0155.13_ss_Attachment-C_40CFRpart171

Environmental Protection Agency

§ 171.2

drift, or pesticide residues, the handler
employer shall:
(a) Make available to that person
prompt transportation from the place
of employment or the handling site to
an appropriate emergency medical facility.
(b) Provide to that person or to treating medical personnel, promptly upon
request, any obtainable information
on:
(1) Product name, EPA registration
number, and active ingredients of any
product to which that person might
have been exposed.
(2) Antidote, first aid, and other medical information from the product labeling.
(3) The circumstances of handling of
the pesticide.
(4) The circumstances of exposure of
that person to the pesticide.

PART 171—CERTIFICATION OF
PESTICIDE APPLICATORS
Sec.
171.1 General.
171.2 Definitions.
171.3 Categorization of commercial applicators of pesticides.
171.4 Standards for certification of commercial applicators.
171.5 Standards for certification of private
applicators.
171.6 Standards for supervision of noncertified applicators by certified private and
commercial applicators.
171.7 Submission and approval of State
plans for certification of commercial and
private applicators of restricted use pesticides.
171.8 Maintenance of State plans.
171.9 Submission and approval of Government Agency Plan.
171.10 Certification of applicators on Indian
Reservations.
171.11 Federal certification of pesticide applicators in States or on Indian Reservations where there is no approved State or
Tribal certification plan in effect.
AUTHORITY: 7 U.S.C. 136i and 136w.

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SOURCE: 39 FR 36449, Oct. 9, 1974, unless
otherwise noted.

§ 171.1

General.

This section deals with the certification of applicators of restricted use
pesticides.

§ 171.2 Definitions.
(a) Terms used in this subpart have
the same meaning as in the Act. In addition, the following definitions are applicable to all aspects of the certification of pesticide applicator program
in this part:
(1) The term accident means an unexpected, undesirable event, caused by
the use or presence of a pesticide, that
adversely affects man or the environment.
(2) The term Act means the Federal
Insecticide, Fungicide, and Rodenticide
Act, as amended (86 Stat. 973), and
other legislation supplementary thereto and amendatory thereof.
(3) The term Administrator means the
Administrator of the Environmental
Protection Agency, or any office or employee of the Agency to whom authority has heretofore been delegated, or to
whom authority may hereafter be delegated, to act in his stead.
(4) The term Agency, unless otherwise
specified, means the United States Environmental Protection Agency.
(5) The term agricultural commodity
means any plant, or part thereof, or
animal, or animal product, produced by
a person (including farmers, ranchers,
vineyardists, plant propagators, Christmas tree growers, aquaculturists, floriculturists, orchardists, foresters, or
other comparable persons) primarily
for sale, consumption, propagation, or
other use by man or animals.
(6) The term calibration of equipment
means measurement of dispersal or
output of application equipment and
adjustment of such equipment to control the rate of dispersal, and droplet
or particle size of a pesticide dispersed
by the equipment.
(7) The term certification means the
recognition by a certifying agency that
a person is competent and thus authorized to use or supervise the use of restricted use pesticides.
(8) The term certified applicator means
any individual who is certified to use
or supervise the use of any restricted
use pesticides covered by his certification.
(9) The term commercial applicator
means a certified applicator (whether
or not he is a private applicator with
respect to some uses) who uses or supervises the use of any pesticide which

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§ 171.2

40 CFR Ch. I (7–1–11 Edition)

is classified for restricted use for any
purpose or on any property other than
as provided by the definition of ‘‘private applicator.’’
(10) The term compatibility means
that property of a pesticide which permits its use with other chemicals without undesirable results being caused by
the combination.
(11) The term competent means properly qualified to perform functions associated with pesticide application, the
degree of capability required being directly related to the nature of the activity and the associated responsibility.
(12) The term common exposure route
means a likely way (oral, dermal, respiratory) by which a pesticide may
reach and/or enter an organism.
(13) The term environment means
water, air, land, and all plants and man
and other animals living therein, and
the interrelationships which exist
among them.
(14) The term forest means a concentration of trees and related vegetation in non-urban areas sparsely inhabited by and infrequently used by humans; characterized by natural terrain
and drainage patterns.
(15) The term hazard means a probability that a given pesticide will have
an adverse effect on man or the environment in a given situation, the relative likelihood of danger or ill effect
being dependent on a number of interrelated factors present at any given
time.
(16) The term host means any plant or
animal on or in which another lives for
nourishment, development, or protection.
(17) The term non-target organism
means a plant or animal other than the
one against which the pesticide is applied.
(18) The term ornamental means trees,
shrubs, and other plantings in and
around habitations generally, but not
necessarily located in urban and suburban areas, including residences, parks,
streets, retail outlets, industrial and
institutional buildings.
(19) The term practical knowledge
means the possession of pertinent facts
and comprehension together with the
ability to use them in dealing with specific problems and situations.

(20) The term private applicator means
a certified applicator who uses or supervises the use of any pesticide which
is classified for restricted use for purposes of producing any agricultural
commodity on property owned or
rented by him or his employer or (if applied without compensation other than
trading of personal services between
producers of agricultural commodities)
on the property of another person.
(21) The term protective equipment
means clothing or any other materials
or devices that shield against unintended exposure to pesticides.
(22) The term regulated pest means a
specific organism considered by a State
or Federal agency to be a pest requiring regulatory restrictions, regulations, or control procedures in order to
protect the host, man and/or his environment.
(23) The term restricted use pesticide
means a pesticide that is classified for
restricted use under the provisions of
section 3(d)(1)(C) of the Act.
(24) The term standard means the
measure of knowledge and ability
which must be demonstrated as a requirement for certification.
(25) The term State means a State,
the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, the Trust Territory of the
Pacific Islands, and American Samoa.
(26) The term susceptibility means the
degree to which an organism is affected
by a pesticide at a particular level of
exposure.
(27) The term toxicity means the property of a pesticide to cause any adverse
physiological effects.
(28) The term under the direct supervision of means the act or process
whereby the application of a pesticide
is made by a competent person acting
under the instructions and control of a
certified applicator who is responsible
for the actions of that person and who
is available if and when needed, even
though such certified applicator is not
physically present at the time and
place the pesticide is applied.
(b) Limited. The following definitions
apply only to dealers, dealerships and
transactions in States or on Indian
Reservations where EPA conducts a
Federal Pesticide Applicator Certification Program.

