Financial Assurance

This category includes a number of financial assurance mechanisms and documents that potentially responsible parties can use to demonstrate financial assurance in the enforcement context. CERCLA financial assurance requirements are intended to ensure that adequate funds are available to cover costs pursuant to Superfund settlements and orders.

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Issuance of Revised Model Consent Order and New Model Unilateral Order for Remedial Investigation/Feasibility Study and Updated Financial Assurance and Insurance Language for All CERCLA Response Action Settlements and Unilateral Administrat - (9/29/16) Memorandum transmitting the revised RI/FS ASAOC and the new RI/FS UAO along with information on updated language incorporated into other model documents related to financial assurance and insurance. The 2016 model RI/FS ASAOC is superseded by the 2022 model RI/FS ASAOC. https://www.epa.gov/enforcement/guidance-2016-rifs-asaoc-and-uao (PDF 96K)

Action Items for Improving and Maintaining Financial Assurance Data for CERCLA - (8/1/16) Memorandum to the Regions regarding improvements to tracking financial assurance data under CERCLA. https://semspub.epa.gov/work/HQ/100000155.pdf (PDF 551K)

Guidance on Financial Assurance in Superfund Settlement Agreements and Unilateral Administrative Orders - (4/6/15) Memorandum transmits guidance, model language, and sample documents that address financial assurance requirements in Superfund cleanup settlement agreements and unilateral administrative orders. https://www.epa.gov/enforcement/guidance-financial-assurance-superfund-settlements-and-orders (PDF 498K)

CERCLA Financial Assurance Sample Documents-Settlements - (4/6/15) Access to six sample CERCLA financial assurance documents for use in connection with settlement agreements: (1) trust agreement, (2) guarantee agreement, (3) financial test sample letters, (4) payment bond, (5) performance bond, and (6) letter of credit, are available in Word format from the Cleanup Enforcement Model Language and Sample Documents Database. Select the financial assurance-settlements link within the database to access each of the sample documents. https://cfpub.epa.gov/compliance/models/

CERCLA Financial Assurance Sample Documents-Orders - (4/6/15) Access to six sample CERCLA financial assurance documents for use in connection with unilateral administrative orders: (1) trust agreement, (2) guarantee agreement, (3) financial test sample letters, (4) payment bond, (5) performance bond, and (6) letter of credit, are available in Word format from the Cleanup Enforcement Model Language and Sample Documents Database. Select the financial assurance-orders link within the database to access each of the sample documents. https://cfpub.epa.gov/compliance/models/

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