1

EPA Plan for the Federal Certification of 

Applicators of Restricted Use Pesticides within 

Indian Country

November 19, 2013
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Table	of	Contents

I. Executive Summary......................................................................................................... 3

II. Introduction .................................................................................................................... 3

III. Background................................................................................................................... 3

IV. Definitions .................................................................................................................... 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. Pesticide Dealer Reporting Requirements.............................................................. 12

C. Inspections.............................................................................................................. 12

D. Revocation, Suspension and Modification............................................................. 13

E. Penalties.................................................................................................................. 13

XII. Appendices................................................................................................................ 15
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I. Executive 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 

Code of Federal Regulations (CFR) Section 171.11, the United States Environmental 

Protection Agency (EPA) is implementing a federal pesticide applicator certification plan 

(EPA plan) for those areas of Indian country1 where no other EPA-approved or EPAimplemented plan applies. This EPA plan 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 actions as appropriate.

II. Introduction

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 only 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 only be applied by or under the direct supervision of a certified 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 by the certification.

A person becomes 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 describes 

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. Background

 

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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 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 reservations, and thus as Indian country.
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Among other things, EPA’s regulations under 40 CFR Part 171 provide that:

1) An Indian tribe may develop its own plan for certifying private and 

commercial applicators to use or supervise the use of RUPs, subject to the 

approval of EPA;

2) If a tribe does not develop its 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 plan is in 

effect.

Four 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 legally apply RUPs in Indian country to the 

extent approved 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 apply RUPs. This may involve contacting both the 

EPA Regional Office and the tribe. Additionally, federal, 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 apply 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 federal certification plan that effectively meets their needs and those of 

RUP applicators in Indian country. In addition, Region 8 held three formal consultations 

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 ensure
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RUPs are used legally and safely. On April 20, 2011, EPA announced 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 closed on July 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. EPA believes that the final EPA plan

addresses all of the concerns raised during the consultations and public comment periods

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 of applicators of RUPs in Indian country where no other EPAapproved or EPA-implemented plan applies. Implementation of this EPA certification

plan will 1) provide a mechanism by which individuals can become legally 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. Definitions

See Appendix A for relevant definitions.

V. Applicability of the EPA Plan

EPA will implement this plan within those areas of Indian country where no other EPAapproved 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 utilization 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, some 

tribes may choose to further restrict or prohibit the use of RUPs in their areas through the

implementation of tribal codes, 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 currently considering revising the federal applicator certification regulations. EPA 

will revisit this plan if/when the regulation revisions are finalized to modify this plan if

necessary to comply with any new requirements.

VI. Legal Authority
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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-approved state or tribal certification plan.

Additional enforcement authorities are contained in Sections 8, 9, 13, 14, and 23 of 

FIFRA. Also see the FIFRA Enforcement Response Policy at 

http://www2.epa.gov/sites/production/files/documents/fifra-erp1209.pdf .

VII. Lead Agency

EPA will administer 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 general 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 with 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 by December 31st of each calendar year through EPA’s Certification and 

Training database website: http://cpard.wsu.edu .
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VIII. Applicator Requirements and Options for Classification 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 EPAapproved 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 contained in 40 CFR §§ 171.11(d) & (e) to issue 

certifications if the applicator either:

(1) Submits documentation, such as a photocopy 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 option, 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 generally not available to applicators 

intending to obtain federal certification, 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 

demonstration of competency.

If the applicator intends to apply in multiple areas of 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.

Or

(2) Submits documentation of completion of the on-line training course 

provided by 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 The 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.
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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 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 adequately attain the knowledge necessary to apply restricted 

use pesticides. All courses used for this certification must be stateapproved 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 years.

Renewal/recertification: Applicators may apply 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:

Submits documentation, such as a photocopy 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 underlying certificate
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(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 generally 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 of 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 

certificate is suspended or revoked.

Renewal/recertification: Applicators may apply to be recertified through the 

options listed in Section VIII (B) of this plan during the 12 months preceding the 

expiration of their current certificate.

IX. Applicator Categories

EPA will recognize the applicator categories authorized in the underlying state, tribal, or 

other certificate. Underlying 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 categories, 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 supervisors are the registrants, which may be federal 

agencies, state agencies or Indian tribes. No Indian tribe currently has a registration for 

sodium cyanide capsules used with ejector devices.

