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

ATTACHMENT C 40 C.F.R. 171 - Certification of Pesticide ApplicatorsCode 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 commercia l applicators of pesticides.

§ 171.4 Standards for cer tification of commer cial applicators.

§ 171.5 Standards for certificatio n of private applicators. § 171.6 Standards for supervision of noncerti fied applicators by certified private and commercial applicators. § 171.7 Submission and approval of State plans for certification of commercial and private applicators of restri cted use pesticides. § 171.8 Maintenance of State plans. § 171.9 Submission and approval of Government Agency Plan. § 171.10 Certification of appli cators on Indian Reservations. § 171.11 Federal certification of pesticide appli cators 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 ap plicable 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 a ffects man or the environment.

(2) The term Act means the Federal Insecticide, Fungicide , and Rodenticide Act, as amended (86 Stat. 973), and other legislat ion 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 au thority has heretofore been delegated, or to whom authority may hereafter be de legated, 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, aquaculturis ts, floriculturists, orchardists, foresters, or other comparablepersons) primarily for sale, consumption, propagation, or other use by man or animals.

(6) The term calibration of equipment means measurement of disper sal 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 certif ying agency that a person is competent and thus authorized to use or supe rvise the use of restricted use pesticides.

(8) The term certified applicator means any individual who is certi fied to use or supervise the use of any restricted use pestic ides covered by his certification.

(9) The term commercial applicator means a certified applicator (w hether 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 pesticid e which permits its use with other

chemicals without undesir able results being caused by the combination.

(11) The term competent means properly qualified to perform fu nctions associated with pesticide application, the degree of capabili ty 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 interrela tionships 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 pes ticide will have an adverse effect on man or the environment in a given situation, the relative likelihood of dange r 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 plan tings 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 comprehensiontogether with the ability to use them in d ealing with specific problems and situations.

(20) The term private applicator means a certified applic ator who uses or supervises the use of any pesticide which is classified for restrict ed use for purposes of producing any agricultural commodity on property owned or rented by hi m 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 mate rials 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, regu lations, 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 cla ssified for restricted use under the provisions of sectio n 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 Columb ia, 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 organi sm is affected by a pesticide at a particular level of exposure.

(27) The term toxicity means the property of a pesticid e 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 instructi ons and control of a certified applicator who is responsible for the ac tions of that person and who is available if and when needed, even though such certified applicat or is not physically present at the time and place the pesticide is applied.

(b) Limited . The following definitions apply only to d ealers, dealerships and transactions in

States or on Indian Reservations where EP A 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 retaildealer 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, partne rship, or corporatio n applies pesticides.

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

§ 171.3 Categorization of commercia l applicators of pesticides.

(a) Procedure . Categories of applicators (other than pr ivate) 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 th e use of restricted use pesticid es in production of agricultural crops, including without limiting the foregoing, t obacco, 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 applic ators 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 li vestock, and to places on or in which animals

are confined. Doctors of Veterinary Medicine engaged in the business of applyi ng pesticides for hire, publicly holding themselves out as pesticid e applicators, or engaged in la rge-scale use of pesticides are included in this category.

(2) Forest pest control . This category includes commercial ap plicators using or supervising the use of restricted use pesticides in forests, fo rest nurseries, and forest seed producing areas.

(3) Ornamental and turf pest control . This category includes comme rcial 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 appl icators using or supervising the use of restricted use pesticides on seeds.

(5) Aquatic pest control . This category includes commercial a pplicators 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 commer cial applicators using or supervising the use of re stricted use pesticides in the main tenance of public roads, electricpowerlines, pipelines, railway right s-of-way or other similar areas.

(7) Industrial, institutional, structural and health related pest control . This category includes commercial applicators using or su pervising 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 elevat ors, and any other structures and adjacent areas, public or private; and for the pr otection 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 restrict ed use pesticides in public health programs for the management and control of pests havi ng medical and public health importance.

