Attachment E Waiver Guidance

Registration Service Fees, Guidance on How to Request Small Business Fee Waivers | Pe... Page 1 of 10

http://www.epa.gov/pesticides/fees/questions/waivers.htm
Last updated on Thursday, November 07, 2013

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Registration Service Fees

Registration Service Fees
Guidance on How to Request Small Business Fee
Waivers
Resources

Current as of September 2012

About Registration Service
Fees

This is the Agency's current guidance on how to request fee
Questions and Answers on:
waivers for small businesses under the Pesticide Registration
21 Day Screening
Improvement Extension Act (PRIA 3). This guidance reflects
Worksheet
Actions Not Covered by
the Agency's current thinking at this time. As the Agency gains
Registration Service Fees
additional experience with the review of fee waiver and fee
Fee Inquiries
reduction requests under PRIA 3, this guidance may change.
Biopesticides
Guidance on this page for:
General Guidance
Small Business
Certification Example for Small Business

General Guidance

Fee Payments
Fee Waivers
Fund Management
Guidance on Federal and
State Agency Exemptions
Guidance on IR-4
Exemptions
In-Processing of
Applications
Inert Ingredients

1. Can registration service fees be waived?
Yes. Section 33(b)(7)(F) of the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
contains the provisions for small business waivers. Specifically, an applicant that qualifies as
a small business is eligible for a partial waiver of 50% or, in some cases, 75% of the
registration service fee. Please note that PRIA 2 amended the small business waiver
provisions and a 100% waiver is no longer available.
2. When and where should I submit my request for a waiver of a registration
service fee?
A request for a waiver or reduction must be submitted in writing together with the application
and should be sent to:

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By USPS Mail
Document Processing Desk
(REGFEE)
Office of Pesticide Programs (7504P)
U.S. Environmental Protection
Agency
Ariel Rios Building
1200 Pennsylvania Avenue, NW
Washington, DC 20460-0001

By Courier
Document Processing Desk (REGFEE)
Office of Pesticide Programs
U.S. Environmental Protection Agency
One Potomac Yard Room S-4900
2777 S. Crystal Drive
Arlington, VA 22202

All small business waiver requests must be accompanied by a partial payment of at least
25% of the appropriate fee. Therefore, if you are requesting a 75% waiver, you must submit
25% of the fee with your application. If you are requesting a 50% waiver, you must submit
50% of the fee with your application. If you submit the full fee, the Agency will not consider a
request for a waiver or exemption. The payment should be made by accessing the PRIA fee
determination decision tree web site (or calling the appropriate Office of Pesticide Programs
ombudsman) to identify the appropriate fee and then paying the fee by credit card or wire
transfer through Pay.gov or by sending a check, money order or bank draft:
By USPS Mail:
U.S. Environmental Protection
Agency
Washington Finance Center
FIFRA Service Fees
P.O. Box 979074
St. Louis, MO 63197-9000

By courier:
U.S. Bank
Government Lockbox 979074
1005 Convention Plaza
SL-MO-C2-GL
St. Louis, MO 63197
(314) 418-4990

Documentation of payment should be attached to the front of your application and can be
either a copy of the check or bank draft or a pay.gov acknowledgement of payment. This will
assure that the EPA can match up your payment with the application.
3. What is the time frame for the Agency's determination to grant or deny requests
for waivers of registration service fees?
The Administrator must determine whether to grant or deny the request as soon as
practicable, but not later than 60 days after the date on which the Administrator receives a
request for a waiver or reduction of a registration service fee.
4. How does EPA process waiver requests?
The Agency will review the documentation provided by the applicant and other information in
the Agency databases as well as other publicly available information to determine if the
applicant meets the applicable criteria for a waiver. The Agency will respond in writing to the
applicant with the decision regarding the waiver. If a portion of the fee is still due to the
Agency, the letter will include the amount to be paid and instructions for submitting
payment.
5. When does the decision time review period begin when a waiver has been
granted or denied?
If no additional fees are due, the decision time review period begins on the date the waiver is
granted or 60 days after receipt of the waiver application, whichever is earlier. If a partial
waiver is granted but additional fees are due, the decision review time period begins on the

