and I routinely provided briefings to interested Members about the national security issuesthat were &ont and center during that time. I can assure the Committee that I will continue that cooperative approach to Congressional oversight if I am confirmed as Under Secretary for Intelligence and Analysis. 49. EXPLAIN YOUR UNDERSTANDING OF THE RESPONSIBILITIESOF THE UNDER SECRETARY FORINTELLIGENCEAND ANALYSIS. The primary responsibility of the Under Secretary is to do everything in his or her authority to advancethe mission of the Office of Intelligence and Analysis (I&A). l&A plays a number of vital roles in the nation’s intelligence operation. It is the intelligence arm of the Department of Homeland Security, providing intelligence that meets a national or departmental mission to the Department leadership and to policy makers across the federal government. It provides intelligence and intelligence supportto the other componentsof DHS in furtheranceof their homeland security missions. It also partners with state, local, tribal and territorial authorities and critical infrastructure, ensuring that thosepartners receive the intelligence relevant to threats within their jurisdictions and that the intelligence they generategets appropriately disseminatedto the rest of the Intelligence Community. It is the Under Secretary’sjob to put l&A and its staff in the position to successfully accomplish that multidimensional mission. First, the Under Secretary must focus internally and support the efforts of the dedicated men and women in I&A, providing the direction and resourcesthey need to maximize their effectiveness. Second, the Under Secretarymust also focus externally and work with a variety of constituenciesthat arecritical to the successof the l&A and its mission. That effort entails fostering the key relationships with state, local, tribal and territorial authorities and relevant private sector actors and working to integrate those entities into the broader Intelligence Community; working with leadership of the Intelligence Community to further integrate l&A into its operations; coordinating with other DHS componentsto ensurethat I&A is maximizing its potential as a sourceof intelligence support to those componentsand their missions; and engaging regularly with Congressto ensure that l&A is meeting the objectives of the congressional vision behind its creation in the Homeland Security Act and to allow for the meaningful oversight that is critical to maintaining the trust and confidence of Congressand the Americanpeople. The Under Secretary must also remain attuned to the implications that the work of l&A can have on privacy and constitutional rights. He or she must always remember – and must regularly convey to the I&A staff– that the Office has a dual mission of protecting both national security and civil liberties and that the Office is successfulonly when both missions are accomplished. Finally, as is the case for any leader in the Intelligence Community, it is the obligation of the Under Secretary to take all steps necessaryto shield I&A’s intelligence operations from any sort of political influence and to ensurethat I&A’s intelligence reports are products of the highest analytical quality and objectivity. Like the other IC agencies, the I&A is a staff of true professionals who are dedicated to the apolitical mission of protecting our nation. It will be incumbent on the Under Secretary to emphasizeand reinforce – through action and message-- the apolitical nature of that mission at every tum and to prioritize non-partisanprofessionalism in all aspectsof the Office’s operations. AFFIRMATION 1 KENNETH LEONARD WAINSTEIF{IDO SWEARTHAT THE ANSWERSI HAVE PROVIDEDTO THIS QUESTIONNAIRE ARE ACCURATE AND COMPLETE PeCCH4+ 3. tel / KENNETH WAINSTEIN SIGNATURE (Date) NOTARY SIGNATURE TO THE CHAIRMAN, SELECTCOMMITTEE ON INTELLIGENCE In connection with my nomination to be the Under Secretary of Homeland Security for Intelligence and Analysis, I hereby expressmy willingness to respond to requeststo appear and testify before any duly constituted committeeof the Senate KENNETH WAINSTEIN SIGNATURE Date: 262 /