Common use of Enforcement and Compliance Assurance Clause in Contracts

Enforcement and Compliance Assurance. Program specific compliance and enforcement activities accomplished during the term of this PPA are included in the detailed branch level priorities and the State program specific plans. The following tenets serve as the foundation for Ohio EPA-USEPA relationships with respect to compliance and enforcement activities: • Utilize the most effective application of compliance tools to encourage regulated facilities to maintain and, where possible, exceed compliance with environmental laws (e.g., compliance assistance, compliance assurance, administrative/civil enforcement and criminal prosecution). • Utilize joint preplanning to coordinate priorities, maximize agency resources, avoid duplication of efforts, eliminate “surprises” and institutionalize communication. • Manage for internal and/or external environmental results. In addition to providing guidance to Ohio EPA, USEPA has a continuing role in environmental protection in the State of Ohio. USEPA carries out its responsibilities in a variety of ways, including: • Acting as an environmental xxxxxxx, ensuring that national standards for the protection of human health and environment are implemented, monitored and enforced consistently in all states. • Assisting in conducting inspections and enforcement actions. • Providing compliance and technical assistance to the State and its regulated entities. • Providing science based information to the State and its regulated entities. Under this PPA agreement, Ohio EPA and USEPA retain their individual authorities and responsibilities to conduct enforcement and compliance assistance. Enforcement will be accomplished in the spirit of cooperation and trust. Specific Federal enforcement and compliance assistance responsibilities include, but are not limited to, the following: • Working on National and Regional Priorities. • Ensuring a level playing field and national consistency across State boundaries. • Addressing interstate and international pollution (e.g., watersheds and ambient air). • Addressing criminal violations. • Conducting enforcement to assure compliance with Federal consent decrees, consent agreements, Federal interagency agreements, judgments and orders. • Conducting State reviews in accordance with the National State Review Framework. USEPA R5 has recently reviewed Ohio EPA's Clean Air Act (CAA), Clean Water Act (CWA), and Resource Conservation and Recovery Act (RCRA) enforcement programs under the State Review Framework. The final State Review Framework (SRF) document was issued on August 6, 2013. The final report contains several recommended actions to be taken by Ohio EPA. Ohio EPA will consider each of the recommendations and will implement those specific items that the state has agreed to in the state response to the SRF findings.

Enforcement and Compliance Assurance. Program specific compliance and enforcement activities accomplished during the term of this PPA are included in the detailed branch level priorities and the State state program specific plans. The following tenets serve as the foundation for Ohio EPA-USEPA IDEM and EPA R5 relationships with respect to compliance and enforcement activities: • Utilize Utilization of the most effective application of compliance tools to encourage regulated facilities to maintain and, where possible, exceed compliance with environmental laws (e.g., compliance assistance, compliance assurance, administrative/civil enforcement enforcement, and criminal prosecution). • Utilize Utilization of joint preplanning to coordinate priorities, maximize agency resources, avoid duplication of efforts, eliminate “surprises” unexpected circumstances, and institutionalize communication. • Manage Management for internal and/or external environmental results. In addition to providing guidance to Ohio EPAIDEM, USEPA EPA R5 has a continuing role in environmental protection in the State of OhioIndiana. USEPA EPA R5 carries out its responsibilities in a variety of ways, including: • Acting as an environmental xxxxxxx, ensuring that national standards for the protection of human health and the environment are implemented, monitored monitored, and enforced consistently in all states. • Assisting in conducting inspections and enforcement actions. • Providing compliance and technical assistance to the State state and its regulated entities. • Providing science science-based information to the State state and its regulated entities. Under this PPA agreement, Ohio IDEM and EPA and USEPA R5 retain their individual authorities and responsibilities to conduct enforcement and compliance assistance. Enforcement will be accomplished in the spirit of cooperation and trust. Specific Federal federal enforcement and compliance assistance responsibilities include, but are not limited to, the following: • Working on National national priorities and Regional Prioritiesregional priorities. • Ensuring a level playing field and national consistency across State state boundaries. • Addressing interstate and international pollution (e.g., watersheds and ambient air). • Addressing criminal violations. • Conducting enforcement to assure compliance with Federal federal consent decrees, consent agreements, Federal federal interagency agreements, judgments judgments, and orders. • Conducting State state reviews in accordance with the National State Review Framework. USEPA R5 has recently reviewed Ohio EPA's Clean Air Act (CAA), Clean Water Act (CWA), ensuring that follow-up actions that resulted from this review are carried out in a timely and Resource Conservation and Recovery Act (RCRA) enforcement programs under the State Review Framework. The final State Review Framework (SRF) document was issued on August 6, 2013. The final report contains several recommended actions to be taken by Ohio EPA. Ohio EPA will consider each of the recommendations and will implement those specific items that the state has agreed to in the state response to the SRF findingseffective manner.