(9) Regulatory pest control . This category includes State, Federal or other governmental employees who use or supervise th e use of restricted use pesticid es in the contro l 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 restri cted use pesticides or supervise such demonstration, and (ii) pers ons 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 indi viduals demonstrating methods used in public programs. The second group includes: State, Fede ral, commercial and other persons conducting

field research on or utilizi ng restricted use pesticides.

(c) Other categories and subcategories . Any State submitting a plan pursuant to this section for the certification of applicators, as provided fo r 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 appr oved by the Administrator. Such examination and testing shall include the general standards applicable to all categ ories (§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 c onform 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 re flect 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 pract ices of pest control and safe use of pesticides. Testing shall be based on examples of problems and situations appropriate to the particular ca tegory 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 i ndividuals 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 fo llowed in case of a pesticide accident; and

( g ) Proper identification, storage, transport, ha ndling, mixing procedures and disposal methods for pesticides and used pesticide containers, includ ing 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, so il 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 organism s and characteristics of damage needed for pest recognition;

( b ) Recognition of relevant pests; and

( c ) Pest development and biology as it may be rele vant 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 fo rmulations 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 pe sticides to proper use, unnecessary use, and

misuse; and

( c ) Prevention of drift and pestic ide loss into the environment.

(viii) Laws and regulations . Applicable State and Fede ral laws and regulations.

(c) Specific standards of competency for ea ch category of commercial applicators . Some of the factors referenced in paragraph (b) of this sec tion are of particular im portance because of the different types of activities carri ed out by applicators in each ca tegory. Such factors must be especially stressed and specifically reflected in State certification standards, as appropriate. For example, practical knowledge of drift problems shoul d 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 consider able 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 Stat e standards for certification of such applicators under these regulations. Commer cial applicators in ea ch category shall be particularly qualified with respect to the prac tical knowledge standards elaborated below:

(1) Agricultural pest control —(i) Plant . Applicators must demonstrate practical knowledge of crops grown and the specific pests of those cr ops 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 ultima te use of many commod ities as food and feed. Practical knowledge is required concerning soil and water problems, pre-harvest intervals, reentry intervals, phytotoxicity, a nd potential for environmental c ontamination, non-target injuryand community problems resulting from the use of restricted use pesticides in agricultural areas.

(ii) Animal . Applicators applying pestic ides directly to animals must demonstrate practical knowledge of such animals and their associated pests. A practical knowle dge is also required concerning specific pesticide toxicity and residue potential, since host animals will frequently be used for food. Further, the applicator must know th e relative hazards associ ated with such factors as formulation, application techniques, age of animals, stress and extent of treatment.

(2) Forest pest control . Applicators shall demonstrate practi cal knowledge of types of forests, forest nurseries, and seed production in their St ate and the pests involved. They should possess practical knowledge of the cycl ic 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 natu ral aquatic habitats and harbor wildlife, the consequences of pesticide use may be difficult to assess. The a pplicator must therefore demonstrate practical knowledge of control methods which will minimize th e possibility of secondary problems such is unintended effects on wildlife. Proper use of specialized equipment must be demonstrated, especially as it may relate to meteor ological 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 potentia l 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 appl ication activities, applicators in this category must demonstrate practical knowledge of applic ation 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 agai nst pests and factors such as seed coloration, carriers, and surface active agents which influence pesticide bi nding and may affect germination. They must demonstrate practical knowledge of hazards asso ciated with handling, sorting and mixing, and

misuse of treated seed such as in troduction of treated seed into f ood 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 applicati on rates, incorrect formulations, and faulty application of restricted use pest icides used in this category. They shall demonstrate practical knowledge of various water use situ ations and the potential of downs tream effects. Further, they must have practical knowledge concerning potential pe sticide effects on plants, fish, birds,

beneficial insects and other or ganisms 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 r ecognize 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, structur al and health related pest control . Applicators must demonstrate a practical knowledge of a wide variety of pests, incl uding 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, childr en, pregnant women, and elde rly people, is frequently a potential problem, applicators must demonstrat e practical knowledge of the specific factors which may lead to a hazardous condition, includi ng continuous exposure in the various situations encountered in this category. Because heal th 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 vectordisease transmission as it relates to and influen ces application programs. A wide variety of pests is involved, and it is essential that they be know n and recognized, and appr opriate life cycles and

