**EPA ICR No. 0155.09 OMB Control No. 2070-0029**

**ATTACHMENT C**

**40 C.F.R. 171 - Certification of Pesticide Applicators**

**Code of Federal Regulations**

**Title 40 -- Protection of the Environment**

**Part 171 - Certification of Pesticide Applicators**

**Section Contents**

§ 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. 136b and 136w.

**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.**

\(a\) *General*. Terms used in this subpart shall have the meanings set
forth for such terms 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 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.

\(1\) 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 4 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.

\[39 FR 36449, Oct. 9, 1974, as amended at 48 FR 53974, Nov. 1983\]

**§ 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 non-crop 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
rights-of-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.

\(8\) *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;

(*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, pre-harvest 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
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. 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
alternatively, 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.

\(5\) 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:

\(1\) 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.

\(2\) 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 examination 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 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).

\[40 FR 11702, Mar. 12, 1975\]

**§ 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 facility are subject to the same or equivalent provisions
prescribed under §171.7(b)(1)(iii) (A)--(E).

\[40 FR 11704, Mar. 12, 1975\]

**§ 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 certification 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.

\(3\) *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 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 successfully 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 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, explanations,
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
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
document, 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.

\(C\) 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.

\[43 FR 24837, June 8, 1978, as amended at 48 FR 29855, June 29, 1983;
48 FR 53974, Nov. 29, 1983; 49 FR 17759, Apr. 25, 1984; 58 FR 34203,
June 23, 1993\]

[^1]: 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 self-government.