Document ID: EPA-HQ-OPP-2007-0298-0002
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2007-06-13T04:00Z

SUPPORTING STATEMENT FOR

AN INFORMATION COLLECTION REQUEST (ICR)

IDENTIFICATION OF THE INFORMATION COLLECTION

1(a)	Title of the Information Collection:

	Certification of Pesticide Applicators

	OMB No:  2070-0029;  EPA No:  0155.09

1(b)	Short Characterization/Abstract

This information collection request is designed to provide the
Environmental Protection Agency (EPA) with the authority to administer
and oversee training and certification programs for pesticide
applicators in accordance with the Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA) and to enable EPA to collect certain data
regarding these programs from States, Indian tribes, and federal
agencies (collectively in this document termed “states” or
“entities”) with EPA-approved certification plans. 

FIFRA allows the EPA to classify a pesticide as “restricted use” if
the pesticide meets certain toxicity or risk criteria. Restricted use
pesticides, because of their potential to harm human health or the
environment, may be applied only by a certified applicator or by a
person under the direct supervision of a certified applicator.  A person
must meet certain standards of competency to become a certified
applicator. States can be delegated the certified applicator program,
but it must be approved by the Agency before it can be implemented.  In
non-participating entities, EPA administers the certification program.

NEED FOR AND USE OF THE COLLECTION

2(a)	Need/Authority for the Collection

Section 3(d) of FIFRA authorizes EPA to classify registered pesticides
as either general- or restricted-use (see Attachment A). Restricted-use
pesticides (RUPs) are those that, absent additional regulatory
restrictions, may cause unreasonable adverse effects on people or the
environment.  Pesticides classified as restricted use may only be used
by a certified applicator, or by a person under the direct supervision
of a certified applicator. A certified applicator is a person who has
taken specific training in the safe handling and application of
restricted-use products, and who has received license (certification) to
that effect. Section 11(a) of FIFRA grants EPA the authority to
prescribe standards for the certification of restricted-use pesticide
applicators (see Attachment B).  Section 11(a)(2) of FIFRA establishes a
certification program that allows states to implement applicator
certification after the state program has been approved by EPA.  While
the bulk of the certification program is implemented through the States,
in non-participating States or tribes EPA has authority to directly
administer certification programs.  The regulations for the
certification program in Title 40 part 171 of the Code of Federal
Regulations also include procedures for certification programs for
Federal agencies or Indian tribes who wish to develop their own plans in
lieu of using State certification programs (see Attachment C). 

The authority for this information collection activity is provided under
sections 3(d) and 11 of FIFRA and 40 CFR part 171.

2(b)	Practical Utility/Users of the Data

Annual reports from the states are used as a monitoring tool to develop
overall data on pesticide activities for OMB, Congress, and others; to
distribute EPA grant funds to participating states, to target
enforcement activities, and to revise certification and training program
emphasis and requirements.

An application form is used to obtain vital information from persons
applying for certification, such as name and address, and to schedule
applicators for certification or re-certification. 

State-administered certification programs use State authority to require
dealers to maintain records of restricted use pesticide sales.  Dealer
records are necessary for EPA to ensure that access to restricted use
pesticides is limited to certified applicators.  

A record of each application of a restricted use pesticide is required
by EPA under federally-run programs (currently the Navajo Indian Country
program) for certified commercial applicators.   EPA monitors these
records to assure that restricted-use pesticides are used only by, or
under the supervision of, certified applicators and to ensure that
pesticide labeling requirements are adhered to by requiring applicators
to record details of the restricted-use product application. Without
these records it would often be difficult to successfully enforce
against misuse.   		

Restricted use pesticide application records are also required for
certified commercial applicators under state-run programs.  These
records are monitored to assure that restricted-use pesticides are used
only by, or under the supervision of, properly trained and certified
applicators and to ensure that pesticide labeling requirements are
adhered to by requiring the applicators to record the application
(amounts, locations, and dates) of restricted use pesticides.  Without
these records it would often be difficult to successfully enforce
against misuse and ensure proper training and supervision of uncertified
applicators.

3.	NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a)	Non-duplication

EPA is the only Federal agency with the authority to certify applicators
of restricted use products.  However, the United States Department of
Agriculture (USDA) also has regulations which impact certified
applicators. In addition to providing most of the training for certified
applicators under an Interagency Agreement (IAG) with EPA, USDA has
regulations which require private and commercial applicators to maintain
detailed records regarding the application of restricted use pesticides.
 The records required by USDA under 7 CFR 110 are much more detailed
than those required by EPA under 40 CFR 171.