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date the Agency receives certification of payment of the applicable registration fee. If a
waiver or fee reduction request is denied, the decision time review period begins when the
applicable registration service fee is received.
6. Will the registration service fees be refunded if the application is withdrawn?
If the applicant withdraws a covered pesticide registration application during the first 60 days
after the beginning of the applicable decision time review period, the Agency must refund all
but 25% of the total registration service fee. If a covered pesticide registration application is
withdrawn after the first 60 days of the applicable decision time review period, the Agency
must determine what portion, if any, of the total registration service fee for the application
may be refunded based on the proportion of the work completed at the time of withdrawal.
The maximum that can be refunded is 75%.
7. What should I do if my application contains confidential information?
You may assert a business confidentiality claim covering part or all of the information in the
application at the time it is submitted to the Agency. If you wish to assert a claim of
confidentiality, you must mark the document "CONFIDENTIAL BUSINESS INFORMATION' or
with a similar designation, and must bracket all text so claimed. Information covered by a
claim of confidentiality will be disclosed by EPA only to the extent, and by means of the
procedures set forth under 40 CFR Part 2. If no claim of confidentiality accompanies the
information when it is received by EPA, it may be made available to the public by EPA without
further notice to the applicant.
8. I received an invoice from the Agency in response to my application. I had
submitted a waiver request with my application and I disagree with the Agency’s
decision on the waiver request. How can I appeal this decision?
First, do not pay the fee. Instead, please submit a written response, including a rationale
explaining your rationale for a different waiver determination. The written response should be
submitted to:
By USPS Mail
Document Processing Desk (WAIVER
APPEAL)
Office of Pesticide Programs (7504C)
U.S. Environmental Protection
Agency
Ariel Rios Building
1200 Pennsylvania Avenue, NW
Washington, DC 20460-0001

By Courier
Document Processing Desk (WAIVER APPEAL)
Office of Pesticide Programs
U.S. Environmental Protection Agency
One Potomac Yard Room S-4900
2777 S. Crystal Drive
Arlington, VA 22202

Once received by the Office of Pesticide Programs, your response will be reconsidered by the
PRIA 3 Waiver Workgroup. After the Agency has completed its review of the rebuttal, you will
receive a telephone call from the Agency explaining the Agency's decision. If the Agency
changes the waiver determination and fees are still due, you will receive a new invoice from
the Agency requesting payment. If the Agency determines that the waiver can be granted
and you have already paid the portion of the fee due, you will receive a letter granting your
waiver request. If the Agency decides to maintain its original decision on the waiver request,
you will be instructed to remit payment.
9. Is there an Agency contact for questions on small business fee waivers?

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Yes, the Agency's contact for small business fee waivers is Christopher Green
([email protected], 703-347-0367 ).

Guidance on Small Business Waivers
1. Under what circumstances is a small business eligible for a fee waiver?
An applicant that meets the definition of a small business is eligible for a fifty percent (50%)
waiver of the pesticide registration service fee. A small business means a corporation,
partnership, or un-incorporated business that has 500 or fewer employees and during the 3year period prior to the most recent maintenance fee billing cycle, has an average annual
global gross revenue from pesticides that did not exceed $60 million (including any such
revenue from all of its affiliates). In addition, a small business that has average annual global
gross revenues from pesticides of less than $10 million (including any such revenue from all
of its affiliates) over the past 3-year maintenance fee billing cycle at the time of the
application is eligible for a 75% waiver of the pesticide registration service fee.
2. What is the previous “maintenance fee billing cycle” referred to in the statute?
The "maintenance fee billing cycle" is a yearly cycle commencing on January 15th. Therefore,
the relevant time periods for measuring whether an applicant meets the definition of a small
business are the applicant's three fiscal years preceding the January 15th of the year in
which the application is received.
3. What are affiliates of an applicant for purposes of requesting a small business
fee waiver?
Affiliates include direct and indirect subsidiary and parent entities of the applicant as well as
entities that are controlled directly or indirectly by the owner(s) or any parent entity of the
applicant. In addition, two unrelated entities are affiliates if they are both owned or controlled
by the same entity or person. Specifically, business entities are affiliates of each other if,
directly or indirectly, either entity controls or has the power to control the other entity, or a
third entity controls or has the power to control both entities. Indicia of control include
interlocking management or ownership, identify of interests among family members, shared
facilities and equipment, and common use of employees. Accordingly, control is not limited to
voting control over another entity.
4. What information should I include in my request for a fee waiver as a small
business?
The request should be in writing and include the following information:
The company name and company number assigned by OPP to the applicant, the
official mailing address under FIFRA, the telephone number and e-mail or fax number
of the contact person regarding the fee waiver or reduction request.
A certification signed by a responsible officer that the documentation submitted to
support the waiver or reduction request is true, complete, and correct.
An ownership structure chart depicting the relationship of the applicant to subsidiaries
and parent entities that are directly or indirectly controlled by the owner(s) or any
parent entity of the applicant, if appropriate. If the applicant does not have a parent
entity, the percentage ownership interest of the direct and indirect owner(s) or
shareholders of the applicant should be disclosed. If the applicant does not have a
parent entity, the percentage ownership interest of the direct and indirect owner(s) or