habitats be understood as a basis for control st rategy. These applicator s shall have practical knowledge of a great variety of environments ra nging from streams to those conditions found in buildings. They should also have practical knowle dge of the importance and employment of such

non-chemical control methods as sanita tion, 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 pe sticides used in suppr ession and eradication programs. They shall demonstrat e knowledge of factors influenc ing introduction, spread, and population dynamics of relevant pests. Their knowledge shall extend beyond that required by

their immediate duties, si nce their services are frequently requ ired in other areas of the country where emergency measures are invoked to c ontrol 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 spectru m of pesticide uses. Many differe nt 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 dem onstration situation is required. Further, they should demonstrate an unde rstanding of a pe sticide-organism interactions and the importance of integrating pesticide use with ot her control methods. In general, it would be expected that applicator s doing demonstration pest cont rol 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 w ith restricted use pesticides should be expected to know the ge neral standards detailed in 171.4( b). In addition, they shall be expected to know the specific st andards 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 rest ricted use pesticides; and

(2) Doctors of Medicine and Doct ors of Veterinary Medicine a pplying 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 knowle dge of the pest problems and pe st control practices associated with his agricultural operations; proper storage, us e, handling and disposal of the pesticides and containers; and his related lega l 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 controll ed, timing and methods of application; safety precautions; any pre-harvest or re-entry restri ctions; and any specific disposal procedures.

(3) Apply pesticides in accordance with label in structions 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 covere d, speed at which application equipment will be driven, and the quantity dispersed in a given period of operation.

(4) Recognize local environmental si tuations that must be consider ed 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 sh all 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 sta ndards set forth above, to use the restricted use pesticides under limitations of applicable State and Federal laws and regu lations. A certification system shall employ a written or oral testing proc edure, 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 certificati on, is unable to read a label, the responsible State agency may employ a tes ting procedure, previ ously approved by the Administrator, which can adequate ly assess the competence of such person with regard to all of

the above standards. Certification must be re lated 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 inform ation 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 re quirements, including labeling, regarding the application of restricted use pest icides by noncertified applicators.

The availability of the certified a pplicator must be directly relate d to the hazard of the situation. In many situations, where the certified applicator is not required to be physically present, “direct supervision” shall include verifiab le instruction to the competent person, as follows: (1) Detailed guidance for applying the pesticide properly, a nd (2) provisions for c ontacting the certified applicator in the event he is needed. In other situations, and as require d by the label, the actual physical presence of a certified applicator ma y 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 applic ators of restricted use pesticides, the Governor

of that State shall submit a Stat e 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 admi nistering the plan throughout the State. Since several other agen cies or organizations may also be involved in administering portions of the State plan, all of these shall be id entified in the State plan, particularly any other agencies or organizations responsible for cer tifying 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 Prot ection Agency in carrying out the certification program. The numbers and job titles of the resp onsible officials of the lead agency and cooperating units shall be included.

(b) Contains satisfactory assurances that such le ad 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 promulga tion of such authorities. Plans approved on a contingency basis will be subject to such r easonable terms and conditions, concerning the duration of the contingency approval and othe r 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, w ho 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 citati ons to specific laws (whether enacted or pending enactment) and/or regulations (whether promulgate d 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 applicat ors, and for assessing criminal and/or civil penalties. Such grounds should include, at a minimum, misuse of a pesticide and falsif ication of any records required to be maintained by the certified applicator.

(B) Provisions for reviewing an applicator's cer tification 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 im posing 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, insp ection, 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 applicat ors to keep and mainta in for the period of at least two years routine operational records containing information on kinds, amounts, uses, dates, and places of application of restricted us e 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 Administrato r 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 co mmercial, by category, cu rrently 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 us e 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 activitie s related to use of restricted use pesticides fo r the next reporting period.

(vi) Any other proposed changes from the State pl an that would significantly affect the State certification program.