FIFRA prohibits EPA from requiring private applicators to keep records
or make reports, so there is no duplication with regard to private
applicators. In addition, although both USDA and EPA appear to impose
record-keeping requirements on commercial applicators, EPA’s
requirements are only a subset of USDA’s requirements and consist
mostly of information that is already maintained by commercial
applicators as part of their ordinary and customary business practices. 
As such there is no contradiction or practical duplication.

To prevent duplication and facilitate State reporting, EPA permits
States to use grant reports in lieu of the separate annual reports, and
States may amend their plan with an addendum. 

3(b)	Public Notice Required Prior to ICR Submission to OMB

	Pursuant to 5 CFR 1320.8(d), EPA is publishing a Federal Register (FR)
notice soliciting comment on this information collection activity and
the Agency’s intent to renew the OMB approval of this ICR.  The FR
notice and the proposed renewal ICR as well as any public comment are
located in the docket for this action, which can be accessed at  
HYPERLINK "http://www.regulations.gov"  http://www.regulations.gov 
using the docket indentifier EPA-HQ-OPP-2007-0298.

3(c)	Consultations

The regulations under 40 Code of Federal Regulations, Part 171 (40 CFR
171) were published in the Federal Register in 1974, 1975 and 1978 with
minor modifications in 1983 and 1984.  All sections of the regulations
provided a comment period for interested parties prior to promulgation. 
The comments received were evaluated by the Agency prior to issuance of
the final rule.  Continuous consultation and/or dialogue between
industry and the Agency occurs on an informal, on-going, "as needed"
basis, primarily during the submission and review of reports.  

In addition, during preparation of this ICR renewal, EPA staff will
contact representatives from a cross-section of respondents to seek
feedback on the burden estimates in the ICR, the clarity of instructions
provided, and other questions pertaining to the requirements of the
program.  Their responses to EPA’s consultation efforts will be
summarized and made publicly available.

3(d)	Effects of Less Frequent Collection

Only annual reports from participating States are submitted to EPA on a
routine basis. Annually is considered a minimal reporting period.  As
described earlier, most annual reporting information required under the
regulation is contained in the annual grant report, and can be submitted
as a joint package. Budget requests and the distribution of cooperative
agreement funds are also done on an annual basis. The annual report data
is used to support budget requests and to apportion cooperative
agreement funds. Less frequent collection of information would be less
efficient for overall State reporting.  In addition less frequent
collection of information would not allow the Agency to distribute these
funds in the most equitable manner, as data demonstrating need would not
be accurate.

3(e)	General Guidelines

EPA’s use of a form for applicators to apply for certification,
whenever the Agency administers the Certified Pesticide Applicator
program in the place of a State- or Tribal-administered program, is
required by FIFRA section 11(a)(1).  Since the last renewal of this ICR,
EPA needed to revise this form. The revision was necessary as the form
had been used only for private applicators, as the private applicator
program in Colorado was the only EPA-administered program at the time. 
Under this ICR renewal, the Navajo Indian Nation program will replace
the Colorado program as the only one administered by EPA.  The revision
to the form was necessary because the Navajo program will be for both
private and commercial applicators.  Pursuant to 5 CFR 1320.6, the
Agency sought and gained OMB approval of the revised EPA Form 8500-17-N,
Request for Pesticide Applicator Certification in Navajo Indian Country
(Attachment E).  This information collection activity does not exceed
any other of the Paperwork Reduction Act guidelines contained at 5 CFR
1320.6.

3(f)	Confidentiality

The activities or records proposed in this information collection does
not include any confidential business information (CBI) and will not
involve any confidentiality concerns or information.

3(g)	Sensitive Questions

No information of a sensitive or private nature is requested in
conjunction with this collection activity.  Further, this information
collection activity complies with the provisions of the Privacy Act of
1974 and OMB circular A-108.