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Environmental Protection Agency

§ 171.3

(1) The term restricted use pesticide retail dealer means any person who makes
available for use any restricted use pesticide, or who offers to make available
for use any such pesticide.
(2) The term make available for use
means to distribute, sell, ship, deliver
for shipment, or receive and (having so
received) deliver, to any person. However, the term excludes transactions
solely between persons who are pesticide producers, registrants, wholesalers, or retail sellers, acting only in
those capacities.
(3) The term dealership means any
site owned or operated by a restricted
use pesticide retail dealer where any
restricted use pesticide is made available for use, or where the dealer offers
to make available for use any such pesticide.
(4) The term uncertified person means
any person who is not holding a currently valid certification document indicating that he is certified under section 11 of FIFRA in the category of the
restricted use pesticide made available
for use.
(5) The term principal place of business
means the principal location, either
residence or office, in the State in
which an individual, partnership, or
corporation applies pesticides.
[39 FR 36449, Oct. 9, 1974, as amended at 48 FR
53974, Nov. 1983; 73 FR 75599, Dec. 12, 2008]

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§ 171.3 Categorization of commercial
applicators of pesticides.
(a) Procedure. Categories of applicators (other than private) using or supervising the use of restricted use pesticides are identified below. State systems of applicator identification shall
adopt these categories as needed, along
with such appropriate subcategories as
are necessary to meet the particular
requirements of the State.
(b) Categories—(1) Agricultural pest
control—(i) Plant. This category includes commercial applicators using or
supervising the use of restricted use
pesticides in production of agricultural
crops, including without limiting the
foregoing, tobacco, peanuts, cotton,
feed grains, soybeans and forage; vegetables; small fruits; tree fruits and
nuts; as well as on grasslands and noncrop agricultural lands.

(ii) Animal. This category includes
commercial applicators using or supervising the use of restricted use pesticides on animals, including without
limiting the foregoing, beef cattle,
dairy cattle, swine, sheep, horses,
goats, poultry, and livestock, and to
places on or in which animals are confined.
Doctors of Veterinary Medicine engaged in the business of applying pesticides for hire, publicly holding themselves out as pesticide applicators, or
engaged in large-scale use of pesticides
are included in this category.
(2) Forest pest control. This category
includes commercial applicators using
or supervising the use of restricted use
pesticides in forests, forest nurseries,
and forest seed producing areas.
(3) Ornamental and turf pest control.
This category includes commercial applicators using or supervising the use
of restricted use pesticides to control
pests in the maintenance and production of ornamental trees, shrubs, flowers, and turf.
(4) Seed treatment. This category includes commercial applicators using or
supervising the use of restricted use
pesticides on seeds.
(5) Aquatic pest control. This category
includes commercial applicators using
or supervising the use of any restricted
use pesticide purposefully applied to
standing or running water, excluding
applicators engaged in public health
related activities included in category
8 below.
(6) Right-of-way pest control. This category includes commercial applicators
using or supervising the use of restricted use pesticides in the maintenance
of
public
roads,
electric
powerlines, pipelines, railway rightsof-way or other similar areas.
(7) Industrial, institutional, structural
and health related pest control. This category includes commercial applicators
using or supervising the use of restricted use pesticides in, on, or around
food handling establishments, human
dwellings, institutions, such as schools
and hospitals, industrial establishments, including warehouses and grain
elevators, and any other structures and
adjacent areas, public or private; and
for the protection of stored, processed,
or manufactured products.

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40 CFR Ch. I (7–1–11 Edition)

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(8) Public health pest control. This category includes State, Federal or other
governmental employees using or supervising the use of restricted use pesticides in public health programs for
the management and control of pests
having medical and public health importance.
(9) Regulatory pest control. This category includes State, Federal or other
governmental employees who use or supervise the use of restricted use pesticides in the control of regulated
pests.
(10) Demonstration and research pest
control. This category includes: (i) individuals who demonstrate to the public
the proper use and techniques of application of restricted use pesticides or
supervise such demonstration, and (ii)
persons conducting field research with
pesticides, and in doing so, use or supervise the use of restricted use pesticides. Included in the first group are
such persons as extension specialists
and county agents, commercial representatives demonstrating pesticide
products, and those individuals demonstrating methods used in public programs. The second group includes:
State, Federal, commercial and other
persons conducting field research on or
utilizing restricted use pesticides.
(c) Other categories and subcategories.
Any State submitting a plan pursuant
to this section for the certification of
applicators, as provided for below, may
designate such subcategories within
the above 10 categories as it deems necessary. In addition, a State may delete
a category not needed or may request
the Administrator’s approval of additional major categories.
§ 171.4 Standards for certification of
commercial applicators.
(a) Determination of competency. Competence in the use and handling of pesticides shall be determined on the basis
of written examinations, and, as appropriate, performance testing, based upon
standards set forth below and which
are approved by the Administrator.
Such examination and testing shall include the general standards applicable
to all categories (§ 171.4(b)) and the additional standards specifically identified for each category or subcategory
(if any) in which an applicator is to be

classified (§ 171.4(c)). State standards
must conform and be at least equal to
those prescribed herein. In developing
the details of standards at the State
level and in structuring examinations,
it is important to recognize and reflect
the extent of competency appropriate
and necessary to a particular category.
(b) General standards for all categories
of certified commercial applicators. (1) All
commercial applicators shall demonstrate practical knowledge of the
principles and practices of pest control
and safe use of pesticides. Testing shall
be based on examples of problems and
situations appropriate to the particular category or subcategory of the
applicator’s certification and the following areas of competency:
(i) Label & labeling comprehension. (a)
The general format and terminology of
pesticide labels and labeling;
(b) The understanding of instructions, warnings, terms, symbols, and
other information commonly appearing
on pesticide labels;
(c) Classification of the product, general or restricted; and
(d) Necessity for use consistent with
the label.
(ii) Safety. Factors including:
(a) Pesticide toxicity and hazard to
man and common exposure routes;
(b) Common types and causes of pesticide accidents;
(c) Precautions necessary to guard
against injury to applicators and other
individuals in or near treated areas;
(d) Need for and use of protective
clothing and equipment;
(e) Symptoms of pesticide poisoning;
(f) First aid and other procedures to
be followed in case of a pesticide accident; and
(g) Proper identification, storage,
transport, handling, mixing procedures
and disposal methods for pesticides and
used pesticide containers, including
precautions to be taken to prevent
children from having access to pesticides and pesticide containers.
(iii) Environment. The potential environmental consequences of the use and
misuse of pesticides as may be influenced by such factors as:
(a) Weather and other climatic conditions;
(b) Types of terrain, soil or other substrate;

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Environmental Protection Agency