Enforcement and Compliance Assurance. Program specific compliance ‌ Compliance and enforcement activities to be accomplished during the term of this PPA are included in the detailed branch level priorities and the State program specific plans; however, a summary of the federal and MPCA roles in compliance and enforcement is helpful. The following tenets serve as the foundation for Ohio the EPA-USEPA MPCA relationships with respect to compliance Enforcement and enforcement Compliance Assistance activities: • Utilize Explore the most effective application of the full spectrum of compliance tools to encourage regulated facilities to maintain and, where possible, exceed - from compliance with environmental laws (e.g., compliance assistance, assistance through compliance assurance, administrative/civil enforcement and to criminal prosecution)prosecution - to encourage/maintain the compliance of sources of all sizes. • Utilize Use joint preplanning up-front planning to coordinate priorities, maximize agency resources, avoid duplication of efforts, eliminate “surprises” surprises and institutionalize communication. • Manage for internal and/or external environmental resultsresults which support the respective agencies’ environmental goals and objectives. In addition to providing guidance to Ohio EPA• MPCA will ensure that compliance and enforcement information is complete, USEPA has accurate and timely, consistent with EPA policies and the ICR. There is a continuing role for EPA in environmental protection in the State of OhioMinnesota. USEPA EPA carries out its responsibilities in the enforcement arena in a variety of ways, including: • Acting . The Agency acts as an environmental xxxxxxx, ensuring that national standards for the protection of human health and environment are implemented, monitored and enforced consistently in all statesStates. • Assisting EPA can assist MPCA in conducting inspections and conduct joint enforcement actionsactions with the State. • Providing EPA can also conduct enforcement actions as discussed below and provide compliance and technical assistance to the State and its regulated entities. • Providing science based information to the State and its regulated entities. Under this PPA agreementPPA, Ohio EPA and USEPA MPCA retain their individual authorities and responsibilities to conduct enforcement and compliance assistance. Enforcement , and such enforcement will be accomplished in the spirit of cooperation and trust. Specific Federal federal enforcement and compliance assistance responsibilities include, include but are not limited to, to the following: • Working Work on National Priorities (e.g. multi-media inspections, companies with significant company-wide non- compliance in several states, and OECA Priorities) and Regional Priorities. Priorities • Ensuring a level playing field and national National consistency across State boundaries. boundaries • Addressing interstate and international pollution (e.g.watersheds, watersheds and ambient air). • Addressing criminal violations. air sheds, or other geographic units) • Conducting enforcement to assure compliance with Federal federal consent decrees, consent agreements, Federal federal interagency agreements, judgments and orders. orders • Conducting State reviews Reviews in accordance with the OECA’s National State Review Framework. USEPA R5 has recently reviewed Ohio EPA's Clean Air Act (CAA)The EPA will perform a review of the MPCA’s RCRA, Clean Water Act (CWA), NPDES and Resource Conservation CAA compliance and Recovery Act (RCRA) enforcement programs program in 2007 under the State Review Framework. The final EPA will perform an on-site file review of the MPCA’s RCRA enforcement files in 2008. EPA will take enforcement actions in Minnesota as necessary and appropriate to ensure implementation of federal programs and as a deterrent to non-compliance, in accordance with the communication and coordination activities outlined above. There may be emergency situations or criminal matters that require EPA to take immediate action (e.g., seeking a temporary restraining order). In those circumstances, EPA will consult with the State Review Framework (SRF) document was issued as quickly as possible following initiation of the action. Unexpected Requests‌ When EPA forwards requests from headquarters, it will be accompanied by a short explanation of what is expected from the states, and the deadline for response. MPCA will respond to requests in a timely manner. Both agencies will provide ample lead time for review, collection and feedback on August 6data and information. In some cases, 2013. The final report contains several recommended actions this may require the two agencies to determine if there are PPG/PPA activities that need to be taken by Ohio EPA. Ohio EPA will consider each of altered to provide available funding and staff for the recommendations and will implement those specific items that the state has agreed to in the state response to the SRF findingsnew request.