4.	THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a)	Respondents/NAICS codes

The North American Industrial Classification System (NAICS) code for
respondents participating in the data collection activity are noted
here:

Applicators on Farms: 

111	   Crop Production

112	   Animal Production

Commercial Services Applicators:

561710   Exterminating and Pest Control Services

Administration of Certification Programs by States/Tribal Lead Agencies:

924110   Environmental protection program administration

926140   Pest control programs, agricultural, governmental

Pesticide Dealers (only for EPA-administered programs)

444220   Retail Nursery, Lawn, and Garden Supply stores

424910   Agricultural chemicals merchant wholesalers

4(b)	Information Requested

                  (i)   Data items, including recordkeeping requirements

   A.  Annual Reports

Annual reports are required from States, Indian tribes, and Federal
agencies with EPA-approved certification plans. These entities are
required to develop reports based on the requirements in the
regulations, including information on their respective program activity,
such as the number, type, and category of applicators certified and
re-certified, and any significant changes to their plans. 

   B.  Application for certification in EPA-administered programs
(Navajo Indian Country)

The regulations require, in EPA-administered programs, an application
form (EPA Form 8500-17-N;  see Attachment E) be completed for persons
seeking certification or re-certification.  The forms are necessary for
EPA to schedule certification and re-certification, and to obtain vital
information such as name and address.  

EPA has administered the private applicator certification program in one
state, Colorado.  By the time of approval of this renewal ICR, it is
expected that Colorado will have taken over their private applicator
certification program.  An approved Colorado state plan is expected by
the time of ICR renewal.  Therefore, EPA’s burden for administering
the program has been removed from this ICR.   

Over the next few years, EPA will be implementing a certified applicator
program in the Navajo Indian Country.  Both commercial and private
applicators will be covered by this program, and a form to apply will be
required.  Applicators with current certification from New Mexico, Utah,
and Arizona will be eligible for certification in the Navajo Indian
Country with proof of certification and a completed form.  There are
currently 40 applicators that will need certification in Navajo Indian
Country, and we expect that all will apply for the program.

The regulations do not require States to use the EPA’s application
form, they may use similar forms developed to meet their specific needs.

   C.  Dealer record-keeping in EPA-administered programs (Navajo Indian
Country)

The regulations require dealers under EPA-administered programs to keep
records of the sale of restricted-use products for 24 months.  Dealer
records are maintained at the pesticide dealership, and are not
routinely submitted to EPA; however they may be collected as part of an
investigation or enforcement action.  This is necessary for EPA to
ensure that access to restricted use pesticides is limited to certified
applicators, or those under their supervision.  Without the ability to
limit access to restricted use pesticides, there would be little purpose
in certifying workers or classifying pesticides for restricted use. This
provision is solely intended to provide EPA with the authority to impose
dealer record-keeping in entities with EPA-administered programs.
State-administered programs must use State authority to require dealers
to maintain records of restricted-use pesticide sales. 

In the past ICR, burden was included for dealers in Colorado, since EPA
administered the private applicator certification program.  That burden
has been removed from this ICR renewal since Colorado has chosen to
administer the full program.  An approved Colorado state plan is
expected by the date of renewal of this ICR.  There are currently no
pesticide dealers in Navajo Indian Country, which is the only entity for
which an EPA-administered program is anticipated during this ICR renewal
cycle.  Therefore, EPA anticipates that no dealers will incur required
recordkeeping under EPA-administered programs during this ICR renewal
cycle.

   D.  Commercial Applicator Records - EPA-administered programs

Commercial applicators under EPA-administered programs must create
records on the kinds, amounts, uses, dates and places of restricted-use
pesticide applications immediately after the application is complete. 
Records must be retained for two years. Records are not required to be
submitted, but they must be made available to EPA or State/Tribal
officials upon request. Records collected may become part of an
enforcement action or investigation.  There are currently no
EPA-administered programs for commercial applicator certification. 
However, it is anticipated that EPA will administer a new program (for
both private and commercial applicators) in Navajo Indian Country during
this ICR renewal cycle.

   E.  Commercial Applicator Records - State-administered programs

Commercial applicators under State-administered programs must create
records on restricted-use pesticide applications immediately after the
application is complete.  Specifically, EPA requires commercial
applicators to record the following information: the name and address of
the person for whom the pesticide was applied; the location of the
application; the target pest(s); the specific crop or commodity, as
appropriate; the name and registration number of the pesticide applied;
the amount applied and percent active ingredient per unit of pesticide
used; and the type and amount of leftover pesticide disposed of with the
method and location of disposal.  Records must be retained for two
years. Records are not required to be submitted, but they must be made
available to EPA or State officials upon request. Records collected may
become part of an enforcement action or investigation.