§ 171.4

(c) Presence of fish, wildlife and other
non-target organisms; and
(d) Drainage patterns.
(iv) Pests. Factors such as: (a) Common features of pest organisms and
characteristics of damage needed for
pest recognition;
(b) Recognition of relevant pests; and
(c) Pest development and biology as
it may be relevant to problem identification and control.
(v) Pesticides. Factors such as:
(a) Types of pesticides;
(b) Types of formulations;
(c) Compatibility, synergism, persistence and animal and plant toxicity of
the formulations;
(d) Hazards and residues associated
with use;
(e) Factors which influence effectiveness or lead to such problems as resistance to pesticides; and
(f) Dilution procedures.
(vi) Equipment. Factors including: (a)
Types of equipment and advantages
and limitations of each type; and
(b) Uses, maintenance and calibration.
(vii) Application techniques. Factors
including:
(a) Methods of procedure used to
apply various formulations of pesticides, solutions, and gases, together
with a knowledge of which technique of
application to use in a given situation;
(b) Relationship of discharge and
placement of pesticides to proper use,
unnecessary use, and misuse; and
(c) Prevention of drift and pesticide
loss into the environment.
(viii) Laws and regulations. Applicable
State and Federal laws and regulations.
(c) Specific standards of competency for
each category of commercial applicators.
Some of the factors referenced in paragraph (b) of this section are of particular importance because of the different types of activities carried out by
applicators in each category. Such factors must be especially stressed and
specifically reflected in State certification standards, as appropriate. For
example, practical knowledge of drift
problems should be required of agricultural applicators but not of seed treatment applicators. The latter, however,
should be particularly knowledgeable
of the hazards of the misuse of treated

seed and the necessary precautionary
techniques.
Many
applicators
in
§ 171.3(b) (8), (9), and (10) will have had
considerable formal education, training and experience in preparation for
their positions. Their competency with
respect to the use and handling of pesticides will have been determined by
examining boards of their professional
scientific societies utilizing standards
which equal or exceed those prescribed
herein. Such standards should be consulted by States in developing their
State standards for certification of
such applicators under these regulations. Commercial applicators in each
category shall be particularly qualified
with respect to the practical knowledge standards elaborated below:
(1) Agricultural pest control—(i) Plant.
Applicators must demonstrate practical knowledge of crops grown and the
specific pests of those crops on which
they may be using restricted use pesticides. The importance of such competency is amplified by the extensive
areas involved, the quantities of pesticides needed, and the ultimate use of
many commodities as food and feed.
Practical knowledge is required concerning soil and water problems, preharvest intervals, re-entry intervals,
phytotoxicity, and potential for environmental contamination, non-target
injury and community problems resulting from the use of restricted use pesticides in agricultural areas.
(ii) Animal. Applicators applying pesticides directly to animals must demonstrate practical knowledge of such
animals and their associated pests. A
practical knowledge is also required
concerning specific pesticide toxicity
and residue potential, since host animals will frequently be used for food.
Further, the applicator must know the
relative hazards associated with such
factors as formulation, application
techniques, age of animals, stress and
extent of treatment.
(2) Forest pest control. Applicators
shall demonstrate practical knowledge
of types of forests, forest nurseries, and
seed production in their State and the
pests involved. They should possess
practical knowledge of the cyclic occurrence of certain pests and specific
population dynamics as a basis for programming pesticide applications. A

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§ 171.4

40 CFR Ch. I (7–1–11 Edition)

practical knowledge is required of the
relative biotic agents and their vulnerability to the pesticides to be applied.
Because forest stands may be large and
frequently include natural aquatic
habitats and harbor wildlife, the consequences of pesticide use may be difficult to assess. The applicator must
therefore demonstrate practical knowledge of control methods which will
minimize the possibility of secondary
problems such is unintended effects on
wildlife. Proper use of specialized
equipment must be demonstrated, especially as it may relate to meteorological factors and adjacent land use.
(3) Ornamental and turf pest control.
Applicators shall demonstrate practical knowledge of pesticide problems
associated with the production and
maintenance of ornamental trees,
shrubs, plantings, and turf, including
cognizance of potential phytotoxicity
due to a wide variety of plant material,
drift, and persistence beyond the intended period of pest control. Because
of the frequent proximity of human
habitations to application activities,
applicators in this category must demonstrate practical knowledge of application methods which will minimize or
prevent hazards to humans, pets, and
other domestic animals.
(4) Seed-treatment. Applicators shall
demonstrate practical knowledge of
types of seeds that require chemical
protection against pests and factors
such as seed coloration, carriers, and
surface active agents which influence
pesticide binding and may affect germination. They must demonstrate
practical knowledge of hazards associated with handling, sorting and mixing, and misuse of treated seed such as
introduction of treated seed into food
and feed channels, as well as proper
disposal of unused treated seeds.
(5) Aquatic pest control. Applicators
shall demonstrate practical knowledge
of the secondary effects which can be
caused by improper application rates,
incorrect formulations, and faulty application of restricted use pesticides
used in this category. They shall demonstrate practical knowledge of various water use situations and the potential of downstream effects. Further,
they must have practical knowledge
concerning potential pesticide effects

on plants, fish, birds, beneficial insects
and other organisms which may be
present in aquatic environments. These
applicators shall demonstrate practical
knowledge of the principles of limited
area application.
(6) Right-of-way pest control. Applicators
shall
demonstrate
practical
knowledge of a wide variety of environments, since rights-of-way can traverse
many different terrains, including waterways. They shall demonstrate practical knowledge of problems on runoff,
drift, and excessive foliage destruction
and ability to recognize target organisms. They shall also demonstrate
practical knowledge of the nature of
herbicides and the need for containment of these pesticides within the
right-of-way area, and the impact of
their application activities in the adjacent areas and communities.
(7) Industrial, institutional, structural
and health related pest control. Applicators must demonstrate a practical
knowledge of a wide variety of pests,
including their life cycles, types of formulations appropriate for their control, and methods of application that
avoid contamination of food, damage
and contamination of habitat, and exposure of people and pets. Since human
exposure, including babies, children,
pregnant women, and elderly people, is
frequently a potential problem, applicators must demonstrate practical
knowledge of the specific factors which
may lead to a hazardous condition, including continuous exposure in the various situations encountered in this category. Because health related pest control may involve outdoor applications,
applicators must also demonstrate
practical knowledge of environmental
conditions, particularly related to this
activity.
(8) Public health pest control. Applicators
shall
demonstrate
practical
knowledge of vector-disease transmission as it relates to and influences
application programs. A wide variety
of pests is involved, and it is essential
that they be known and recognized,
and appropriate life cycles and habitats
be understood as a basis for control
strategy. These applicators shall have
practical knowledge of a great variety
of environments ranging from streams
to those conditions found in buildings.

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Environmental Protection Agency