(2) Other reports as may be required by the Administ rator 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 Ad ministrator under §§171.1 through

171.6. Such assurances should consist of:

(1) A detailed description of the State's plan for certifying ap plicators and a discussion of any special situations, problems, and needs together with an explana tion 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 categ ory expected to be certified by

the State.

(C) The standards of competency elaborated by th e State. These shall conform and be at least equal to those prescribed in §171. 4 for the various categories of a pplicators utilized by the State.

The standards shall also cover ea ch of the points listed in the ge neral standards in §171.4(b) and the points covered in the appropriate sp ecific 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 examin ation questions; and a description of any performance testing used to determ ine competency of applicators.

(ii) For private applicators:

(A) An estimate of the number of private appl icators expected to be certified by the State.(B) The standards of competency elaborated by th e State. These shall conform and be at least equal to those prescribed in §171.5(a), including the five requi rements 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 St ate 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 appr opriate credentials or documents verifying certification of applicators.

(3) If appropriate, a description of any existi ng State licensing, certifi cation or authorization programs for private applicators or for one or mo re 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 applic ators so licensed, certified or authorized without any additional demonstra tion 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, ce rtified, or authorized have demonstrated their competency by written or oral testing proce dures or other acceptabl e equivalent system, conforming to the standards set forth in §171.5.

(4) A statement that the State accepts Fede ral employees qualified under the Government Agency Plan (GAP) as fully meeting the requir ements for certification by that State; or a description of any additional requ irements these employees must meet to apply restricted use pesticides in that State. Any such additional requ irements 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. Howe ver, within 60 days after fina l 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 arrang ements that a State has made or plans to make relating to reciprocity with other States or jurisdictions fo r the acceptance of certified applicators from those States or jurisdictions. However, those arrangements should meet these conditions:

(i) The State according reciprocity should provi de for issuance of an appropriate document verifying certification base d upon the certifying document issu ed by the other States or jurisdictions.(ii) The State according reciprocit y should have enforcement proce dures that cover out-of-State applicators determined to be competent and certified within the State or jurisdiction.

(iii) The detailed State or jurisdiction standard s of competency, for each category identified in the reciprocity arrangement should be sufficientl y 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 cer tified applicators. Such other regulatory activities, if described, will be considered by the Administrator in evaluating whether or not a State's certified applicat or program satisfies the requirem ents of §171.7 (a) through (e).

[40 FR 11702, Mar. 12, 1975]

§ 171.8 Maintenance of State plans

.

(a) Any State certifica tion program approved under §171.7 sha ll be maintained in accordance with the State plan approved under that secti on. 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 thei r responsibility to provide adequa te supervision of noncertified applicators.

(2) Provisions to ensure that certified applicator s continue to meet the requirements of changing technology and to assure a continuing level of comp etency 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 Admini strator. 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 administ ering the certification program in accordance with the State plan appr oved under §171.7, he shall so notify the State and provide for a hearing at the request of the St ate 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 useor supervise the use of re stricted 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 ma y have enumerated in their State plans as provided for under §171.7(e)(4).

(c) The employing Federal agency shall ensure that certified employees us ing 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 applic ators on Indian Reservations.

(a) On Indian Reservations 1 not subject to State jurisdiction the appropriate Indian Governing Body 2 may choose to utilize the Stat e certification program, with the concurrence of the State, or develop its own plan for certifying private and co mmercial applicators to use or supervise the use of restricted use pesticides.

(1) If the Indian Govern ing Body decides to utilize the Stat e certification program, it should enter into a cooperative agreement with the State. This agreement should in clude matters concerning funding and proper authority for enforcement pur poses. 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 Govern ing Body decides to develop its own cer tification 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 th e EPA Administrator for approval.

(b) On Indian Reservations where the State ha s assumed jurisdiction under other Federal laws, anyone using or supervising the use of restricted us e pesticides shall be certified under the appropriate State certification plan.

