1



## EPA Plan for the Federal Certification of **Applicators of Restricted Use Pesticide**  **s within** 

**Indian Country**

**November 19, 2013**2 

### Table	of	Contents I. Executive Summary ................................ ................................ ................................ ......... 3 II. Introduction ................................ ................................ ................................ .................... 3 III. Background ................................ ................................ ................................ ................... 3 IV . Definition s ................................ ................................ ................................ .................... 5 V. Applicability

of the EPA Plan ................................ ................................ ........................ 5 VI . Legal Authority ................................ ................................ ................................ ............. 5 VII. Lead Agency ................................ ................................ ................................ ................ 6 A. Funding and Personnel ................................ ................................ ............................. 6 B. Reporting ................................ ................................ ................................ .................. 6 VIII. Applicator Requirements and Options for Classification and Certification .............. 7 A. Private Applicators ................................ ................................ ................................ ... 7 B. Commercial Applicators ................................ ................................ .......................... 8 IX . Applicator Categories ................................ ................................ ................................ ... 9 X. Certification Procedures ................................ ................................ ............................... 10 XI . Enforcement of the Plan ................................ ................................ ............................. 11 A. Enforcement Authority ................................ ................................ .......................... 11 B. P esticide Dealer Reporting Requirements ................................ .............................. 12 C. Inspections ................................ ................................ ................................ .............. 12 D. Revocation, Suspension and Modification ................................ ............................. 13 E. Penalties ................................ ................................ ................................ .................. 13 XII. Appendices ................................ ................................ ................................ ................ 153

**I. E x**  **ecutive Summary** Under the authority

of Section 11(a)(1) of the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) , and in accordance with the regulations found at Title 40 of the C o de of Federal Regulations (CFR) Section 171.11, the United States Environmental Protection Agency

(EPA) is implementing a federal pesticide applicator certification plan ( EPA p lan) for those areas of Indian country 1 where no other EPA - approved or EPA implemented plan applies . This EPA p lan describes a program for the certification of applicators of restricted use pesticides (RUPs) in Indian country based on the certification requirements enumerated at 40 CFR Part 171. EPA will administer routine maintenance activities associated with implementation of this plan , including application processing, database management and recordkeeping , and will conduct inspections and take enforcement action s as appropriate. **II. I ntroduction**  Under FIFRA, pesticides (or the particular use or uses of a pesticide) that may generally cause , without additional regulatory restrictions , unreasonable adverse effects on the environment , including injury to the applicator, shall be classified for “restricted use . ” If the classification is made because of hazards to the applicator, the pesticide may onl y be applied by

or under the direct supervision of a certified applicator . If the classification is made because of potential unreasonable adverse effects on the environment, the pesticide may onl y be applied b y or under the direct supervision of a cer tified applicator or subject to such other restrictions as the EPA Administrator may provide by

regulation. To be certified, an individual must be determined to be competent with respect to the use and handling of pesticides covered b y the certification. A person become s a certified applicator through meeting the requirements of a certification plan approved by EPA and that is administered by a pertinent state, tribal, territorial or federal agency , or is implemented by EPA. This certification plan describ es the process for becoming certified to use RUPs within areas of Indian country where no other EPA - approved or EPA - implemented certification plan applies , and how EPA will implement the plan . **III. B ackground** 

1 Indian country: As defined at 18 U.S.C. § 1151: (a) all land within the limits of any Indian reservation under the jurisdiction of the United States Government, notwithstanding the issuance of any patent, and, including rights - of

- way running through the reservation; (b) all dependent Indian communities within the borders of the United States whether within the original or subsequently acquired territory thereof, and whether within or without the limits of a state; and (c) all Indian allotments, the Indian titles to which have not been extinguished, including rights - of - way running through the same. Consistent with the s tatutory definition of Indian country, as well as federal case law interpreting this statutory language, EPA treats lands held by the federal government in trust for Indian tribes that exist outside of formal reservations as informal reservations, and thus as Indian country.4

Among other things, EPA’s regulations under 40 CFR P art 171 provide that : 1) An Indian tribe may

develop its own plan for certifyingprivate and commercial applicators to use or supervise the use of RUPs , subject to the approval of EPA ; 2) If a tribe does not develop it s own certification plan , the tribe may choose to utilize a state’s certification program, with the concurrence of that state , subject to the approval of EPA ; or 3) EPA can implement a federal plan for the certification of applicators of RUPs where no other EPA - approved state or tribal applicator certification pl an is in effect . F our tribes currently

have their own certification plans pursuant to 40 CFR § 171.10(a)(2)