                  (ii)	Respondent Activities

A typical respondent will perform the following activities:

Read rules or other instructions	

Read applicable regulations, 40 CFR 171, grant requirements, and other
applicable requirements

Receive Training	

Administered by EPA approved program or EPA

Create information 	

Document activities/applications

Gather information	

Collect records needed to develop annual report

Review	

Review information for accuracy

Complete written forms or other instruments	

Extract data from records and compile into reporting format

Record, disclose, display, or report the information	

Compile report and submit.  Record maintenance for preparation of the
next annual report, such as grant reports and hard copy and computer
records of data required in the annual report.

Store, file, or maintain information.	

Store and retain records.

5.	THE INFORMATION COLLECTED - AGENCY ACTIVITIES, COLLECTION 
METHODOLOGY, AND INFORMATION MANAGEMENT

5(a)	Agency Activities

In continuing this collection, EPA will:

Prepare report (Region 9 for Navajo Indian Country)	

EPA, Region 9 will prepare and submit report for this
federally-implemented plan

Answer respondent questions	

Answer respondent questions

Review data	

Review data submissions

Record data 	

Record submissions

Maintain data	

Develop/maintain a master data base for data submissions

Reformat data	

Reformat and distribute data

Store data	

Store data

        

5(b)	Collection Methodology and Management

Dealer and commercial applicator records are not routinely collected. 
Annual reports from EPA-approved certification programs are required. 
The Agency allows respondents to utilize their end-of-year grant reports
to fulfill the annual report requirement under this collection program
to the extent that information contained in such grant reports satisfies
Part 171 requirements. Certain minor reporting elements which may be
outside the scope of the grant reports may be provided in whatever
fashion the respondent finds most convenient and least burdensome.  The
information required under this program is generally included in the
grant reports as a 2-3 page addendum to that report.  A web-based
template for electronic completion and submission of the annual reports
(Certification Plan and Annual Reporting Database, available at  
HYPERLINK "http://134.121.87.199/candt/logon.cfm" 
http://134.121.87.199/candt/logon.cfm ) has been used by all states
since 2006.

The applicator certification application form is used as an initial
reference point for potential certified applicators in EPA-administered
programs. The form requires only basic information such as name and
address. For EPA-administered programs certification applicants mail the
completed forms to the respective EPA Regional office, which compiles
and maintains data on program operations. The public may access the data
by contacting the appropriate EPA Regional offices.

5(c)	Small Entity Flexibility

 These regulations apply specifically to individuals who are certified
applicators.  EPA believes that the records required of certified
pesticide applicators and their employees are minimal and would
generally be kept for the applicators’ own use even in the absence of
this regulation.  In Navajo Indian Country, where EPA administers the
certification program, dealers are also required to keep records. 
However, there are currently no dealers in the Navajo Indian Country. 
EPA does not require the submission of dealer records, but rather
requires that the dealer furnish records for inspection and copying upon
request.

	Most affected entities (certified applicators, pesticide dealers) are
small entities.  The information collected and the recordkeeping
required is the minimum required by regulation and that is necessary to
implement a successful certification program. 

5(d)	Collection Schedule

There is not a collection schedule per se for commercial applicators. 
Commercial applicators must generate records on the kinds, amounts,
uses, dates, and locations of restricted use pesticide applications
immediately after pesticide application, and are required to maintain
these records for two years.  Similarly, dealer records of restricted
use pesticide sales  are required to be maintained for two years. 
Although the commercial applicator records and the dealer records are
maintained locally and are not required to be submitted to EPA or the
State, they must be made available for State or EPA officials upon
request. Records collected may become part of an investigation or
enforcement action.  Commercial applicators in EPA-administered programs
must also submit an application form for certification or
recertification, whenever needed.

States with an EPA-approved plan to administer their own applicator
certification program must submit a report annually.  The annual
reporting period allows for efficiency for States as most required
information is contained in their end-of-year grant report, which can be
submitted as a joint package.  The annual reporting cycle also
facilitates equitable apportionment of cooperative agreement funds to
States, based on data submitted.