Enforcement and Compliance Assurance. Program specific compliance Compliance and enforcement activities to be accomplished during the term of this PPA are included in the detailed branch level priorities and the State program specific plans; however, a summary of the federal and MPCA roles in compliance and enforcement is helpful. The following tenets serve as the foundation for Ohio the EPA-USEPA MPCA relationships with respect to compliance Enforcement and enforcement Compliance Assistance activities: • Utilize Explore the most effective application of the full spectrum of compliance tools to encourage regulated facilities to maintain and, where possible, exceed - from compliance with environmental laws (e.g., compliance assistance, assistance through compliance assurance, administrative/civil enforcement and to criminal prosecution)prosecution - to encourage/maintain the compliance of sources of all sizes. • Utilize Use joint preplanning up-front planning to coordinate priorities, maximize agency resources, avoid duplication of efforts, eliminate “surprises” surprises and institutionalize communication. • Manage for internal and/or external environmental resultsresults which support the respective agencies’ environmental goals and objectives. In addition to providing guidance to Ohio EPA• MPCA will ensure that compliance and enforcement information is complete, USEPA has accurate and timely, consistent with EPA policies and the ICR. There is a continuing role for EPA in environmental protection in the State of OhioMinnesota. USEPA EPA carries out its responsibilities in the enforcement arena in a variety of ways, including: • Acting . The Agency acts as an environmental xxxxxxx, ensuring that national standards for the protection of human health and environment are implemented, monitored and enforced consistently in all statesStates. • Assisting EPA can assist MPCA in conducting inspections and conduct joint enforcement actionsactions with the State and its local government partners. • Providing EPA can also conduct enforcement actions as discussed below and provide compliance and technical assistance to the State and its regulated entities. • Providing science based information to the State and its regulated entities. Under this PPA agreementPPA, Ohio EPA and USEPA MPCA retain their individual authorities and responsibilities to conduct enforcement and compliance assistance. Enforcement , and such enforcement will be accomplished in the spirit of cooperation and trust. Specific Federal compliance and enforcement data needs will be discussed and shared per each agency’s applicable policies and regulations. Specific federal enforcement and compliance assistance responsibilities include, include but are not limited to, to the following: • Working Work on National Priorities (e.g. multi-media inspections, companies with significant company-wide non-compliance in several states, and OECA Priorities) and Regional Priorities. Priorities • Ensuring a level playing field and national National consistency across State boundaries. boundaries • Addressing interstate and international pollution (e.g.watersheds, watersheds and ambient air). air sheds, or other geographic units) • Addressing criminal violations. violations • Conducting enforcement to assure compliance with Federal federal consent decrees, consent agreements, Federal federal interagency agreements, judgments and orders. • Conducting State reviews Reviews in accordance with the OECA’s National State Review Framework. USEPA R5 has recently reviewed Ohio EPA's Clean Air Act (CAA)EPA performed a review of the MPCA’s RCRA, Clean Water Act (CWA), NPDES and Resource Conservation CAA compliance and Recovery Act (RCRA) enforcement programs program in 2007 under the State Review Framework, and will do this again in 2010. The final EPA also performed an on-site file review of MPCA's RCRA enforcement files in 2008 and will do so again in 2009, 2011 and 2012. All file reviews, as well as the review under the State Review Framework Framework; will include a subset of files from any metro county which has entered into a Joint Powers Agreement (SRFJPA) document was issued on August 6with MPCA. MPCA has been successful in its requests for inspection flexibility from the RCRA program. MPCA has executed a JPA with Hennepin County in 2008, 2013and both parties intend to maintain this agreement through the PPA time frame. The final report contains several recommended actions MPCA intends to conclude JPAs with additional metro counties during the PPA time frame. MPCA has executed its Hospital Initiative flexibility plan in 2008, and will continue this initiative to its conclusion in 2009. EPA and MPCA will continue efforts to be taken by Ohio EPAflexible when coordinating priorities and maximizing individual agency resources. Ohio EPA will consider each take enforcement actions in Minnesota as necessary and appropriate to ensure implementation of federal programs and as a deterrent to non-compliance, in accordance with the communication and coordination activities outlined above. There may be emergency situations or criminal matters that require EPA to take immediate action (e.g., seeking a temporary restraining order). In those circumstances, EPA will consult with the State as quickly as possible following initiation of the recommendations action. When EPA forwards requests from headquarters, it will be accompanied by a short explanation of what is expected from the states, and the deadline for response. MPCA will implement those specific items respond to requests in a timely manner. Both agencies will provide ample lead time for review, collection and feedback on data and information. In some cases, this may require the two agencies to determine if there are PPG/PPA activities that need to be altered to provide available funding and staff for the state has agreed to in the state response to the SRF findingsnew request.