– the Three Affiliated Tribes of the Fort Berthold Indian Reservation , the Cheyenne River Sioux Tribe , the Rosebud Sioux Tribe , and the Shoshone - Bannock Tribes of the Fort Hall Reservation . There is also an EPA federal plan for the Navajo Nation . In addition, EPA is aware of two tribes , the Santee Sioux Tribe of Nebraska and the Prairie Band Potawatomi Nation, that have a Memorandum of Understanding with a state pursuant to 40 CFR § 171.10(a)(1) . Federal employees with a valid certification issued under an EPA - approved federal agency

certification plan may

also legall y apply

RUPs in Indian country to the extent approve d in that plan as necessary to carry out their agency ’s mission. EPA is therefore implementing this plan for the federal certification of applicators of RUPs in areas where there is no EPA - approved state or tribal applicator certification plan in effect . Since certification plans may change or new plans may be implemented, applicators should determine which plan applies, and the certification requirements, for the area of Indian country

where they

intend to appl y RUPs. This may involve contacting both the EPA Regional Office and the tribe. Additionally , f ederal, state and tribal governments may impose different requirements on the purchase and application of RUPs. Applicators are encouraged to research these particular requirements to determine how they may affect their ability

to purchase and appl y RUPs , and consider any restrictions or requirements as they

decide if this EPA certification will serve their needs. EPA consulted with tribes on November 29 and December 13, 2010 to ensure development of a fede ral certification plan that effectivel y meets their needs and those of RUP applicators in Indian country . In addition, Region 8 he ld three formal consultation s with the tribes located in Region 8 . During the consultations, several issues were discussed, such as the desire for notifying tribes prior to RUP use, the need to ensure the competency

of private applicators, and the possibility of an opt - out provision in the EPA plan . EPA sought comment on these specific issues during the public comment period for the proposed plan . Additional concerns raised during the consultation were that EPA respect tribal sovereignty, not require unfunded mandates, and provide adequate enforcement to ensure5

RUPs are used legall y and safel y. On April 20, 2011, EPA announc ed a comment period on a proposed EPA plan for Region 8 Indian country ; the comment period closed on June 6, 2011. On May

18, 2011, EPA announced a comment period on the proposed EPA plan for other areas of Indian country ; that comment period cl osed on Jul y 5, 2011. Because of the similarities with the two plans, and the similar timing for implementation, EPA decided to merge the two plans into one. E PA believes that the final EPA plan addresses all of the concerns raised during the consultations and publi c comment period s for both plans . EPA intends to continue consulting with tribes , as appropriate, whose Indian country

is subject to this federal plan regarding the use of RUPs in their areas . Therefore, in accordance with 40 CFR § 171.11, EPA will implement this plan for the federal certification o f applicators of RUPs in In dian country where no other EPA approved or EPA - implemented plan applies . Implementation of this EPA certification plan will 1) provide a mechanism by which individuals can become legall y certified; 2) establish requirements that ensure and demonstrate competency in the proper use and application of RUPs in Indian country ; and 3) ensure that an applicator adheres to certification requirements . **IV. D efinitions**  See Appendix A for relevant definitions. **V. A pplicability of the**  **EPA P lan**  EPA will implement this p lan within those areas of Indian country where no other EPA approved or EPA - implemented plan applies . Tribes may

continue to pursue options available under 40 CFR § 171.10 (a) for their areas of Indian country , including seeking EPA approval of tribal plans under 40 CFR § 171.10 (a)(2) or the utiliz ation of a state’s certification program under 40 CFR § 171.10 (a)(1) . An option implemented under 40 CFR § 171.10 (a) , once approved by EPA, would replace this EPA plan for the relevant area of Indian country . Additionally , s ome tribes may choose to further restrict or prohibit the use of RUPs in their areas through the implementation of tribal code s , laws , regulations or other applicable requirements . This EPA plan does not supersede such tribal requirements. Applicators of RUPs in Indian country should take steps to determine if there are additional tribal requirements they must follow. EPA is currentl y considering revising the federal applicator certification regulations. EPA will revisit this plan if/when the regulation revisions are finalized to modif y this plan i f necessary to comply