(c) Non-Indians applying restricted use pesticid es on Indian Reservations not subject to State jurisdiction shall be certified either under a State certification plan accepted by the Indian

1 The term Indian Reservation means any federally-recognized reservation established by Treaty, Agreement, Executive Or der, 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 jurisd iction of the United St ates and recognized by the United States as possessing power of self-government.Governing Body or under the Indian Reservation certification plan.

(d) Nothing in this section is intended either to confer or deny jurisd iction 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 Tr ibal 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 Re servation 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 ce rtification. Private app licator certification shall authorize only those uses, or th e supervision of those uses, de scribed in §171.2(t). Commercial applicator certification shall aut horize 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 se ction are the same as those liste d in §171.3(b). Determination of competency in each category shall conf orm 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 ar e 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 in itially certified as a commercial applicat or under this paragraph, an individual must take and pass written exam inations approved by the Administrator and administered by the Administrator or any othe r party approved by him or her. A general examination will be given, based on the genera l standards found in §171.4(b) and the standards for supervision found in §171.6. In addition, spec ific 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 no tify the individual in writing of the results of the examinations within 45 days unless special ci rcumstances 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 commerci al applicator certificat e 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 issuan ce, unless earlier suspe nded or revoked by the Administrator (two years from the date of issuan ce, in the case of certificates issued prior to [effective date of amended rule]), and is valid within the State or Indi an Reservation named onthe certificate.

(5) Re-examination . Individuals failing to pass the require d 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 comp leting any available training program approved for this purpose by the Administrator. Recertificati on procedures must be completed by the certified commercial applicator during the twelve month pe riod preceding the expirati on date of his or her

certificate.

(7) Recordkeeping requirements . (i) Each self-employed certifie d 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 restri cted use pesticide applied on property owned or operated by another person shall ke ep and maintain at th eir principal place of

business true and accurate records of the use of restricted use pesticid es, providing the following

information:

(A) Name and address of the person fo r whom the pesticide was applied;

(B) Location of the pe sticide application;

(C) Target pest(s);

(D) Specific crop or commodity, as appropriate, a nd 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 applie d and percentage of active ingred ient per unit of the pesticide

used; and

(H) Type and amount of th e 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 Offi ce. In order to be certified or recertified as a private applicator to use restricted use pestic ides, 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 Administ rator will offer one or more of the followingcertification options, including at least one option which does not re quire 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 appr oved 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 indi vidual has successfully complete d the training course. Subject to the approval of the Administrator, this dem onstration may be accomplished by completion of a no pass/no fail written questionnaire or a workbo ok, receipt of a passing grade in an approved course offered by an educational instituti on, or any other equivalent procedure.

(ii) Written examination . The individual may pass a written examination approved by the Administrator and administered by the Administra tor or any other party approved by him or her.

(iii) Self-study program . The individual may successfully co mplete a self-study learning program approved by the Administrator and administer ed by the Administrato r or any other party approved by him or her.

(iv) Non-reader certification . Non-readers may be certified for sp ecific 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 hi m 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 priv ate applicator certificate to each individual who successfully comp letes any available certificati on option. Individuals who, for any reason, fail to complete successfully a certif ication option may attempt to complete the same option or, if available, an altern ative option. A private applicator certificate is valid for a period of four years from the date of issuance (three ye ars from the date of issuance, in the case of

certificates issued before [effective date of am ended rule]), unless earlier suspended or revoked by the Administrator, and is valid within th e 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 av ailable certification op tion 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 Trib al certificate without fu rther demonstration of competency. The individual shall submit the EP A certification form and written evidence of valid certification to the appropriate EPA Regi onal Office. The Administrator may deny issuance of such certificate if the standards of competen cy for each category or s ubcategory identified in the other Federal, State or Tribal certificate are not sufficiently comparable to justify waiving further demonstration of competency. The Admini strator 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 certi ficate issued under this paragraph is valid for two years for commercial applicators and thre e years for private applicators, or until theexpiration date of the original Federal, State or Tribal certif icate, whichever occurs first.

