Cal. Code Regs. Tit. 27, div. 3, 1, ch. 4, C, 6

Current through Register 2025 Notice Reg. No. 2, January 10, 2025

Certification of Financial Assurance

ID	*ELEMENT*	*CODES/CRITERIA*	*LENGTH*	*TYPE*	*INFORMATION DESCRIPTION*	*CERS MINIMALLY REQUIRED FIELDS*
1a	CERS ID	Cal/EPA assigned, 8- or 9-digit ID assigned to a specific facility that never has leading zeroes (begins at 10000001). Cal/EPA does not anticipate using 9-digit CERS IDs until the year 2020 or beyond.	9	N	A CERS ID is a Cal/EPA-assigned, 8- or 9- digit ID to uniquely identify a facility in CERS. The CERS ID should remain unchanged across different owners/operators of a facility.	False
2	EPA ID Number	12 digit identifier beginning with CA	12	AN	EPA Identification number for businesses that generate, recycle, or treat hazardous waste. For facilities in California, the number usually starts with the letters 'CA'. The number can be obtained from the Telephone Information Center at (916) 324-1781, (800)61-TOXIC or (800) 618-6942.	False
3	Business Name		70	AN	Full legal name of business.	True
701	Type of	a = PBR-FTU	1	AN	Type of operation.	True
	Operation (Hazardous Waste Financial Assurance)	b = CA
702	Estimated Closure Costs		12	N	Estimated closure costs in dollars. This section requires a written estimate of the cost of closing each treatment unit. The estimated closure cost may be either the actual cost or the estimated cost when using your own staff and/or personal equipment. The closure cost estimate may take into account any salvage value that may be realized from the sale of wastes, facility structure or equipment, land or other facility assets. If eligible for an exemption, leave this field blank and indicate the nature of the exemption in Fields 703-705.	True
703	Exemption From Financial	Y = Yes	1	AN	Indicates if reason for exemption from financial assurance requirements is total	False
	Assurance = Cost Estimate < $10,000	N = No			closure cost estimate not more than $10,000. A model letter using the required certifications must be submitted to claim this exemption.
704	Exemption From Financial	Y = Yes	1	AN	Other reason for exemption from financial assurance requirements.	False
	Assurance = Other	N = No
704a	Exempt From Financial Assurance - Other (Description)	Narrative	30	AN	Description of other reason for exemption from financial assurance requirements.	False
705	Exemption From Financial	Y = Yes	1	AN	Indicates if reason for exemption from financial assurance requirements is for	False
	Assurance = TTU owner/operator-and Operated < 30 days in a calendar year	N = No			owner or operator under PBR only and operating no more than thirty days in any calendar year. (Does not apply to Conditionally Authorized)
707	Date of Closure Assurance Mechanism	YYYY-MM-DD	10	D	Effective date of closure assurance mechanism.	False
708	Mechanism ID Number		25	AN	Number of closure assurance mechanism if applicable, for example, the insurance policy number.	False
709	Closure	a = Closure Trust Fund	1	AN	Type of financial mechanism established	False
	Assurance	b = Surety Bond			to provide closure cost assurance.
	Mechanism	c = Closure Letter of Credit			Eligible types for FTUs and TTUs are contained in CCR Section 67450.13(a)(5).
		d = Closure Insurance			a = closure trust fund, as provided in CCR
		e = Financial Test and Corporate Guarantee			Section 66265.143(a) (Attach DTSC Form 1154)
		f = Alternative Mechanism			b = surety bond guaranteeing payment into a closure trust fund, as described in CCR
		g = Multiple Financial Mechanisms			Section 66265.143(b) (Attach DTSC Form 1155 or 1156 with DTSC Form 1154)
		h = Certificate of Deposit			c = closure letter of credit, as described in CCR Section 66265.143(c) (Attach DTSC Form 1157)
		i= Savings Account			d = closure insurance, as described in CCR Section 66265.143(d) (Attach DTSC Form 1158)
					e = financial test and corporate guarantee for closure, as described in CCR Section 66265.143(e) (Attach either DTSC Form 1159 or 1173)
					f = alternative mechanism for closure costs, as described in CCR Section 67450.13(c) (No form)
					g = multiple financial mechanisms for closure costs, as described in CCR Section 66265.143(g) (No form)
					h = certificate of deposit, as described in Section 3-104(2)(c) of the Uniform Commercial Code (No form)
					i = savings account, as described in Section 4-104(a) of the Uniform Commercial Code (No form)

					These mechanisms require use of the additional DTSC Financial Assurance forms referenced above. These forms are available from the CUPA or the DTSC Regional Office.
710	Financial Institution or Surety Name		80	AN	Name of the financial institution, insurance company, surety company, or other appropriate organization used to establish the closure financial assurance. Indicate your company if you are using a corporate guarantee and financial test.	False
711	Financial Institution or Surety Address		70	AN	Address of financial institution, insurance company, surety company, or other appropriate organization used to establish the closure financial assurance.	False
712	Financial Institution or Surety City		60	AN	City of financial institution, insurance company, surety company, or other appropriate organization used to establish the closure financial assurance.	False
713	Financial Institution or Surety State	Valid 2-letter US State Postal Code, 2-letter Canadian Post Province/Territory Abbreviation, or can be left blank for international addresses if Country field is not "United States" or "Canada."	2	AN	US state or Canadian province/territory postal code of financial institution, insurance company, surety company, or other appropriate organization used to establish the closure financial assurance.	False
714	Financial Institution or Surety ZIP Code	5- digit ZIP Code, 5- digit ZIP Code with dash and plus-four code, or blank permitted for non-US/Canadian addresses which do not use/include a postal code.	10	AN	ZIP code (or international postal code) of financial institution, insurance company, surety company, or other appropriate organization used to establish the closure financial assurance.	False
714a	Financial Institution or Surety Country	Specify the full country name as shown in the USPS International Mail Manual. If no country is provided, the value will default to "United States".	45	AN	The country in which the Financial Institution or Surety is located.	False
715	Signer of	a = Owner	1	AN	Indicates if signer of certification is the	False
	Certification	b = Operator			owner or operator of the facility.
716	Date Certified (Financial Assurance)	YYYY-MM-DD	10	D	Date the document was signed.	False
717	Owner/Operator Name (Financial Assurance)		80	AN	Full name of business owner/operator, or officially designated representative of the owner/operator. The person signing this page must be an owner or officer of the company who is authorized to make decisions for the facility and who has operational control. The authorized signatory must be completed as specified in CCR Section 66270.11. In most companies, this is not the environmental compliance or technical staff. The signer certifies to a belief that all the information submitted is accurate and complete.	False
718	Owner/Operator Title (Financial Assurance)		50	AN	Title of person signing the page.	False

1. Renumbering and amendment of former table C2 to new table C6 filed 12-17-2013; operative 12-17-2013 pursuant to Government Code section 11343.4(b)(3) (Register 2013, No. 51).