Registrations for sodium fluoroacetate used in livestock protection collars are currently 

limited to one federal agency; to state agencies in Montana, New Mexico, South Dakota 

and Wyoming; and to a private entity whose registered product may only be used in 

Texas. No Indian tribe currently has a registration for sodium fluoroacetate used in 

livestock 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 two 
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scenarios. First, if the relevant Indian tribe for the area of Indian country at issue has

obtained its own registration for the product and conducts its own monitoring and 

supervision, applicators with a valid underlying 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 Department of Agriculture’s Animal 

and Plant Health Inspection Service is currently the only federal agency that is a 

registrant. EPA expects that APHIS, or another 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. Certification Procedures

Persons seeking certification as a commercial applicator to apply RUPs in Indian country

must submit to EPA, at one of the addresses noted below, a completed “Pesticide 

Applicator Certification Form,” EPA Form 7100-01 (Appendix B), along with proof 

(copy of certificate, credential, license or other documentation) of a valid federal, state, or 

tribal certification that authorizes the use of RUPs. Individuals 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 (copy of certificate, credential, 

license or other documentation) of a valid federal, state, or tribal certification authorizing 

the use of RUPs; or (2) documentation showing they have completed 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 by fine or imprisonment (U.S. Code, Title 18, Section 1001).

The Pesticide Applicator Certification Form can be downloaded from 

http://www2.epa.gov/pesticide-applicator-certification-indian-country or may be obtained 

by contacting the pesticide program in the appropriate EPA Regional office directly.

Region Address

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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 
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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

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Pesticide Applicator Certification Coordinator

U.S. Environmental Protection Agency - Region 7

WWPD/TOPE/PEST

901 N. 5th St

Kansas City, KS 66101

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US EPA, Region 8

Attn: Region 8 Certification

1595 Wynkoop St, 8P-P3T

Denver, CO 80202

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Federal Plan Coordinator

Pesticides Office (CED-5)

U.S. EPA Region IX

75 Hawthorne St.

San Francisco, CA 94105-3901

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Federal Pesticide Applicator Certification Program

Pesticides & Toxics Unit

US EPA, Region 10

1200 Sixth Ave, Ste. 900, OCE-084

Seattle, WA 98101

XI. Enforcement of the Plan

A. Enforcement Authority

EPA will, as appropriate, enforce 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

with 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 only used by applicators certified under this EPA plan in areas where it applies.

EPA will also ensure that pesticide applicators and dealers comply with the 
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requirements of FIFRA and the implementing regulations, including provisions of 

this EPA plan specified in 40 CFR § 171.11, in Indian country. For example, 40 CFR 

§ 171.11(c)(7) requires that commercial applicators maintain records.

During the six-month period after publication of this final plan, EPA will allow 

applicators to apply RUPs under the plan in Indian country only for the categories for 

which they already have a valid state, tribal or federal certificate3if 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 applying RUPs in Indian 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 by 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.5The reports must be submitted 

within 60 days of the effective date of this plan or within 60 days after the person first 

becomes an RUP retail dealer.

As described in 40 CFR § 171.11(g)(2), the dealer must maintain records of RUP 

transactions.

C. Inspections

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, violations 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-month period after publication 

of the final plan.

4 Although predicated in part on the applicator's existing valid certification, any use permitted under this 

plan 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.
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EPA has the authority to review RUP dealer records and certified applicator records 

pursuant to Section 8 of FIFRA, 7 U.S.C. § 136f and Section 11 of FIFRA, 7 U.S.C. § 

136i-1(b), and 40 CFR §§ 171.11(g)(3) and (c)(7). Federally credentialed 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 by the FIFRA Enforcement Response Policy

(http://www2.epa.gov/sites/production/files/documents/fifra-erp1209.pdf) and as 

consistent with other EPA policies.

D. Revocation, Suspension 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 acts 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 comply 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 certificate, 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 necessary. 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. § 136l, as amended by 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 a 
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$7,500 for each offense as civil penalties and up to $25,000 or imprisonment, for not 

more than one year, or both, for each offense as criminal penalties. Private 

applicators, subsequent to receiving a written warning, can be assessed a civil penalty

up to $1,100, 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 actions are conducted consistent with applicable EPA enforcement and

tribal policies and guidance.
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XII. Appendices

Appendix A. Definitions

Certification:

The term certification means the recognition by a certifying agency that a person is 

competent and thus authorized to use, or supervise the use of, 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 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 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 reservations, and 

thus as Indian country.

Pesticide:

The term ‘‘pesticide’’ means (1) any substance or mixture of substances intended for 

preventing, destroying, 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 normally sterile areas of the body and the term ‘‘semi-critical de-
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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 person. 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 Form
18
19

INSTRUCTIONS FOR COMPLETING EPA FORM 7100-01

PAPERWORK 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 commercial 

applicators since this information 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 applicator 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. Attach a photocopy 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 applying 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 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 
20

training will take an applicator at least 8 to 16 hours to adequately attain the knowledge necessary 

to apply 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).

If you have questions about what courses are applicable, 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 expiration 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 collection 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 form 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 website 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 full 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 Certification Program

Pesticides & Toxics Unit

US EPA, Region 10

1200 Sixth Ave, Ste. 900, OCE-084

Seattle, WA 98101