6. 	ESTIMATING THE BURDEN AND COST OF COLLECTION

6(a)	Estimating Respondent Burden

In estimating the average respondent burden related to the information
collection components of the Agency’s pesticide applicator
certification system, the Agency based the burden hour estimates on the
Office of Pesticide Programs’ experience and knowledge of the
Certification and Training Program, Regional contacts and budget
staffing records of the Regional offices, and information obtained from
the consultation process, USDA, State Agencies, and other resources. The
total annual burden for EPA’s State, Federal, and Tribal partners to
report is estimated to be 4,412 hours, with an average burden of 77.4
hours for each of the 57 participating entities (see Table 1). The
average per-State burden was based on several estimates that were
provided to EPA by participating States.

 (40 applicators ∕ 3 years).  The total annual burden for certifying
applicators where EPA implements the certification program for
commercial and private applicators in the Navajo Indian Country is
estimated to be 2.2 hours, with an average burden estimate of 0.17
hours, or 10 minutes, per respondent (see Table 2). This burden is based
on completing applications. Since the Federal Program is actually
managed by Agency personnel, this burden estimate is based on the
experience of the personnel in EPA’s Region 8 running the Colorado
program, which will no longer be administered by EPA under this ICR
renewal.  

The total annual burden of record-keeping for restricted use pesticide
applications by commercial applicators where EPA implements the
certification program (only in the Navajo Indian Country during this ICR
renewal cycle) is estimated to be 109 hours, with an average burden
estimate of 3.1 hours per respondent (see Table 3).	

Commercial applicators and firms under state-administered programs are
also required to create and maintain records of restricted use pesticide
applications immediately after the application.  The Agency estimates
that 421,000 commercial applicators will be subject to the
record-keeping requirements for a total annual respondent burden of
1,305,100 hours.  The average per-respondent burden is 3.1 hours (see
Table 4).

6(b)	Estimating Respondent Costs

	When estimating labor rates for OPP ICR renewals in recent years, the
Agency generally adjusted the labor rate estimates used in the previous
renewal by using methods such as the NASA Gross Domestic Product (GDP)
Deflator Inflation Calculator to index the labor cost for a particular
year.  However, for this ICR renewal, Agency economists developed
completely new estimates of wages, benefits and overhead for all labor
categories for affected industries, state government, and EPA employees.
 The goal is to use a transparent, consistent methodology and current,
publicly-available data, to provide more accurate estimates and allow
easy replication of the estimates.

Methodology:	The methodology uses data on each sector and labor type for
an Unloaded wage rate (hourly wage rate), and calculates the Loaded wage
rate (unloaded wage rate + benefits), and the Fully loaded wage rate
(loaded wage rate + overhead).  Fully loaded wage rates are used to
calculate respondent costs.  This renewal uses 2006 data.

Unloaded Wage Rate:  Wages are estimated for labor types (management,
technical, and clerical) within applicable sectors. The Agency uses
average wage data for the relevant sectors available in the National
Industry-Specific Occupational Employment and Wage Estimates from the
Bureau of Labor Statistics (BLS) at   HYPERLINK
"http://www.bls.gov/oes/current/oes_nat.htm" 
http://www.bls.gov/oes/current/oes_nat.htm .  

Sectors: The specific North American Industry Classification System
(NAICS) code and website for each sector is included in that sector’s
wage rate table (see Attachment F).  Within each sector, the wage data
are provided by Standard Occupational Classification (SOC).  The SOC
system is used by Federal statistical agencies to classify workers into
occupational categories for the purpose of collecting, calculating, or
disseminating data (see   HYPERLINK
"http://www.bls.gov/oes/current/oes_stru.htm" 
http://www.bls.gov/oes/current/oes_stru.htm  ).  

Loaded Wage Rate: Unless stated otherwise, all benefits represent 43% of
unloaded wage rates, based on benefits for all civilian non-farm
workers, from   HYPERLINK "http://www.bls.gov/news.release/ecec.t01.htm"
 http://www.bls.gov/news.release/ecec.t01.htm . However, if other
sectors are listed for which 43% is not applicable, the applicable
percentage will be stated.

Fully Loaded Wage Rate: We multiply the loaded wage rate by 50% (EPA
guidelines 20-70%) to get overhead costs.

The following tables illustrate the estimated burden and costs
associated with the information collection activities of this program. 
For annual report activities, using the hourly rates mentioned above,
the estimated average annual cost per participating State is $3,239,
with the total annual cost for all States estimated to be $184,620
(Table 1).