§ 171.5

They should also have practical knowledge of the importance and employment of such non-chemical control
methods as sanitation, waste disposal,
and drainage.
(9) Regulatory pest control. Applicators
shall demonstrate practical knowledge
of regulated pests, applicable laws relating to quarantine and other regulation of pests, and the potential impact
on the environment of restricted use
pesticides used in suppression and
eradication programs. They shall demonstrate knowledge of factors influencing introduction, spread, and population dynamics of relevant pests.
Their knowledge shall extend beyond
that required by their immediate duties, since their services are frequently
required in other areas of the country
where emergency measures are invoked
to control regulated pests and where
individual judgments must be made in
new situations.
(10) Demonstration and research pest
control. Persons demonstrating the safe
and effective use of pesticides to other
applicators and the public will be expected to meet comprehensive standards reflecting a broad spectrum of pesticide uses. Many different pest problems situations will be encountered in
the course of activities associated with
demonstration, and practical knowledge of problems, pests, and population
levels occurring in each demonstration
situation is required. Further, they
should demonstrate an understanding
of a pesticide-organism interactions
and the importance of integrating pesticide use with other control methods.
In general, it would be expected that
applicators doing demonstration pest
control work possess a practical knowledge of all of the standards detailed in
§ 171.4(b). In addition, they shall meet
the specific standards required for
paragraphs (c) (1) through (7) of this
section as may be applicable to their
particular activity.
Persons conducting field research or
method improvement work with restricted use pesticides should be expected to know the general standards
detailed in 171.4(b). In addition, they
shall be expected to know the specific
standards required for paragraphs (c)
(1) through (9) of this section, applicable to their particular activity, or al-

ternatively, to meet the more inclusive
requirements listed under ‘‘Demonstration.’’
(d) Special standards. This space reserved for possible issuance of Special
Standards.
(e) The above standards do not apply to
the following persons for purposes of these
regulations. (1) Persons conducting laboratory type research involving restricted use pesticides; and
(2) Doctors of Medicine and Doctors
of Veterinary Medicine applying pesticides as drugs or medication during
the course of their normal practice.
§ 171.5 Standards for certification of
private applicators.
(a) Competence in the use and handling of pesticides by a private applicator will be determined by procedures
set forth below. State standards must
conform and be at least equal to those
prescribed herein. As a minimum requirement for certification, a private
applicator must show that he possesses
a practical knowledge of the pest problems and pest control practices associated with his agricultural operations;
proper storage, use, handling and disposal of the pesticides and containers;
and his related legal responsibility.
This practical knowledge includes ability to:
(1) Recognize common pests to be
controlled and damage caused by them.
(2) Read and understand the label and
labeling information—including the
common name of pesticides he applied;
pest(s) to be controlled, timing and
methods of application; safety precautions; any pre-harvest or re-entry
restrictions; and any specific disposal
procedures.
(3) Apply pesticides in accordance
with label instructions and warnings,
including the ability to prepare the
proper concentration of pesticide to be
used under particular circumstances
taking into account such factors as
area to be covered, speed at which application equipment will be driven, and
the quantity dispersed in a given period of operation.
(4) Recognize local environmental
situations that must be considered during application to avoid contamination.

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40 CFR Ch. I (7–1–11 Edition)

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(5) Recognize poisoning symptoms
and procedures to follow in case of a
pesticide accident.
(b) Such competence of each private
applicator shall be verified by the responsible State agency through the administration of a private applicator
certification system which ensures
that the private applicator is competent, based upon the standards set
forth above, to use the restricted use
pesticides under limitations of applicable State and Federal laws and regulations. A certification system shall employ a written or oral testing procedure, or such other equivalent system
as may be approved as part of a State
plan.
(1) In any case where a person, at the
time of testing for certification, is unable to read a label, the responsible
State agency may employ a testing
procedure, previously approved by the
Administrator, which can adequately
assess the competence of such person
with regard to all of the above standards. Certification must be related and
limited to the use and handling of each
individual pesticide for which he desires certification at any time. Therefore, the applicator will be authorized
to use only the pesticide(s) for which
he has demonstrated competence. A
specific procedure is required for
§ 171.5(a)(2) relating to label comprehension, with testing designed to
assure his knowledge of the following:
(i) Understanding of the label and labeling information including those
items indicated in that subsection.
(ii) Sources of advice and guidance
necessary for the safe and proper use of
each pesticide related to his certification.
(2) [Reserved]
§ 171.6 Standards for supervision of
noncertified applicators by certified private and commercial applicators.
(a) Certified applicators whose activities indicate a supervisory role must
demonstrate a practical knowledge of
Federal and State supervisory requirements, including labeling, regarding
the application of restricted use pesticides by noncertified applicators.
The availability of the certified applicator must be directly related to the

hazard of the situation. In many situations, where the certified applicator is
not required to be physically present,
‘‘direct supervision’’ shall include
verifiable instruction to the competent
person, as follows: (1) Detailed guidance for applying the pesticide properly, and (2) provisions for contacting
the certified applicator in the event he
is needed. In other situations, and as
required by the label, the actual physical presence of a certified applicator
may be required when application is
made by a noncertified applicator.
(b) [Reserved]
§ 171.7 Submission and approval of
State plans for certification of commercial and private applicators of
restricted use pesticides.
If any State, at any time, desires to
certify applicators of restricted use
pesticides, the Governor of that State
shall submit a State plan for that purpose. The Administrator shall approve
the plan submitted by any State, or
any modification thereof, if the plan in
his judgment—
(a) Designates a State agency as the
agency responsible for administering
the plan throughout the State. Since
several other agencies or organizations
may also be involved in administering
portions of the State plan, all of these
shall be identified in the State plan,
particularly any other agencies or organizations responsible for certifying
applicators and suspending or revoking
certification. In the extent that more
than one governmental agency will be
responsible for performing certain
functions under the State plans, the
plans shall identify which functions are
to be performed by which agency and
indicate how the program will be coordinated by the lead agency to ensure
consistency of programs within the
State. The lead agency will serve as
the central contact point for the Environmental Protection Agency in carrying out the certification program.
The numbers and job titles of the responsible officials of the lead agency
and cooperating units shall be included.
(b) Contains satisfactory assurances
that such lead agency has or will have
the legal authority and qualified personnel necessary to carry out the plan:

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§ 171.7

(1) Satisfactory assurances that the
lead agency or other cooperating agencies have the legal authority necessary
to carry out the plans should be in the
form of an opinion of the Attorney
General or the legal counsel of the lead
agency. In addition:
(i) The lead agency should submit a
copy of each appropriate State law and
regulation.
(ii) In those States where any requisite legal authorities are pending enactment and/or promulgation, the Governor (or Chief Executive) may request
that a State plan be approved contingent upon the enactment and/or promulgation of such authorities. Plans
approved on a contingency basis will be
subject to such reasonable terms and
conditions, concerning the duration of
the contingency approval and other
matters, as the Administrator may impose. During the period of the contingency approval, the State will have an
approved certification program and
may proceed to certify applicators,
who will then be permitted to use or
supervise the use of pesticides classified for restricted use under FIFRA, as
amended.
(iii) The State plan should indicate
by citations to specific laws (whether
enacted or pending enactment) and/or
regulations (whether promulgated or
pending promulgation) that the State
has legal authorities as follows:
(A) Provisions for and listing of the
acts which constitute grounds for denying, suspending, and revoking certification of applicators, and for assessing criminal and/or civil penalties.
Such grounds should include, at a minimum, misuse of a pesticide and falsification of any records required to be
maintained by the certified applicator.
(B) Provisions for reviewing an applicator’s certification to determine
whether suspension or revocation of
the certification is appropriate in the
event of criminal conviction under section 14(b) of the amended FIFRA, a
final order imposing civil penalty
under section 14(a) of the amended
FIFRA, or conclusion of a State enforcement action.
(C) Provisions for right-of-entry by
consent or warrant by appropriate
State officials at reasonable times for