with any new requirements . **VI. L egal Authority** 6

EPA will implement this plan under FIFRA section 11(a)(1) , as amended, and 40 CFR § 171.11 . The regulations at 40 CFR § 171.11(e) authorize EPA to issue certificates based upon the pesticide applicator first meeting the requirements for certification issued under any other federal or EPA - approv ed state or tribal certification plan . Additional enforcement authorities are contained in Sections 8, 9, 13 , 14 , and 23 of FIFRA. Also s ee the FIFRA Enforcement Response Policy at http://www2.epa.gov/sites/production/files/documents/fifra- erp1209.pdf . **VII. L ead Agency**  EPA will administ er this EPA plan for RUP applicators in Indian country . o EPA Regions will administer routine maintenance activities, including application processing, database management, recordkeeping and program oversight. The EPA Regions are also authorized to certify applicators consistent with this plan and conduct g eneral outreach. o EPA Regions will also conduct inspections as appropriate and take enforcement action under the FIFRA Enforcement Response Policy , as appropriate . o EPA Office of General Counsel, Office of Enforcement and Compliance Assurance, and Office of Regional Counsel will provide legal assistance, as appropriate . o EPA Office of Pesticide Programs will maintain an EPA website with a list of private and commercial applicators that have received a federal certification under this EPA plan , develop the annual report, and conduct general outreach. A. Funding and Personnel EPA has adequate resources to implement the EPA plan in Indian country consistent with the requirements of FIFRA and the regulations in 40 CFR Part 171. B. Reporting EPA will ensure that this plan is maintained and kept current in accordance w ith the requirements at 40 CFR Part 171. EPA will make the plan publicly available at EPA’s Certification and Training database website: http://cpard.wsu.edu/ and at http://www2.epa.gov/pesticide - applicator - certification - indian - country . EPA will update the plan as necessary . EPA will submit annual certification accomplishment reporting b y December 31 st of each calendar year through EPA’s Certification and Training database website : http://cpard.wsu.edu .7

**VI I**  **I. A pplicator**  **Requirements and Options for**  **Classif ication**  **and Certification**  Under this EPA plan , EPA will implement a program for the certification of private and commercial applicators to apply RUPs in those areas of Indian country where no EPA approved or EPA - implemented plan exists. A. Private Applicators For individuals seeking certification as a private applicator under the EPA plan , EPA will exercise its authority contain ed in 40 CFR §§ 171.11(d) & (e) to issue certification s if the applicator either : (1 ) Submi ts documentation, such as a photocop y of the certificate , of certification as a private applicator authorized to apply federally designated RUPs through a federal plan or an EPA - approved state or tribal plan with a contiguous boundary to the relevant area of Indian country . 2 Under this optio n , EPA may

issue federal certificates to persons who are certified as private applicators for the same category(ies) , if applicable, listed in the underlying federal, tribal, or state certificate (except for sodium cyanide capsules and sodium fluoroacetate used in livestock protection collars categories; see part IX. Applicator Categories of this plan for more information on these categories). If state or tribal certification is generall y not available to applicators intending to obtain federal certificati on, then the EPA Region may accept a state or tribal certification from another state or tribe that EPA determines has similar use conditions, patterns and pest pressures and has standards of competency

that are sufficient to justify waiving further demons tration of competency . If the applicator intends to apply in multiple areas of Indian country that are not contiguous to the same state or tribe, th e applicator will need to submit an underlying certificate for each state or tribe contiguous to the dif ferent areas of Indian country . O r (2 ) Submit s documentation of completion of the on - line training course provided b y EPA. While EPA developed the on - line training course, the Agency anticipated that the following interim training option would be needed : In the interim while EPA is developing the course, private applicators can pursue this option by

submitting documentation of completion of
2 T he area of Indian country where the applicator intends to apply must be within , or the border must be touching , the state or tribe that issued the underlying federal, tribal or state certificate .8 coursework or training that covers the general standards of competency outlined in 40 CFR 171.5 and 40 CFR 171.6. Thes e standards include practical knowledge of pest problems and pest control practices associated with agricultural operations; proper storage, use, handling and disposal of the pesticides and containers; related legal responsibility ; and practical knowledge of Federal supervisory requirements, including labeling, regarding the application of restricted use pesticides by noncertified applicators. Courses that cover the material outlined in 40 CFR 171.4(b) are also appropriate because they overlap with the material described in 40 CFR 171.5 and 40 CFR 171.6. For those taking the state training in the interim, EPA expects that this training will take an applicator at least 8 to 16 hours to adequatel y attain the knowledge necessary to appl y restricted use pesticides. All courses used for this certification must be state approved from states that have Administrator- approved certification plans, or otherwise approved by the Administrator. Training must be completed within the two years prior to certification. A false statement in this certification, including regarding the completion of training, may be grounds for denial of certification and may be punishable by