The estimated average annual cost for certifying commercial and private
applicators in the Navajo Indian Country is $5.15 per respondent, with
the total annual cost for all certified applicators estimated to be
$66.95 (Table 2).  

The total annual respondent cost for all commercial applicator
record-keeping of restricted use pesticide applications in Navajo Indian
Country is estimated at $3284, with an average annual per-respondent
cost of $93.84. Recordkeeping of applications by all commercial
applicators under State authority has an estimated total annual cost of
$39,506,640, based on the commercial applicator count of 421,000. 
Again, the average annual per-respondent cost is estimated at $93.84. 
See Tables 3 and 4 for further details.



Table 1. Average Annual Respondent Burden and Cost Estimates to States
for Annual Reports on Certification and Training Programs

Collection Activities	

Annual Burden Hours Per Respondent	

TOTALS

	

Tech.

$51.89/hr	

Clerical

$34.90/hr	

Hours	

Cost

$

Read/hear rule or any collective instrument instruction (incl.
compliance determination)	

0.25	

0	

0.25	

12.97

Create information	

5	

0	

5	

259.45

Gather information	

5	

0	

5	

259.45

Process, compile, review info for accuracy	

1	

0	

1	

51.89

Complete written forms or other instruments	

0.5	

0.5	

1	

43.40

Record, disclose, display, or report the information	

20	

45	

65	

2608.30

Store, file, or maintain the information	

0	

0.1	

0.1	

3.49

TOTAL	

31.75	

45.6	

77.35	

3238.95

TOTAL ANNUAL BURDEN:  Avg. hr. per respondent (77.4) x No. of
respondents (57) = 4,412 hrs

TOTAL ANNUAL COST:  Avg. cost per respondent ($3238.95) x No. of
respondents (57) = $184,620

Table 2. Average Annual Respondent Burden and Cost Estimates for
Certified Applicators in Federal Programs (Navajo Indian Country only)
for Completion of EPA Application Forms 

	

Annual Burden and Cost Per Respondent

Collection Activities	

Tech. Hours

$30.27/hr	

Total Hours	

Cost

$

Read/hear rule or any collective instrument instruction (incl.
compliance determination)	

0.07	

0.07	

2.12

Complete written forms or other instruments	

0.10	

0.10	

3.03

TOTAL	

0.17	

0.17	

5.15

TOTAL ANNUAL BURDEN:  Avg. hr. per respondent (0.17) x Avg. no. of
respondents annually (13)  = 2.2 hrs

TOTAL ANNUAL COST:  Avg. cost per respondent ($5.15) x Avg. no. of
respondents annually (13) = $66.95	

Table 3. Average Annual Respondent Burden and Cost Estimates for
Commercial Applicators in Federal Programs (Navajo Indian Country only)
for Record-Keeping for Restricted Use Pesticide Applications	

			

	

Annual Burden and Cost Per Respondent

Collection Activities	

Tech. Hours

$30.27/hr	

Total Hours	

Cost

$

Read/hear rule or any collective instrument instruction (incl.
compliance determination)	

0.2	

0.2	

6.05

Create information	

2	

2	

60.54

Store, file, or maintain the information	

0.9	

0.9	

27.24

TOTAL	

3.1	

3.1	

93.84 

TOTAL ANNUAL BURDEN:  Avg. hr. per respondent (3.1) x No. of respondents
(35)  = 109 hrs

TOTAL ANNUAL COST: Avg. cost per respondent ($93.84) x No. of
respondents (35) = $3284



Table 4. Average Annual Respondent Burden and Cost Estimates for
Commercial Applicators and Firms for Record-keeping for Restricted Use
Pesticide Applications under State Authority

	

Annual Burden and Cost Per Respondent

Collection Activities	

Tech. Hours

$30.27/hr.	