sampling, inspection, and observation
purposes.
(D) Provisions making it unlawful for
persons other than certified applicators
or persons working under their direct
supervision to use restricted use pesticides.
(E) Provisions requiring certified
commercial applicators to keep and
maintain for the period of at least two
years routine operational records containing information on kinds, amounts,
uses, dates, and places of application of
restricted use pesticides; and for ensuring that such records will be available
to appropriate State officials.
(2) Satisfactory assurances that the
lead agency and any cooperating organizations have qualified personnel necessary to carry out the plan will be
demonstrated by including the numbers, job titles and job functions of persons so employed.
(c) Gives satisfactory assurances that
the State will devote adequate funds to
the administration of the plan.
(d) Provides that the State agency
will make reports to the Administrator
in a manner and containing information that the Administrator may from
time to time require, including:
(1) An annual report to be submitted
by the lead agency, at a time to be
specified by the State, to include the
following information:
(i) Total number of applicators, private and commercial, by category, currently certified; and number of applicators, private and commercial, by category, certified during the last reporting period.
(ii) Any changes in commercial applicator subcategories.
(iii) A summary of enforcement activities related to use of restricted use
pesticides during the last reporting period.
(iv) Any significant proposed changes
in required standards of competency.
(v) Proposed changes in plans and
procedures for enforcement activities
related to use of restricted use pesticides for the next reporting period.
(vi) Any other proposed changes from
the State plan that would significantly
affect the State certification program.

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§ 171.7

40 CFR Ch. I (7–1–11 Edition)

(2) Other reports as may be required
by the Administrator shall be submitted from time to time to meet specific needs.
(e) Contains satisfactory assurances
that the State standards for the certification of applicators of pesticides conform to those standards prescribed by
the
Administrator
under
§§ 171.1
through 171.6. Such assurances should
consist of:
(1) A detailed description of the
State’s plan for certifying applicators
and a discussion of any special situations, problems, and needs together
with an explanation of how the State
intends to handle them. The State plan
should include the following elements
as a minimum:
(i) For commercial applicators:
(A) A list and description of categories and subcategories to be used in
the State, such categories to be consistent with those defined in § 171.3.
(B) An estimate of the number of
commercial applicators by category expected to be certified by the State.
(C) The standards of competency
elaborated by the State. These shall
conform and be at least equal to those
prescribed in § 171.4 for the various categories of applicators utilized by the
State. The standards shall also cover
each of the points listed in the general
standards in § 171.4(b) and the points
covered in the appropriate specific
standards set forth in § 171.4(c).
(D) For each category and subcategory listed under § 171.7(e)(1)(i)(A),
either submission of examinations or a
description of the types and contents of
examinations (e.g., multiple choice,
true-false) and submission of sample
examination questions; and a description of any performance testing used to
determine competency of applicators.
(ii) For private applicators:
(A) An estimate of the number of private applicators expected to be certified by the State.
(B) The standards of competency
elaborated by the State. These shall
conform and be at least equal to those
prescribed in § 171.5(a), including the
five requirements listed in § 171.5(a) (1)
through (5).
(C) Types and contents of examinations and/or submission of detailed description of methods other than exam-

ination used to determine competency
of private applicators.
(D) A description of any special procedure of testing that a State develops
to determine the competency of a private applicator who is unable to read
the label as prescribed in § 171.5(b)(1).
(2) A provision for issuance by the
State of appropriate credentials or documents verifying certification of applicators.
(3) If appropriate, a description of
any existing State licensing, certification or authorization programs for
private applicators or for one or more
categories of commercial applicators
may be included. If these programs are
determined by EPA to meet standards
of competency prescribed by §§ 171.1
through 171.6, States may certify applicators so licensed, certified or authorized without any additional demonstration of competency provided:
(i) The commercial applicators who
were licensed, certified, or authorized
have demonstrated their competency
based on written examinations and, as
appropriate, performance testing, conforming to the standards set forth in
§ 171.4, and
(ii) The private applicators who were
licensed, certified, or authorized have
demonstrated their competency by
written or oral testing procedures or
other acceptable equivalent system,
conforming to the standards set forth
in § 171.5.
(4) A statement that the State accepts Federal employees qualified
under the Government Agency Plan
(GAP) as fully meeting the requirements for certification by that State;
or a description of any additional requirements these employees must meet
to apply restricted use pesticides in
that State. Any such additional requirements shall be consistent with
and shall not exceed standards established for other comparable applicators
in that State.
(i) Until such time as the GAP has
been fully developed and approved by
EPA, this statement (§ 171.7(e)(4)) is not
required. However, within 60 days after
final approval of the GAP, the State
should forward such a statement for inclusion in its State plan.
(5) A description of any cooperative
agreements a State has made with any

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Environmental Protection Agency

§ 171.9

Indian Governing Body to certify or assist in the certification of applicators
not subject to State jurisdiction.
(§ 171.10).
(6) A description of any arrangements
that a State has made or plans to make
relating to reciprocity with other
States or jurisdictions for the acceptance of certified applicators from those
States or jurisdictions. However, those
arrangements should meet these conditions:
(i) The State according reciprocity
should provide for issuance of an appropriate document verifying certification
based upon the certifying document
issued by the other States or jurisdictions.
(ii) The State according reciprocity
should have enforcement procedures
that cover out-of-State applicators determined to be competent and certified
within the State or jurisdiction.
(iii) The detailed State or jurisdiction standards of competency, for each
category identified in the reciprocity
arrangement should be sufficiently
comparable to justify waiving an additional determination of competency by
the State granting reciprocity.
(f) In responding to the preceding requirements, a State may describe in its
State plan other regulatory activities
implemented under State laws or regulations which will contribute to the desired control of the use of restricted
use pesticides by certified applicators.
Such other regulatory activities, if described, will be considered by the Administrator in evaluating whether or
not a State’s certified applicator program satisfies the requirements of
§ 171.7 (a) through (e).
[40 FR 11702, Mar. 12, 1975]

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§ 171.8

Maintenance of State plans.

(a) Any State certification program
approved under § 171.7 shall be maintained in accordance with the State
plan approved under that section. Accordingly, the State plan should include:
(1) Provisions to assure that certified
applicators comply with standards for
the use of restricted use pesticides and
carry out their responsibility to provide adequate supervision of noncertified applicators.