fine or imprisonment (U.S. Code, Title 18, Section 1001). However, EPA has developed the online training , and while it is available, will not be using the interim option described both in this plan and on the application form. Length of certification: A private applicator certificate issued under Section VIII(A)(1) of this plan expires at the expiration date of the underlying certificate , unless the certificate is suspended or revoked . A private applicator certificate issued under Section VIII(A)(2) of this plan is valid for four ye ars. Renewal/recertification: Applicators may appl y to be recertified through the options listed in Section VIII (A) (1) and (2) of this plan during the 12 months preceding the expiration of their current certificate. B. Commercial Applicators For individuals seeking certification as a commercial applicator under the EPA plan , EPA will utilize authority contained in 40 CFR § 171.11(e) to issue certification as described below if the applicator :

Submit s documentation, such as a photocop y of the certificate, of certification as a commercial applicator authorized to apply federally designated RUPs under any other EPA - approved federal agency plan, or EPA - approved state or tribal plan with a contiguous boundary to the relevant area of Indian country . Under this option , EPA may

issue federal commercial certificates to persons who are certified as commercial applicators for the same category(ies) listed in their underl ying certificate9 (except for sodium cyanide capsules and sodium fluoroacetate used in livestock protection collars categories; see part IX. Applicator C ategories of this plan for more information on these categories) . If state or tribal certification is generall y not available to applicators intending to obtain federal certification, then the Region may accept a state or tribal certification from another state or tribe that EPA determines has similar use conditions, patterns, and pest pressures and has standards of competency

that are sufficient to justify waiving further demonstration of competency . If the applicator intends to apply in multiple areas o f Indian country that are not contiguous to the same state or tribe, the applicator will need to submit an underlying certificate for each state or tribe contiguous to the different areas of Indian country . Length of certification: Under 40 CFR § 171.11(e ), a commercial applicator certificate expires at the expiration date of the underlying certificate, unless the certifi cate is suspended or revoked. Renewal/recertification: Applicators may appl y to be recertified through the options listed in Section VII I (B) of this plan during the 12 months preceding the expiration of their current certificate. **I X**  **. Ap plicator Categories**  EPA will recognize the applicator categories authorized in the underlying state, tribal, or other certificate . Underl ying certificates from different states, tribes or federal agencies may have different applicator categories and will be reflected in the certificate issued under the EPA plan. Applicators will be authorized to apply RUPs in Indian country under those categorie s, except for the following : For sodium cyanide capsules used with ejector devices for livestock predator control , a use restriction requires that supervisors of applicators monitor the applicators of those products . As stated on the labels, the superviso rs are the registrants, which may be federal agencies, state agencies or Indian tribes. N o Indian tribe currently has a registration for sodium cyanide capsules used with ejector devices. Registrations for sodium fluoroacetate used in livestock protection collars are currentl y limited to one federal agency ; to s tate agencies in Montana, New Me xico, South Dakota and Wyoming; and to a private entity whose registered product may onl y be used in Texas. N o Indian tribe currentl y has a registration for s odium fluoroacetate used in l ivestock protection collars. Under this EPA plan, a federal certificate will only include a sodium cyanide capsule category or sodium fluoroacetate livestock protection collar category under two10

scenarios. First, i f the relevant Indian tribe for the area of Indian country at issue has obtain ed its own registration for th e product and conduct s its own monitoring and supervision , a

pplicators with a valid underl ying certificate for the category may apply to receive the category for the area of Indian country at issue . Second, EPA may issue federal certifications for one or both of these products to federal employees whose agencies are a registrant for sodium cyanide capsules used with ejector devices or sodium fluoroacetate used in livestock protection collars if those employees have a valid underlying certificate for these categories. The U . S D epartment of A griculture’s Animal and P lant H ealth Inspection S ervice is currentl y the only federal agency that is a registrant. EPA expects that APHI S , or an other federal agency , will have an agreement with the tribe to apply