(f) Denial, suspension, modification or revocation of a certificate . (1) The Administrator may suspend all or part of a certif icate issued pursuant to this se ction, or, after opportunity for a hearing, may deny issuance of, or revoke or modify, a certificate issued pursua nt to this section, if he or she finds that the applicant or certificat e holder has been convict ed under section 14(b) of the amended FIFRA, has been subject to a fi nal order imposing a civi l penalty under section 14(a) of the amended FIFRA, or ha s 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 clas sified for restricted use other

than in accordance with secti on 3(d) of the amended FIFRA a nd 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 rest rictions on or in a duly issued certificate; or,

(vi) Violated any provision of the amended FIFR A and the regulations promulgated thereunder.

(2) If the Administrator decides to deny, re voke, 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, revo cation or modification is effective, whether permanent or otherwise;

(C) The conditions, if any, under which the indivi dual may become certified or recertified; and,

(D) Any additional conditions the Administrator may impose.

(ii) Provide the applicant or cer tificate 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 applican t 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 ar guments relevant to the proposed action;

(iii) Provide the affected applican t or certificate holder such othe r procedural opportu nities as theAdministrator may deem appropriate to en sure a fair and impartial hearing; and

(iv) Appoint an attorney in the Agency as Pr esiding Officer to conduct the hearing. No person shall serve as Presiding Officer if he or she ha s 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 impartia l hearing, without unnecessary delay;

(ii) Consider all relevant evidence, explanat ion, comment, and argument submitted pursuant to paragraphs (f)(3)(ii) and (iii ) of this section; and,

(iii) Promptly notify the affected applicant or cert ificate 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 al l or part of a certificate, he or she will:

(i) First determine that the public health, inte rest or welfare warrant s 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 peri od during which the suspension is effective; and,

(iv) Notify the certificate holder of his or her intent to revoke or modi fy the certificate, as appropriate, in accord with paragraph (f)(2) of th is section. If such revocation or modification notice has not previously been issued, it will be i ssued at the same time the suspension notice is

issued.

(6) In cases where the act constituting grounds fo r 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 pr ocedural rights under 5 U.S.C. 558(c).

(7) Any notice, decision, or order issued by the Ad ministrator under paragraph (f) of this section, and any documents filed by an applicant or certif icate holder in a heari ng under paragraph (f) of

this section, shall be availabl e to the public except as otherwis e 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, excep t that the Presiding Officer may exclude the public to the extent necessary to allow presentation of informati on 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 re quirements, 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 a nd training program shall:

(i) Report to the Environmental Protection Ag ency (EPA) the business name by which the restricted use pesticide retail de aler operates, and the name and business address of each of hisdealerships. For dealers or dealerships in Nebras ka 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 ap propriate 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 re gional 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 pe sticide retail dealer shall maintain at each individual dealership records of each transact ion 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 tr ansaction, and shall include the following information:

(A) Name and address of the residence or principa l place of business of ea ch person to whom the pesticide was made available for use.

(B) The certification number on the document eviden cing that person's certif ication, 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, a nd the State special local need registration number, granted under section 24(c) of the FIFR A (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 availa ble to an uncertified person for use by a certified applicator. Records of each such transaction sha ll 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 numbe r, the State (or other governmental unit) that

issued his certification document , the expiration date of the cert ification, and the categories inwhich 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 FIFR A (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 recomm ends that the dealer obtain the information required in paragraph (g)(2)(ii) (A) through (C) of th is section and assure himself that the restricted use pesticide is made available for use by a certified applicat or by examining one of the following sets of documents:

( 1 ) The original of the certified a pplicator'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 appli cator's certification document, together with a statement signed by the certified applicator auth orizing the uncertified person to purchase the restricted use pesticide on his behalf, and a driv er'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 a pplicator's certification document, together with a copy of a signed contract or agreemen t, between the uncertified person to whom the restricted use pesticide is being made av ailable 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 a ny report required under this paragraph, failure to maintain or fa lsification of records as required under this section, and making available for use any pest icide classified for restricted use to a person who is not a certified commercial appl icator other than in accordance with these regulations and section 3(d) of the amende d 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]