(2) Provisions to ensure that certified
applicators continue to meet the requirements of changing technology and
to assure a continuing level of competency and ability to use pesticides
safely and properly.
(b) An approved State plan and the
certification program carried out under
such plan may not be substantially
modified without the prior approval of
the Administrator. A proposed change
may be submitted for approval at any
time but all applicable requirements
prescribed by these Regulations must
be satisfied for the modification to be
eligible for approval by the Administrator.
(c) Whenever the Administrator determines that a State is not administering the certification program in
accordance with the State plan approved under § 171.7, he shall so notify
the State and provide for a hearing at
the request of the State and, if appropriate corrective action is not taken
within a reasonable time, not to exceed
ninety days, the Administrator shall
withdraw approval of the plan.
[40 FR 11704, Mar. 12, 1975]

§ 171.9 Submission and approval of
Government Agency Plan.
This section is included to provide
for certain Federal employees including those whose duties may require
them to use or supervise the use of restricted use pesticides in a number of
States.
(a) Sections 171.1 through 171.8 will,
with the necessary changes, apply to
the Government Agency Plan (GAP)
for determining and attesting to the
competency of Federal employees to
use or supervise the use of restricted
use pesticides.
(b) Federal employees qualified under
the GAP shall:
(1) Be prepared to present the Federal
form issued to them attesting to their
competency to appropriate State officials.
(2) Fulfill any additional requirements States may have enumerated in
their State plans as provided for under
§ 171.7(e)(4).
(c) The employing Federal agency
shall ensure that certified employees
using or supervising the use of restricted use pesticides within a Federal

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§ 171.10

40 CFR Ch. I (7–1–11 Edition)

facility are subject to the same or
equivalent provisions prescribed under
§ 171.7(b)(1)(iii) (A)–(E).
[40 FR 11704, Mar. 12, 1975]

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§ 171.10 Certification of applicators on
Indian Reservations.
This section applies to applicators on
Indian Reservations.
(a) On Indian Reservations 1 not subject to State jurisdiction the appropriate Indian Governing Body 2 may
choose to utilize the State certification program, with the concurrence
of the State, or develop its own plan
for certifying private and commercial
applicators to use or supervise the use
of restricted use pesticides.
(1) If the Indian Governing Body decides to utilize the State certification
program, it should enter into a cooperative agreement with the State. This
agreement should include matters concerning funding and proper authority
for enforcement purposes. Such agreement and any amendments thereto
shall be incorporated in the State plan,
and forwarded to the Administrator for
approval or disapproval.
(2) If the Indian Governing Body decides to develop its own certification
plan, it shall be based on either Federal
standards (§§ 171.1 through 171.8) or
State standards for certification which
have been accepted by EPA. Such a
plan shall be submitted through the
United States Department of the Interior to the EPA Administrator for approval.
(b) On Indian Reservations where the
State has assumed jurisdiction under
other Federal laws, anyone using or supervising the use of restricted use pesticides shall be certified under the appropriate State certification plan.
(c) Non-Indians applying restricted
use pesticides on Indian Reservations
not subject to State jurisdiction shall
be certified either under a State cer1 The term Indian Reservation means any
federally-recognized reservation established
by Treaty, Agreement, Executive Order, or
Act of Congress.
2 The term Indian Governing Body means
the governing body of any tribe, band, or
group of Indians subject to the jurisdiction
of the United States and recognized by the
United States as possessing power of selfgovernment.

tification plan accepted by the Indian
Governing Body or under the Indian
Reservation certification plan.
(d) Nothing in this section is intended either to confer or deny jurisdiction to the States over Indian Reservations not already conferred or denied under other laws or treaties.
[40 FR 11704, Mar. 12, 1975]

§ 171.11 Federal certification of pesticide applicators in States or on Indian Reservations where there is no
approved State or Tribal certification plan in effect.
(a) Applicability. This section applies
to persons in any State and on any Indian Reservation where, because there
is no approved State or Tribal certification plan in effect, the Administrator implements an EPA plan for the
Federal certification of applicators of
restricted use pesticides.
(b) Certification requirement. In any
State or on any Indian Reservation
where this section is applicable, any
person who uses or supervises the use
of any pesticide classified for restricted
use must be certified in accordance
with this section. However, a competent person who is not certified may
use a restricted use pesticide under the
direct supervision of a certified applicator for uses authorized by the certified applicator’s certification. Private applicator certification shall authorize only those uses, or the supervision of those uses, described in
§ 171.2(t). Commercial applicator certification shall authorize only those
uses, or the supervision of those uses,
included within the specific category(ies) or subcategory(ies), described in § 171.3(b) or an applicable
Federal plan, in which the applicator is
certified.
(c) Certification of commercial applicators—(1) Categories for commercial applicators. Categories referred to in this
section are the same as those listed in
§ 171.3(b). Determination of competency
in each category shall conform to the
requirements of § 171.4(a).
(2) Subcategories. The Administrator
may adopt subcategories as he or she
deems necessary, consonant with the
needs of the individual State or Reservation.

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§ 171.11

(3) Standards for certification. The
standards of competency for certification of commercial applicators under
this section are the same as those listed in § 171.4 (b) and (c) and § 171.6.
(4) Certification procedure. An individual who desires to be certified or recertified under this paragraph shall
complete the EPA certification form
and submit the form to the appropriate
EPA Regional Office. In order to be initially certified as a commercial applicator under this paragraph, an individual must take and pass written examinations approved by the Administrator and administered by the Administrator or any other party approved by
him or her. A general examination will
be given, based on the general standards found in § 171.4(b) and the standards for supervision found in § 171.6. In
addition, specific category and subcategory examinations will be given,
based on the appropriate category or
subcategory
standards
found
in
§ 171.4(c) and the applicable Federal
plan. The Administrator will notify the
individual in writing of the results of
the examinations within 45 days unless
special circumstances justify a longer
time period. The Administrator will
issue to each person who has passed a
general examination and one or more
category or subcategory examinations
a commercial applicator certificate
covering each category and subcategory in which he or she has qualified. A commercial applicator certificate is valid for a period of three years
from the date of issuance, unless earlier suspended or revoked by the Administrator (two years from the date of
issuance, in the case of certificates
issued prior to [effective date of
amended rule]), and is valid within the
State or Indian Reservation named on
the certificate.
(5) Re-examination. Individuals failing
to pass the required certification examination(s) may be re-examined after
notification of failure. An individual
seeking re-examination need take only
the examination(s) which he or she
originally failed.
(6) Renewal of commercial applicator
certification. A certified commercial applicator may qualify for recertification
by taking and passing written examinations as specified in paragraph (c)(4)

of this section, or by successfully completing any available training program
approved for this purpose by the Administrator. Recertification procedures
must be completed by the certified
commercial applicator during the
twelve month period preceding the expiration date of his or her certificate.
(7) Recordkeeping requirements. (i)
Each self-employed certified commercial applicator, each firm employing a
certified commercial applicator, and
each person who contracts with a certified commercial applicator (or his or
her employer) to have a restricted use
pesticide applied on property owned or
operated by another person shall keep
and maintain at their principal place
of business true and accurate records of
the use of restricted use pesticides,
providing the following information:
(A) Name and address of the person
for whom the pesticide was applied;
(B) Location of the pesticide application;
(C) Target pest(s);
(D) Specific crop or commodity, as
appropriate, and site, to which the pesticide was applied;
(E) Year, month, day, and time of application;
(F) Trade name and EPA registration
number of the pesticide applied;
(G) Amount of the pesticide applied
and percentage of active ingredient per
unit of the pesticide used; and
(H) Type and amount of the pesticide
disposed of, method of disposal, date(s)
of disposal, and location of the disposal
site.
(ii) Availability of required records.
Each certified commercial applicator
shall keep all records required under
this paragraph current and shall make
such records available for inspection
and copying by representatives of EPA
for a period of at least two years from
the date of use of the pesticide.
(d) Certification of private applicators—
(1) Certification procedures. An individual who desires to be certified or recertified under this paragraph shall
complete the EPA certification form
and submit the form to the appropriate
EPA Regional Office. In order to be
certified or recertified as a private applicator to use restricted use pesticides, an individual must be determined competent with respect to the