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shareholders of the applicant should be disclosed. If the applicant does have a parent
company (or companies), the ownership of the ultimate parent entity should also be
disclosed.
A narrative or explanatory information, if appropriate, addressing whether related
entities are affiliates.
A narrative or explanatory information, if appropriate, explaining how the applicant
differentiated its global gross receipts from pesticides from other revenue and how
such revenue was calculated, both for the applicant and for any affiliates. The
rationale should explain what types of revenues have been excluded.
Appropriate supporting documentation demonstrating that the criteria for the waiver
or reduction from the registration service fee are met.
5. What information is required for
certification for a fee waiver?
A certification must include:
1. information on business identification;
2. information regarding the number of
employees of the applicant;
3. information regarding the ownership of
the applicant and affiliated entities;
4. information regarding the global gross
revenue from pesticides (of the
applicant as well as any affiliates); and
5. a certification statement signed by a
responsible officer that the information
provided is true, complete, and
correct. The following is a sample
certification:

Voluntary Small Business Waiver Form PDF (1
-- A
workgroup comprising representatives of
registrant companies and trade associations
designed a form for assisting pesticide
registrants when they submit small business
waiver requests under the Pesticide
Registration Improvement Act. EPA staff
provided input to the process. Use of the form
is voluntary and information submitted using
the forms will be accepted by the Agency.
Other formats that meet the requirements of
the statute will be acceptable to the Agency
as well.

p, 29 kb, About PDF)

An Example of a Certification for Small Business
Section 1: Business Identification
Name of the applicant
Company number assigned by OPP to the applicant
Official mailing address under FIFRA
Name of the contact person for the waiver or fee reduction request
Phone number, fax number, and e-mail for the contact person
Section 2: Small Business Criteria
A) Global Gross Revenue from Pesticides
1. Do you have any subsidiaries? Please include any indirect
subsidiaries (subsidiaries of subsidiaries or other subsidiaries of a
parent entity) as well.
2. Do you have any parent entities? Please provide information
regarding the ownership of your ultimate parent (including the
percentage ownership/membership interest of each stakeholder).
a. If you do not have a parent entity, please provide information
on the ownership of the applicant and the percentage
ownership/membership interest of each stakeholder.
3. Do any stakeholders with a controlling interest in the applicant or
any parent entity also directly or indirectly control or have the
ability to directly or indirectly control any other entity?
4. Which affiliates, if any, have global gross revenue from pesticides?
5. Including affiliates, what is your global gross revenue from
pesticides, averaged over the applicable three year period?

