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J: Compliance and enforcement D-i: May 30> 2001
philosophy

Associate Administrator for Civil ^ZMS Bryan

Aviation Security, ACS-1 ''

To; Managers, Civil Aviation Security

Divisions 700's, Federal
Security Managers
As we work with the aviation industry, it is important to ?
remember that our primary goal as a regulatory agency is t|q
gain, compliance. While I know there are circumstances thaiE
present difficult choices/ it would be helpful to explain >
our approach to compliance and enforcement issues.
As I outlined in the ACS strategic plan, the safety and
security of the flying public will depend upon the FAA. and-;;:
industry maintaining a candid, respectful, and mutually toi
responsive business relationship. To be effective in this1:
relationship, we need to be flexible. While I expect
regulated parties to. comply with regulatory requirements, ';
there will be times when we find areas of noncompliance. ;
When we do, I want to fully consider the actions the partjft!;i
has taken to fix the problem. I want to work with industry
to develop action plans to permanently correct problems
that have resulted in violations. To encourage industry^1
to join us in this effort I dp not expect us to impose a -
civil penalty against a regulated party for certain '<
unaggravated violations* if we bttlieve the party has
successfully implemented a permanent fix that will resolv^
the security problem and preclude recurrence of future \. To answer que
new philosophy and how it will work, detailed guidance will
be provided to you shortly.
1«Y-2S-20e4 10:58 «t1 M«RTI«NNE/SULLIV«N | P. 03

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I want to continue to give our partners a realistic

opportunity to comply with the regulations and to work witl^.
us.

Signed
Michael A. Canavan

•n
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9/11 Personal Privacy

Subj: Compliance ami Enforcement Philosophy

Date: 08/16/200111:55:30 AM Eastern Daylight Time
From: BandBSull
To: mlcha«l.canavan(atfaa.oov

General, «
Your C&E philosophy makes Mnse and is "well intentiooed", but is being abiwed by field managemen|to
dose cases without finding and as the basis for not opening cases, despite the fact that violations persist.

Your intent was to work with the regulated parties and develop action plans to permanently correct problems.
Here's what's really happening. A problem is identified. Instead of opening a case, we work with indojstry to
develop the required plan. The agents go out and rind that the problem persists, b^fie^^npf^a^'woiVt
:'!"•" thnm tn Minn » rvf n inmrrrrtlv i itii M »MmiMa»ia»> msmsmi nluni ni tha hnaia tsfTbalr rlmriniiibTin n
result we have a paper fix. Nice looking plans, but no real fix. The facade ofJfficy)|yL gioojioueg .
agents

The only way to confirm what I am saying is to check on the ground. What's the old military saying, "What
goes right is what a commander checks", or something like that? When the FOX25 report was done a* Logan
in May, the reporter went back a few weeks later, after the dust had settled, and re-checked the same;
screening checkpoints with the same negative result, despite assurances from the BOS CA.SFO and
airport/airlines. I know FOX could easily determine if these current action plans work as intended, tat me
suggest that it would be better if you looked at some of these action plans and test them with a rod team to
see if they actually work. I Know our field agents have re-checked violations after the action plans hati been
developed only to find that the same violation persists. Plans aren't worth the paper they are written on
unless they work. The only way to determine if they really work is to test them with an "honest broke^and
that can't be done by our line agents, if their management won't open up cases when problems persiw.

If you doubt what I'm saying, this is very easy to check. I know you get more with honey than you car»;With
vinegar, but compliance requires both the carrot and the stick, if it is to be truly effective. The industry «s
primarily concerned with the bottom line (S) and will give security the attention it merits, only if we ar«r
perceived as both willing to work with them, while at the same time committed to both compliance an|jf
enforcement. If they think we are soft and they can get away with paper plans, that is exactly what they'll do.
The key is to insure that the action plans do, in fact, permanently correct the problems which have resulted in
violations. That is not happening. When the plans don't correct the problem, we have to have field } •
management willing to open up cases and support our line agents who find that violations persist. ' ;

I hope this Is helpful information. I'm not looking for a response. I just want to help you make your philosophy
work as Intended, ^

Best wishes. We are hearing some good things since your arrival.

Brian Sullivan H

IB:

Friday, August 17,2001 America Online: BandBSull