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§ 171.11

40 CFR Ch. I (7–1–11 Edition)

use and handling of pesticide. Standards for such determination are the
same as those listed in §§ 171.5 and 171.6.
The Administrator will offer one or
more of the following certification options, including at least one option
which does not require the applicator
to take an examination—
(i) Approved training course. The individual may successfully complete an
approved training course. Approved
training courses may include courses
sponsored by EPA, State cooperative
extension services, State vocational
agricultural courses, or private educational groups. Each training course
for certification must be approved for
that purpose by the Administrator and
include, at a minimum, coverage of the
private applicator standards listed in
§§ 171.5 and 171.6, and a demonstration
that the individual has successfully
completed the training course. Subject
to the approval of the Administrator,
this demonstration may be accomplished by completion of a no pass/no
fail written questionnaire or a workbook, receipt of a passing grade in an
approved course offered by an educational institution, or any other
equivalent procedure.
(ii) Written examination. The individual may pass a written examination
approved by the Administrator and administered by the Administrator or
any other party approved by him or
her.
(iii) Self-study program. The individual may successfully complete a
self-study learning program approved
by the Administrator and administered
by the Administrator or any other
party approved by him or her.
(iv) Non-reader certification. Non-readers may be certified for specific use(s)
of a single product by successfully
completing
an
approved
training
course as specified in (d)(1) (i) of this
section, or by passing an oral examination approved by the Administrator
and administered by the Administrator
or any other party approved by him or
her. Such training or testing shall incorporate a specific procedure relating
to label comprehension, as described in
§ 171.5(b)(1).
(2) Issuance of certificates. The Administrator will issue a private applicator
certificate to each individual who suc-

cessfully completes any available certification option. Individuals who, for
any reason, fail to complete successfully a certification option may attempt to complete the same option or,
if available, an alternative option. A
private applicator certificate is valid
for a period of four years from the date
of issuance (three years from the date
of issuance, in the case of certificates
issued before [effective date of amended rule]), unless earlier suspended or
revoked by the Administrator, and is
valid within the State or Indian Reservation named on the certificate.
(3) Renewal of private applicator certification. A certified private applicator
may qualify for recertification by successfully completing any available certification option during the twelve
month period preceding the expiration
date of his or her certificate.
(e) Recognition of other certificates.
The Administrator may issue a certificate to an individual possessing any
other valid Federal, State or Tribal
certificate without further demonstration of competency. The individual
shall submit the EPA certification
form and written evidence of valid certification to the appropriate EPA Regional Office. The Administrator may
deny issuance of such certificate if the
standards of competency for each category or subcategory identified in the
other Federal, State or Tribal certificate are not sufficiently comparable to
justify waiving further demonstration
of competency. The Administrator may
revoke, suspend, or modify such certificate if the Federal, State or Tribal certificate upon which it is based is revoked, suspended, or modified. Unless
suspended or revoked, a certificate
issued under this paragraph is valid for
two years for commercial applicators
and three years for private applicators,
or until the expiration date of the
original Federal, State or Tribal certificate, whichever occurs first.
(f) Denial, suspension, modification or
revocation of a certificate. (1) The Administrator may suspend all or part of
a certificate issued pursuant to this
section, or, after opportunity for a
hearing, may deny issuance of, or revoke or modify, a certificate issued
pursuant to this section, if he or she
finds that the applicant or certificate

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§ 171.11

holder has been convicted under section 14(b) of the amended FIFRA, has
been subject to a final order imposing a
civil penalty under section 14(a) of the
amended FIFRA, or has committed any
of the following acts:
(i) Used any registered pesticide in a
manner inconsistent with its labeling;
(ii) Made available for use, or used,
any registered pesticide classified for
restricted use other than in accordance
with section 3(d) of the amended
FIFRA and any regulations promulgated thereunder;
(iii) Refused to keep and maintain
any records required pursuant to this
section;
(iv) Made false or fraudulent records,
invoices or reports;
(v) Failed to comply with any limitations or restrictions on or in a duly
issued certificate; or,
(vi) Violated any provision of the
amended FIFRA and the regulations
promulgated thereunder.
(2) If the Administrator decides to
deny, revoke, or modify a certificate,
he or she will:
(i) Notify the applicant or certificate
holder of:
(A) The ground(s) upon which the denial, revocation or modification is
based;
(B) The time period during which the
denial, revocation or modification is
effective, whether permanent or otherwise;
(C) The conditions, if any, under
which the individual may become certified or recertified; and,
(D) Any additional conditions the Administrator may impose.
(ii) Provide the applicant or certificate holder an opportunity to request a
hearing prior to final Agency action to
deny, revoke or modify the certificate.
(3) If a hearing is requested by an applicant or certificate holder pursuant
to paragraph (f)(2)(ii) of this section,
the Administrator will:
(i) Notify the affected applicant or
certificate holder of those assertions of
law and fact upon which the action to
deny, revoke or modify the certificate
is based;
(ii) Provide the affected applicant or
certificate holder an opportunity to
offer written statements of facts, ex-

planations, comments, and arguments
relevant to the proposed action;
(iii) Provide the affected applicant or
certificate holder such other procedural opportunities as the Administrator may deem appropriate to ensure
a fair and impartial hearing; and
(iv) Appoint an attorney in the Agency as Presiding Officer to conduct the
hearing. No person shall serve as Presiding Officer if he or she has had any
prior connection with the specific case.
(4) The Presiding Officer appointed
pursuant to paragraph (f)(3)(iv) of this
section shall:
(i) Conduct a fair, orderly, and impartial hearing, without unnecessary
delay;
(ii) Consider all relevant evidence,
explanation, comment, and argument
submitted pursuant to paragraphs
(f)(3)(ii) and (iii) of this section; and,
(iii) Promptly notify the affected applicant or certificate holder of his or
her decision and order. Such an order is
a final Agency action subject to judicial review in accordance with Section
16 of the amended FIFRA.
(5) If the Administrator decides to
suspend all or part of a certificate, he
or she will:
(i) First determine that the public
health, interest or welfare warrants
immediate action to suspend the certificate;
(ii) Notify the certificate holder of
the ground(s) upon which the suspension action is based;
(iii) Notify the certificate holder of
the time period during which the suspension is effective; and,
(iv) Notify the certificate holder of
his or her intent to revoke or modify
the certificate, as appropriate, in accord with paragraph (f)(2) of this section. If such revocation or modification
notice has not previously been issued,
it will be issued at the same time the
suspension notice is issued.
(6) In cases where the act constituting grounds for suspension, revocation, or modification of a certificate is
neither willful nor contrary to the public interest, health, or safety, the affected certificate holder may have additional procedural rights under 5
U.S.C. 558(c).
(7) Any notice, decision, or order
issued by the Administrator under