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6. If you are distinguishing global gross revenue from pesticides from
other gross revenue, please explain how you differentiated and
calculated global gross revenue from pesticides alone.
B) Employee Threshold
1. Do you employ 500 or fewer employees? What is the number of
employees?
Section 3: Certification Statement
“I, [insert name of undersigned], the [insert title] of [insert name of applicant],
am authorized and have personal knowledge sufficient to make this certification
on behalf of [insert name of applicant]. I hereby certify under penalty of perjury
that the documentation submitted in connection with [insert name of applicant]’s
this fee waiver request is true, complete, and correct in all material respects.”
Applicant’s Name
Applicant Signature
Title
Date
6. What should the certification statement say?
The new law requires the accuracy of the documentation supporting a small business waiver
request is certified by a responsible officer. A responsible officer is someone who is
authorized and has sufficient personal knowledge to make the certification. An agent for the
applicant is not a responsible officer. In addition, the Agency considers the information to be
accurate if it is true, complete, and correct in all material respects. Thus, the sample
certification is an acceptable model that complies with the statutory requirements.
If a certification statement is qualified in a manner such that the Agency is unable to
determine that it was made by someone who is authorized to do so and has sufficient
personal knowledge, e.g., the certification is qualified with a blanket “to the best of my
knowledge” statement, the waiver request will be denied.
7. What information should be included in an ownership structure chart submitted
in connection with a small business fee waiver?
An ownership structure chart is a diagram that shows the relationship between the applicant
and other entities, including parent and subsidiary entities. The ownership structure chart
should show all the entities related to the applicant, either directly or through a parent or
subsidiary entity, or by virtue of common ownership. If the applicant does not have a parent
entity, the direct and indirect owner(s) or shareholders of the applicant should be disclosed.
The ownership structure chart and accompanying narrative should include:
all related entities and owners or shareholders (the company names and company
numbers assigned by OPP to entities, if applicable; the official mailing address under
FIFRA, if applicable; telephone number; fax number; and e-mail for each entity), and
the relationship between the entities (i.e., identifying who the owners or interested
parties are, identifying entities with any gross revenues from pesticides, and a factual
disclosure with respect to the statutory “indicia of control”).
8. What documentation must I provide if my total gross revenue exceeds the
threshold for a waiver but my global gross revenue from pesticides is less than the

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threshold?
If the applicant is differentiating between gross revenue from pesticides from other gross
revenue, the applicant should provide an explanation of how the applicant differentiated and
calculated global gross revenue from pesticides from other gross revenue for itself and for its
affiliates. If the applicant’s total global gross revenues from all sales (and not just pesticides)
are well below the $10 million threshold, the applicant does not need to differentiate between
total global gross revenues and global gross revenues from pesticides alone.
9. How should I calculate the number of employees?
To be eligible for a small business waiver, the applicant must have 500 or fewer employees
at the time of submitting the application. Unlike the calculation for global gross receipts from
pesticides, the calculation of the number of employees is limited to the employees of the
applicant and does not include the employees of affiliates. The Agency currently believes that
the number of employees should be calculated in a manner similar to how the Small Business
Administration calculates the number of employees for purposes of its regulations. Therefore,
the number of employees should be determined upon consideration of the totality of the
circumstances, including factors relevant for tax purposes. Accordingly, the number of
employees should include all individuals employed on a full-time, part-time, and temporary
basis (including shared employees). Supporting documentation may, in part, include payroll
information and a recent IRS Form 941, together with a statement certifying the total
number of individuals employed by the applicant.
10. How should I calculate global gross revenues from pesticides?
Global gross revenue from pesticides (as defined in FIFRA and the implementing regulations)
is not limited to revenue from pesticides for which the applicant is the registrant but includes
all revenue from the distribution or sale by the applicant or any of its affiliates of a substance
(or mixture of substances) that is intended for a pesticidal purpose or is advertised as having
pesticidal purpose, either in the United States or abroad, even if (i) the applicant is not the
registrant and (ii) the substance or device is not registered in the United States. Thus, global
gross revenue from pesticides includes revenue from pesticides that are not currently
registered in the United States.; Global gross revenue from pesticides also includes all
revenue from the sale or distribution of so-called “Section 25(b)” exempt pesticides. Global
gross revenue from pesticides does not, however, include revenue from devices that are sold
separately from a pesticide.
For all inert manufacturers, “global gross revenue from pesticides” includes all revenue from
the distribution or sale by the applicant or any of its affiliates of an inert ingredient for
formulation into a pesticide either in the United States or abroad. Global gross revenue from
pesticides also includes all revenue from the sale or distribution of inert ingredients for socalled “Section 25(b)” exempt pesticides.
If you are both a registrant and an inert manufacturer and you request a small business
waiver, “global gross revenue from pesticides” includes revenue from pesticide sales as well
as the inert sales that go into the formulation of pesticides.
11. What type of documentation should be included to support a small business
waiver request?
The documentation to support the waiver or fee reduction request should be reliable,