these pesticides prior to any applications of these pesticides in a particular area of Indian country . **X. Ce rtification Procedures**  Persons seeking certification as a co mmercial applicator to appl y RUPs in Indi an country must submit to EPA , at one of the address es noted below, a completed “ Pesticide Applicator Certification Form,” EPA Form 7100 - 01 (Appendix B ) , along with proof (cop y of certificate, credential, license or other documentation) of a valid federal, state, or tribal certification that authorizes the use of RUPs . In dividuals seeking to be certified as private applicators must submit a completed “ Pesticide Applicator Certification Form ,” EPA Form 7100 - 01 (Appendix B ) , with either (1) proof (cop y of c ertificate, credential, license or other documentation) of a valid federal, state, or tribal certification authorizing the use of RUPs ; or (2) documentatio n showing they have complete d the required training as described in Section VIII.A.2 . A false statement in this certification, including regarding the completion of training, may be grounds for denial of certification and may be punishable b y fine or impri sonment (U.S. Code, Title 18, Section 1001). The Pesticide Applicator Certification Form can be downloaded from http://www2.epa.gov/pesticide - applicator - certification - in dian - country or may be obtained by contacting the pesticide program in the appropriate EPA Region al office directl y. **Region Address** 
1 Federal Plan Coordinator

Toxics and Pesticide Unit Pesticides Program (OES05 - 4) U.S. EPA - New England, Region 1 5 Post Office Sq, Suite 100 Boston, MA 02109
- 3912
2 U.S. Environmental Protection Agency, Region 2

Pesticides Team Attn: Pesticide Certification Training Coordinator 2890 Woodbridge Avenue MS
- 500 Edison, New Jersey 08837 3 No Federally Recognized Tribes 4 Federal Tribal Plan Coordinator11 USEPA Region 4 - Pesticides Section 61 Forsyth Street SW SNAFC - 12th Floor Atlanta, GA 30303 5 Federal Pesticide Applicator Certification Program

U.S. EPA Land and Chemicals Division, CMB 77 W. Jackson Blvd. LC
- 8J Chicago, IL 60604 6 Federal Pesticide Applicator Certification Program

U.S. Environmental Protection Agency 1445 Ross Avenue, Suite 1200 Pesticides Section (6PD
- P) Dallas, Texas 75202 - 2722 7 Pesticide Applicator Certification Coordinator

U.S. Environmental Protection Agency
- Region 7 WWPD/TOPE/PEST 901 N. 5th St Kansas City, KS 66101 8 US EPA, Region 8

Attn: Region 8 Certification 1595 Wynkoop St, 8P
- P3T Denver, CO 80202 9 Federal Plan Coordinator

Pesticides Office (CED
- 5) U.S. EPA Region IX 75 Hawthorne St. San Francisco, CA 94105
- 3901 10 Federal Pesticide Applicator Certification Program

Pesticides & Toxics Unit US EPA, Region 10 1200 Sixth Ave, Ste. 900, OCE
- 084 Seattle, WA 98101 **XI. E nforcement of the**  **Plan** A. Enforcement Authority EPA will , as appropriate, enforc e this plan . States, tribes and other federal agencies that issued a certification upon which the federal certification described herein is based are not approved or authorized by EPA to assure compliance in Indian country w ith the federal certification provided by this plan . EPA has the authority

to take action, as appropriate, to ensure that RUPs are used in Indian country in accordance with their EPA - registered labeling and to ensure RUPs are onl y used b y applicators certified under this EPA plan in areas where it applies . EPA will also ensure that pesticide applicators and dealers comply with the12

requirements of FIFRA and the implementing regulations, including provisions of this EPA p lan specified in 40 CFR § 171.11, in In dian country . F or example, 40 CFR § 171.11(c)(7) requires that commercial applicators maintain records . D uring the six - month period after publication of th is final plan , EPA will allow applicators to appl y RUPs under the plan in Indian country only for the categories for which they

already have a valid state, tribal or federal certificate 3 if they submit a complete application to the relevant EPA Region showing proof of a valid state, tribal or federal certification. 4 Beginning six months after publication of the final plan , applicators who are covered under this plan and have not received a written federal certification from the relevant EPA Region are prohibited from appl ying RUPs in In dian country located in that Region . B. Pesticide Dealer Reporting Requirements Each RUP dealer in Indian country where this EPA plan applies must keep records and submit reports to EPA as set forth in 40 CFR § 171.11(g). Under 40 CFR § 171.11(g)(1), the dealer must report the business name b y which the RUP retail dealer operates, and the name and business address of each dealership. To comply with these reporting requirements, all pesticide dealers and pesticide dealerships located within Indian country covered by this plan must send such reports to the appropriate EPA Regional office. See Section X for the addresses. 5 The reports must be submitted within 60 days of the effective date of this plan or within 60 day s after the person first becomes an RUP retail dealer. As described in 40 CFR § 171.11(g)(2), the deale r must maintain records of RUP transactions. C. In spections EPA will enforce this EPA plan by conducting inspections , as appropriate, of RUP dealers and certified applicators in Indian country to ensure that RUP dealers are maintaining the required records, are making RUPs available for use in accordance with 40 CFR §171.11(g), and that applicators are certified in accordance with this plan. When a tribal inspector conducts an inspection under federal credentials under a cooperative agreement with EPA, vi olations are referred to EPA for enforcement action, as appropriate.

