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EPA/Ecology Umbrella Compliance Assurance Agreement

The purpose of this agreement isto improvecoordination between Ecology and EPA when enforcement

actions are taken, particularly in multi-media situations. This agreement does not replace existing

program specific Compliance Assurance Agreements (CAA), but will be used to supplement

them. A program specific Compliance Assurance Agreement will take precedence over this

document in cases where the respective documents conflict. For programs not covered by an

existing CAA, this document will be used. It is recommended that in the future. the common topics

addressed in the Umbrella Compliance Assurance Agreement be removed from each program's specific

eAA. Thiswould ensure consistency for "agency wide" topics and allow the program specific CAA to

focus on each program's unique concerns.' .

I. Disclaimers

A. Nothing in this agreement shall be construed to limit or modify the authorities granted to

either EPA or Ecology by law, nor shall be construed to constitute a valid defense by

regulated parties in violation of any state or federal environmental statute, regulation- or

permit.

II. Timely and Appropriate Enforcement

A. Enforcement is typically considered timely if, within 120 days of the event which caused

the source to be out of compliance, the source is:

I. in compliance; or

2. on a legally-enforceable, expeditious state administrative or judicial order with specific

milestones and a final compliance date; or

3. has had an appropriate civil penalty assessed; or

4. is under investigation for criminal enforcement.

III. EPA Unilateral Enforcement

A. A policy of "No Surprises" will be applied to all aspects of compliance and enforcement

activities including; inspections, enforcement actions (both formal and informal), press

releases and public information. To guarantee ample advance notification the following

will be done:

I. EPA shall notify the state prior to taking action on a pending overfile action. Except in

cases of imminent or substantial endangerment to health and/or the environment,

such prior notice shall occur at least 30 days in advance. This notification will be

provided to the program manager for the affected authorized program.. EPA should

also provide informal notice to the involved state staff.

2. During the 30 day period, the state will consult in good faith with EPA regarding an

appropriate enforcement action in lieu of the potential EPA overfile action. .If at the

end of 30 days EPA is satisfied with the steps taken by the state, EPA will not take an

independent enforcement action.

3. If EPA does need to proceed with an overfile action, a copy of the final EPA

enforcement action will be sent to Ecology's enforcement unit.
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B. The following describes the situations under which direct federal action may occur:

I. The lack of timely and/or appropriate state enforcement as defined in the program's

CAA and pertinent statutory authorities.

2. A case where the state has issued a deficient penalty (i.e., below the rmnimum level

provided in state enforcement guidelines without acceptable justification for such a

deviation).

3. A request from the state for EPA enforcement action.

4. Where there are violations of an EPA order or consent decree.

5. In consultation with the state, where there are violations of national significance or

where inter-state issues are involved.

N. News Media

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A. Prior to any press releases by either the state or EPA related to joint enforcement efforts or

EPA overfile actions. advance consultation with the other party shall occur. Each party will

be appraised of what is planned to be said in the press release and given the opportunity

to participate in a combined press release. Where possible, combined press releases are

encouraged. Coordination and prior notice on press releases is the responsibility of each

agency's public information officers. The public infonnation officers for both Ecology and C'

EPA will work together to ensure that each knows of proposed news releases dealing with

enforcement cases. At least five working days notice will be given to the appropriate

public infonnation officer for each agency, prior to a press release. It is the responsibility

of the public information officer to keep management of the respective agencies informed

on the status of public information releases.

V. Inspection reports

A. The state will transmit to WOO-EPA within 30 working days of the inspections listed in the

SEA. or within the alternately agreed upon timefrarne, copies of inspection reports and any

accompanying informal actions.

B. EPA will transmit to the appropriate state program within 30 working days of the

inspections listed. in the SEA. or within the alternately agreed-upon timefrarne, copies of

inspection reports. and. any accompanying informal actions.

. C. The confidential nature of inspection reports and other documents will be honored by both

agencies when such documents are marked enforcement confidential. Such enforcement

confidential documents will be protected from public disclosure.

VI. Enforcement Actions

A. As provided in the SEA, the state will provide EPA-WOO with copies of all state issued

administrative orders and penalties.

B. As provided in the SEA. the EPA will provide the state with copies of all EPA issued orders

and penalties.

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VII. E val u a t ion

A. The state and EPA will meet as necessary. but not less than annually. to discuss compliance.

enforcement•.and other significant issues.

B. These meetings will' have written agendas (developed with input from both the state and

EPA) available to the state and EPA 10 working days in advance of the scheduled meeting

date. The results of these meetings will be documented in writing and available to the

state and EPA 10 working days following the meeting. EPA and the state will alternately

take the lead :in preparing agendas and meeting documentation. The meetings will be held

alternately at state and EPA offices.' Chair responsibilities shall alternate between EPA and

Ecology.

vrn. Joint Multimedia Inspections

A. The 0Deratine Guidapce for Joint Multimedia Inspections. developed by Ecology and EPA

Region X. shall be followed whenever a joint multimedia inspection is performed.

U.S. Environmental Protection Agency

Region X

State ofWashington

Department of Ecology

Date ~~__

By:-:-:::~------- Fred Olson

Deputy Director.

By:~t1k Gerald A. Emison

Deputy Regional Administrator

Date /0 - V -'1"1- ------------