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pertinent, and comprehensive. The type of documentation that the Agency currently believes
will aid it in making a decision regarding a small business waiver or fee reduction request
includes, but is not limited to, such documents as: income tax returns filed with the Internal
Revenue Service (such as IRS Forms 1065, 1120, or 1120S, as applicable), the applicant’s
most recent IRS 941, and audited financial statements.
12. What information should I include in my request for a small business waiver if
my business is located in countries other than the United States?
Foreign entities must provide the same information provided by domestic entities. However,
if the information is not in English, the applicant's request may be denied because the
Agency is unable to determine that the applicant meets the statutorily defined criteria for a
small business. Therefore, documentation not in English should be accompanied by a
translation with a certification that the translation is accurate. The Agency will consider the
appropriate documentation supporting the request on a case-by-case basis.
13. My gross revenue includes global pesticide sales paid by foreign currencies.
What exchange rates should I use to convert my global pesticide sales into U.S.
dollars?
Global gross revenue from pesticides is calculated as an average during the 3-year period
prior to the most recent maintenance fee billing cycle. The exchange rates to convert the
global gross revenue into US dollars should also be the average during the same period. The
applicant should include an explanation of the method used for averaging such revenues over
the applicable period(s) as well as an explanation of how the exchange rate used was
determined.
14. I’d like to request a fee waiver for small business, but I am a newly formed
start-up company. What supporting documentation should I submit?
The Agency will consider these situations on a case-by-case basis. To the extent possible, the
applicant should provide the same information as other applicants regarding the number of
employees and affiliates. The applicant should disclose whether the ownership or
management of the new entity had control over other entities with gross global revenue from
pesticides in the prior applicable three-year period. The Agency will not grant a waiver if it
determines that the entity submitting the application has been formed or manipulated
primarily for the purpose of qualifying for the waiver
15. After the Agency has granted my request for a small business fee waiver on one
registration application, how do I request the waiver for subsequent registration
applications?
EPA must determine that the applicant meets the statutory criteria for a small business fee
waiver or reduction at the time of the request for each registration application. Therefore,
you must provide a certification with each registration application. To the extent that
previously submitted documentation is still valid and represents your company’s current
small business status, you can rely on these materials by reference.
If the previous request occurred during a prior maintenance fee billing cycle (i.e.,
prior to January 15)
The applicant must submit all of the necessary documentation supporting
the fee waiver/reduction request as if the request were being made for

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the first time.
If the previous request occurred during the current maintenance fee billing cycle
and the information provided in connection with the prior request has not
changed
The applicant may reaffirm the information and the underlying
documentation previously submitted by submitting a new certification
statement that could read as follows:
“I, [insert name of undersigned], the [insert title] of [insert name of
applicant], am authorized and have personal knowledge sufficient to make
this certification on behalf of [insert name of applicant]. I hereby certify
under penalty of perjury that, since [insert name of applicant]’s waiver
request of [insert date], there has been no change in the number of
[insert name of applicant]’s employees, entities affiliated with [insert
name of applicant] or average gross global revenue from pesticides,
including any such revenue from affiliates and that the documentation
submitted in connection with the request of [insert date] remains true,
complete, and correct and remains valid.
Applicant’s Name
Applicant’s Signature
Title
Date
While not required, the Agency asks that the applicant also provide a copy
of the Agency letter granting the fee/waiver reduction as information in
this letter helps the Agency expedite the waiver decision-making process.
If the previous request occurred during the current maintenance fee billing cycle
and some of the information provided in connection with the prior request has
changed
The applicant can reaffirm the information and underlying documentation
previously submitted to the extent that there have been no changes and
provide updated documentation with respect to those pieces of
information that have changed. In these instances, the applicant would
provide the following:
A letter indicating what information in the last certification
continues to remain “true, complete, and correct”.
Materials documentation the information that has changed
since the last certification.
A new certification that could read as follows:
“I, [insert name of undersigned], the [insert title] of [insert name of
applicant], am authorized and have personal knowledge sufficient to
make this certification on behalf of [insert name of applicant]. I
hereby certify under penalty of perjury that the documentation
submitted in connection with [insert name of applicant]’s waiver
request is true, accurate, and complete in all material respects. I
further certify under penalty of perjury that, since [insert name of
applicant]’s partial waiver request of [insert date] there has been no
change in the [include applicable elements]: number of
employees/entity affiliations/average gross global revenue from

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pesticides, including any such revenue from affiliates] and the
documentation submitted in connection with the request of [insert
date] remains true, complete, and correct and remains valid.”
Applicant’s Name
Applicant’s Signature
Title
Date
While not required, the Agency asks that the applicant also provide a copy
of the Agency letter granting the fee/waiver reduction as information in
this letter helps the Agency expedite the waiver decision-making process.