3 Please see Section IX for commercial applicator categories recognized under the Plan, as there are exceptions for sodium cyanide capsules used with ejector devices and sodium fluoroacetate used in livestock protection collars. These exceptions will also apply during the six - mo nth period after publication of the final plan. 4 Although predicated in part on the applicator's existing valid certification , any use permitted under this p lan is allowed by , and will be enforced only under , federal authority. 5 The addresses listed at 40 CFR 171.11(g )(1) are out of date.13

EPA has the authority

to review RUP dealer records and certified applicator records pursuant to Section 8 of FIFRA, 7 U.S.C. § 136 f and Section 11 of FIFRA, 7 U.S.C. § 136 i- 1(b) , and 40 CFR §§ 171.11(g)(3) and (c)(7) . Federall y credential ed EPA or tribal inspectors will investigate incidents, accidents and complaints related to pesticide use in Indian country and report to EPA for appropriate enforcement response as set forth b y the FIFRA Enforcement Response Policy (http://www2.epa.gov/sites/production/files/documents/fifra - erp1209.pdf ) and as consistent with other EPA policies . D. Revocatio n, Suspensi on and Modification EPA may , if appropriate, deny , modify , suspend or revoke a certificate, or take an enforcement action under FIFRA if the applicant or certificate holder has been convicted under section 14(b) of FIFRA or been subject to a final order imposing a civil penalty

under section 14(a) of FIFRA , or where any of the following act s listed in 40 CFR § 171.11(f) occur: o use of any registered pesticide in a manner inconsistent with its labeling; o making available for use, or use of , any registered pesticide classified for restricted use other than in accordance with section 3(d) of the amended FIFRA and any regulations promulgated thereunder; o refusal to keep and maintain any records required pursuant to this section; o making of false or fraudulent records, invoices or reports; o failure to compl y with any limitations or restrictions on or in a duly issued certificate ; or o violation of any

provision of the amended FIFRA and the regulations promulgated thereunder. Pursuant to 40 CFR § 171.11(e), EPA will also begin procedures to revoke, suspend or modify a certificate if the federal, state or tribal certificate upon which it is based is revoked, suspended or modified. If EPA decides to deny , revoke, suspend or modify a certif icate, EPA will notify (1) the applicant or certificate holder pursuant to the FIFRA Enforcement Response Policy and 40 CFR § 171.11(f)(2)(i) , and (2) the agency that issued the underlying certificate upon which the federal certificate was based, if necess ary. If the applicant or certificate holder requests a hearing pursuant to 40 CFR § 171.11(f)(2)(ii), EPA will follow the hearing process contained in 40 CFR § 171.11( f)(3) & (4). E. Penalties Under Section 14 of FIFRA, 7 U.S.C. § 136 l , as amended b y the Federal Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C. § 2461 and the Debt Collection Improvement Act of 1996, 31 U.S.C. § 3701, EPA has the authority to assess both civil and criminal penalties for violations of FIFRA. Commercial applicators , wholesalers, dealers, retailers or other distributors can be assessed a fine of up to a14

$ 7 ,500 for each offense as civil penalties and up to $25,000 or imprisonment, for not more than one ye ar, or both, for each offense as criminal penalties. Private app licators, subsequent to receiving a written warning, can be assessed a civil penalty up to $1, 1 00, or a criminal penalty of not more than a $1,000 fine and/or imprisonment, for not more than thirty (30) days, for each offense. EPA’s enforcement action s are conducted c onsistent with applicable EPA enforcement and tribal policies and guidance.15