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§ 171.11

40 CFR Ch. I (7–1–11 Edition)

paragraph (f) of this section, and any
documents filed by an applicant or certificate holder in a hearing under paragraph (f) of this section, shall be available to the public except as otherwise
provided by section 10 of the amended
FIFRA or by part 2 of this title. Any
such hearing at which oral testimony
is presented shall be open to the public,
except that the Presiding Officer may
exclude the public to the extent necessary to allow presentation of information which may be entitled to confidentiality under section 10 of the
amended FIFRA or under part 2 of this
title.
(g) Pesticide dealer reporting and recordkeeping requirements, availability of
records, and failure to comply—(1) Reporting requirements. Each person who is
a restricted use pesticide retail dealer
in a State or on an Indian Reservation
where the Administrator conducts the
applicator certification and training
program shall:
(i) Report to the Environmental Protection Agency (EPA) the business
name by which the restricted use pesticide retail dealer operates, and the
name and business address of each of
his dealerships. For dealers or dealerships in Nebraska this initial report
must be submitted to EPA, Region VII,
324 E. 11th Street, Kansas City, MO
64106. For dealers or dealerships in Colorado this initial report must be submitted to EPA, Region VIII, 1860 Lincoln Street, Denver, Colorado 80295.
This report shall be submitted to the
appropriate EPA regional office no
later than 60 days after the date the
person first becomes a restricted use
pesticide retail dealer, or within 60
days after the publication of the effective date of this final rule, whichever
date is later.
(ii) Submit revisions to the initial report to the appropriate EPA regional
office listed above reflecting any name
changes, additions or deletions of dealerships. Revisions shall be submitted
to EPA within 10 days of the occurrence of such change, addition or deletion.
(2) Recordkeeping requirement. Recordkeeping is required when making restricted use pesticides available to:
(i) Certified applicators. Each restricted use pesticide retail dealer

shall maintain at each individual dealership records of each transaction
where a restricted use pesticide is
made available for use by that dealership to a certified applicator. Record of
each such transaction shall be maintained for a period of 24 months after
the date of the transaction, and shall
include the following information:
(A) Name and address of the residence or principal place of business of
each person to whom the pesticide was
made available for use.
(B) The certification number on the
document evidencing that person’s certification, the State (or other governmental unit) that issued the doucment,
the expiration date of the certification,
and the categories in which the applicator is certified, if appropriate.
(C) The product name, EPA registration number, and the State special
local need registration number, granted under section 24(c) of the FIFRA (if
any) on the label of the pesticide.
(D) The quantity of the pesticide
made available for use in the transaction.
(E) The date of the transaction.
(ii) Uncertified persons. No dealer or
dealership may make a restricted use
pesticide available to an uncertified
person unless he can document that
the restricted use pesticide will be used
by a certified applicator, and he maintains the records required in this subsection. Each restricted use pesticide
retail dealer shall maintain records at
each individual dealership of each
transaction where a restricted use pesticide was made available to an
uncertified person for use by a certified
applicator. Records of each such transaction shall be maintained for a period
of 24 months after the date of the
transaction, and shall include the following information:
(A) The name and address of the residence or principal place of business of
the uncertified person to whom the restricted use pesticide is made available
for use by a certified applicator.
(B) The name and address of the residence or principal place of business of
the certified applicator who will use
the restricted use pesticide.

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wreier-aviles on DSK7SPTVN1PROD with CFR

Environmental Protection Agency

Pt. 172

(C) The certified applicator’s certification number, the State (or other governmental unit) that issued his certification document, the expiration date
of the certification, and the categories
in which the applicator is certified, if
appropriate.
(D) The product name, EPA registration number, and the State special
local need registration number, granted under section 24(c) of the FIFRA (if
any) on the label of the pesticide.
(E) The quantity of the pesticide
made available for use in the transaction.
(F) The date of the transaction.
(G) At the time of each transaction,
EPA recommends that the dealer obtain the information required in paragraph (g)(2)(ii) (A) through (C) of this
section and assure himself that the restricted use pesticide is made available
for use by a certified applicator by examining one of the following sets of
documents:
(1) The original of the certified applicator’s certification document, and a
driver’s license or other State, county,
or Tribal identification document
issued to the uncertified person to
whom the restricted use pesticide is
made available.
(2) A photocopy or facsimile of the
certified applicator’s certification document, together with a statement
signed by the certified applicator authorizing the uncertified person to purchase the restricted use pesticide on
his behalf, and a driver’s license or
other State, county, or Tribal identification document issued to the
uncertified person to whom the restricted use pesticide is made available.
(3) A photocopy or facsimile of the
certified applicator’s certification document, together with a copy of a
signed contract or agreement, between
the uncertified person to whom the restricted use pesticide is being made
available for use and the identified certified applicator, which provides for
the use of the restricted use pesticide
by the identified certified applicator,
and a driver’s license or other State,
county, or Tribal identification document issued to the uncertified person
to whom the restricted use pesticide is
made available.

(3) Availability of required records.
Each pesticide dealer shall, upon request of any officer or employee of
EPA duly designated by the Administrator, furnish or permit such person
at all reasonable times to have access
to and copy all records required to be
maintained under this section.
(4) Failure to comply. Any person who
fails to comply with the provisions of
this rule may be subject to civil or
criminal sanctions, under section 14 of
the Act, or 18 U.S.C. 1001. Violations include failure to submit or falsification
of any report required under this paragraph, failure to maintain or falsification of records as required under this
section, and making available for use
any pesticide classified for restricted
use to a person who is not a certified
commercial applicator other than in
accordance with these regulations and
section 3(d) of the amended FIFRA or
rules promulgated thereunder.
[43 FR 24837, June 8, 1978, as amended at 48
FR 29855, June 29, 1983; 48 FR 53974, Nov. 29,
1983; 49 FR 17759, Apr. 25, 1984; 58 FR 34203,
June 23, 1993]

PART 172—EXPERIMENTAL USE
PERMITS
Subpart A—Federal Issuance of
Experimental Use Permits
Sec.
172.1 Definitions.
172.2 General.
172.3 Scope of requirement.
172.4 Applications.
172.5 The permit.
172.6 Labeling.
172.7 Importation of technical material.
172.8 Program surveillance and reporting of
data.
172.9 Renewals.
172.10 Refusals to issue and revocation.
172.11 Publication.

Subpart B—State Issuance of Experimental
Use Permits
172.20 Scope.
172.21 Definitions.
172.22 General.
172.23 State plans.
172.24 State issuance of permits.
172.25 Administration of State programs.
172.26 EPA review of permits.

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