**XII. Appendices Appendix A**  **.** Definitions Certification: The term certification means the recognition by a certifying agency that a person is competent and thus autho rized to use , or supervise the use of , RUPs . 40 CFR 171.2(a)(7) Commercial applicator: The term ‘‘commercial applicator’’ means an applicator (whether or not the applicator 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 paragraph (2) [private applicator definition] . FIFRA 2(e)(3) Indian country: As defined at 18 U.S.C. § 1151: (a) all land within the lim its of any Indian reservation under the jurisdiction of the United States Government, notwithstanding the issuance of any patent, and, including rights - of - way running through the reservation; (b) all dependent Indian communities within the borders of the United States whether within the original or subsequently acquired territory

thereof, and whether within or without the limits of a state; and (c) all Indian allotments, the Indian titles to which have not been extinguished, including rights - of - way running through the same. Consistent with the statutory

definition of Indian country , as well as federal case law interpreting this statutory language, EPA treats lands held by the federal government in trust for Indian tribes that exist outside of formal reservations as informal reservation s, and thus as Indian country . Pesticide: The term ‘‘pesticide’’ means (1) any substance or mixture of substances intended for preventing, destro ying, repel - ling, or mitigating any pest, (2) any substance or mixture of sub - stances intended for use as a plant regulator, defoliant, or desiccant, and (3) any nitrogen stabilizer, except that the term ‘‘pesticide’’ shall not include any article that is a ‘‘new animal drug’’ within the meaning of section 201(w) of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 321(w)), that has been determined by the Secretary

of Health and Human Services not to be a new animal drug by a regulation establishing conditions of use for the article, or that is an animal feed within the meaning of section 201(x) of such Act (21 U.S.C. 321(x)) bearing or containing a new animal drug. The term ‘‘pesticide’’ does not include liquid chemical sterilant products (including any sterilant or subordinate disinfectant claims on such products) for use on a critical or semi - critical device, as de - fined in section 201 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 321). For purposes of the preceding sentence, the term ‘‘critical device’’ includes any device which is introduced directly

into the human body , either into or in contact with the bloodstream or normall y sterile areas of the body and the term ‘‘semi - critical de -16

vice’’ includes any device which contacts intact mucous membranes but which does not ordinarily

penetrate the blood barrier or other - wise enter normally sterile areas of the body . FIFRA 2(u) Private applicator: 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

the applicator or the applicator’s employer or (if applied without compensation other than trading of personal services between producers of agricultural commodities) on the property of another perso n. FIFRA 2(e)(2) Restricted use pesticide (RUP): A pesticide that is classified for restricted use under the provisions of section 3(d)(1)(C) of FIFRA .17 

## Appendix **B** Pesticide Applicator Certification Form1819 **INSTRUCTIONS FOR COMPLETING EPA FORM 7100**  **- 01**  **PA PERWORK REDUCTION ACT NOTICE**  This form is to be used to request certification to purchase and apply Restricted Use Pesticides in Indian Country from the U.S. Environmental Protection Agency. 1. Fill out all of the information. An email address is requested but is not required. Phone number listed should be one at which you can be reached during business hours. The address should be your business address, if applicable, for com mercial applicators since this informati on will be posted to EPA's website . 2. Enter your birth date using the numerical month
- month
- date
- date
- year - year format. 3. Enter your EPA Federal Applicator Identification number if this is a renewal or request for a replacement card. 4. Certificate Type: Check appropriate box. If this is your first application for a pesticide applicator certification in Indian Country, check “Initial Certificate”. If contact information submitted on a previous form is erroneous or outdated, please use the “Replacement (Lost Card)” option. 5. Applicator Type: Check “Private Applicator” ONLY if you will be or are applying pesticides for production of an agricultural commodity on property owned or rented by you or your employer . All other applicators check “Commercial Applicator”. There is no “noncommercial” or “public” federal app licator type. 6. Certification Method: In most cases you will check “Requesting federal certificate based on valid federal, state or tribal certificate or license”. 6a. Enter the two character state for which you hold a valid certificate/license, if applicable, the applicator number for your existing certificate, and expiration date. Enter the code for the category or categories for which you are currently certified/licensed. A**ttach a photoco py of both**  **sides of your current and valid federal, state or tribal certification or license** . The underlying certificate needs to come from a state or tribe that shares a contiguous boundary with the area of Indian country in which you intend to apply RUPs . 6b. If you do not hold a valid federal, state or tribal applicator certificate and you are a pplying to be a private applicator, you may be certified after submitting documentation of completion of the on - line training course provided by EPA. However, in the interim while EPA is developing the course, private applicators can pursue this option by submitting documentation of completion of coursework or training that covers the general standards of competency outlined in 40 CFR 171.5 and 40 CFR 171.6. These standards include practical knowledge of pest problems and pest control practices associated with agricultural operations; proper storage, use, handling and disposal of the pesticides and containers; related legal responsibility; and practical knowledge o f Federal supervisory requirements, including labeling, regarding the application of restricted use pesticides by noncertified applicators. Courses that cover the material outlined in 40 CFR 171.4(b) are also appropriate because they overlap with the material described in 40 CFR 171.5 and 40 CFR 171.6. For those taking the state training in the interim, EPA expects that this20

training will take an applicator at least 8 to 16 hours to adequately attain the knowledge necessary to apply restricted use pesticide s. All courses used for this certification must be state - approved from states that have Administrator - approved certification plans, or otherwise approved by the Administrator. Training must be completed within the two years prior to certification. A false statement in this certification, including regarding the completion of training, may be grounds for denial of certification and may be punishable by fine or imprisonment (U.S. Code, Title 18, Section 1001). If you have questions about what courses are app licable, please contact the appropriate Regional office (see addresses on page 3). To determine the appropriate Regional office, see http://www.epa.gov/epahome/whereyoulive.htm . **Include documentation of completion of the**  **required training course(s).** To apply for recertification, complete one of the options described above during the 12 months preceding the expiratio n of your current certificate. 7. Sign and date the application and mail the application with a photocopy of both sides of your existing federal, state, or tribal pesticide applicator certificate/license (if you are requesting certification based on a federal, state, or tribal certification) to the appropriate Regional office (see addresses on pages 2 and 3). To determine the appropriate Regional office, see http://www.epa.gov/epahome/whereyoulive.htm **Paperwork Reduction Act Notice:** The public reporting burden for respondents completing this form is estimated to average about 10 minutes per response. Send comments (referencing OMB Control Number 2070
- 0029 and EPA Form 7100
- 01) about the burden estimate or any other aspect of this coll ection of information, including suggestions for reducing the burden to: Director, Collection Strategies Division (2822T), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., N.W., Washington, D.C. 20460. Do not send your completed application fo rm to this address. **Privacy Act Statement:** Title 7 United States Code, section 136i(a)(1) authorizes the collection of this information. The primary use of this information is to identify persons certified by EPA under the Agency’s federal certification plan which administers and oversees certification of applicators of restricted use pesticides. Disclosures of this information may be made pursuant to published routine uses, including to appropriate agencies for law enforcement purposes and to an EPA webs ite for information purposes. Providing the requested information is voluntary, but failing to do so may result in EPA’s inability to approve your request to become, or maintain your status as, a certified applicator of restricted use pesticides. For a ful l description of this system notice, including routine uses, see EPA - 59 [77 FR 2060; January 12, 2012].21

**Addresses for Submitting Form Region**  **Address**
1 Federal Plan Coordinator

Toxics and Pesticide Unit Pesticides Program (OES05 - 4) U.S. EPA - New England , Region 1 5 Post Office Sq, Suite 100 Boston, MA 02109
- 3912
2 U.S. Environmental Protection Agency, Region 2

Pesticides Team Attn: Pesticide Certification Training Coordinator 2890 Woodbridge Avenue MS
- 500 Edison, New Jersey 08837 3 No Federally Recognized Tribes 4 Federal Tribal Plan Coordinator

USEPA Region 4 - Pesticides Section 61 Forsyth Street SW SNAFC - 12th Floor Atlanta, GA 30303 5 U.S. EPA

Land and Chemicals Division, CMB 77 W. Jackson Blvd. LC
- 8J Chicago, IL 60604 6 U.S. Environmental Protection Agency

1445 Ross Avenue, Suite 1200 Pesticides Section (6PD
- P) Dallas, Texas 75202 - 2722 7 Pesticide Applicator Certification Coordinator

U.S. Environmental Protection Agency
- Region 7 WWPD/TOPE/PEST 901 N. 5th St Kansas City, KS 66101 8 US EPA, Region 8

Attn: Region 8 Certification 1595 Wynkoop St, 8P
- P3T Denver, CO 80202 9 Federal Plan Coordinator

Pesticides Office (CED
- 5) U.S. EPA Region IX 75 Hawthorne St. San Francisco, CA 94105
- 3901 10 Federal Pesticide Applicator Certific ation Program

Pesticides & Toxics Unit US EPA, Region 10 1200 Sixth Ave, Ste. 900, OCE
- 084 Seattle, WA 98101