Total Hours	

Cost

$

Read/hear rule or any collective instrument instruction (incl.
compliance determination)	

0.2	

0.2	

6.05

Create information	

2	

2	

60.54

Store, file, or maintain the information	

0.9	

0.9	

27.24

TOTAL	

3.1	

3.1	

93.84 

TOTAL ANNUAL BURDEN:  Avg. hr. per respondent (3.1) x No. of respondents
(421,000)  = 1,305,100 hrs

TOTAL ANNUAL COST:  Avg. cost per respondent ($93.84) x No. of
respondents (421,000) = $39,506,640

	6(c)	Estimating Agency Burden and Cost 

The Agency estimates the annual burden to the federal government to
review the submissions of annual reports and applications for
certification, based on experience.  The Agency’s total annual burden
associated with the certification of pesticide applicators program is
estimated at 1857 hours.   The total annual cost to the Agency is
estimated at $123,661.  

Table 5a.  Annual Agency Burden and Cost Estimates - Burden to Regional
Offices

Collection Activities	

Mgmnt hours

($101.16)	

Tech.

hours

($66.88)	

Clerical

hours

($39.23)	

Total

Hours	

Cost

$

Prepare Report - Region 9 for Navajo Plan	

0	

104	

0	

104	

6,955.52

Answer respondent questions	

7.1	

228	

0	

235.1	

15,966.88

Audit/review submissions	

18.8	

798	

0	

816.8	

55,272.05

Record/enter submissions	

0	

200	

0	

200	

13,376.00

Reformat and distribute data	

0	

91.2	

0	

91.2	

6,099.46

Store, file, or maintain the information	

0	

68.4	

11.4	

79.8	

5,021.81

TOTAL	

25.9	

1489.6	

11.4	

1526.9	102,691.71

Table 5b.  Annual Agency Burden and Cost Estimates  - Burden to
Headquarters for Review of Submitted Reports

Collection Activities

	

Tech. Hours

@ $66.88/hr	

Cost

$

Answer respondent questions	

100	

6,688.00

Audit/review submissions	

100	

6,688.00

Record/enter submissions	

80	

5,350.40

Reformat and distribute data	

40	

2,675.20

Store, file, or maintain the information	

10	

668.80

TOTAL	

330	

22,070.40

6(d)	Bottom Line Burden Hours and Cost Table

Table 6.  Bottom Line Burden Hours and Cost Table

(i) Respondent Tally	

Total Burden Hours 	

Total Cost ($)

States (Table 1)	

4,412	

184,620

Federal program  - certified applicators (Tables 2 and 3)	

2

109	

67

3,284

State-administered programs -  certified applicators (Table 4)	

1,305,100	

39,506,640

Bottom Line Respondent Total	

 

1,309,623	

      

39,694,611

(ii) Agency Tally	

 	

EPA Regional Offices 

(Table 5a)	1527	102,692

EPA Headquarters 

(Table 5b)	330	22,070

Bottom Line Agency Total

	

1,857

	124762

6(e)	Reasons for Change in Burden

The public burden compared to the previous ICR has decreased slightly,
from 1,311,368 to 1,309,623 hours.  This decrease is due to Colorado
assuming responsibility for the private applicator program, and the
dealer recordkeeping program, in that state.  The previous ICR included
the burden of those programs in Colorado, as EPA still administered them
at that time.  The estimated burden from the only other programs
administered by EPA, in Navajo Indian Country, is constant.  The Navajo
Indian Country plan for applicators had been anticipated to begin during
the last ICR cycle (so the estimated burden was included), but now is
expected to initiate soon.  

6(f) 	Burden Statement

The annual burden for this collection is estimated to average 0.17 hours
- approximately 10 minutes -  for certifying applicators in the Navajo
Indian Country, and 77.4 hours for each State to submit annual reports.
Certified commercial applicators have an annual average burden of 3.1
hours for preparing and maintaining required records of restricted use
pesticide applications.

According to the Paperwork Reduction Act, “burden” means the total
time, effort, or financial resources expended by persons to generate,
maintain, retain, disclose, or provide information to or for a Federal
agency.  For this collection, it is the time reading the regulations,
planning the necessary data collection activities, analyzing data,
generating reports and completing other required paperwork, and storing,
filing, and maintaining the data. The agency may not conduct or sponsor,
and a person is not required to respond to, a collection of information
unless it displays a currently valid OMB control number.  The OMB
control number for this information collection appears at the beginning
and end of this document. In addition OMB control numbers for EPA’s
regulations, after initial display in the final rule, are listed in 40
CFR Part 9. 

The Agency has established a public docket for this ICR under Docket ID
No. EPA-HQ-OPP-2007-0298, which is available for online viewing at  
HYPERLINK "http://www.regulations.gov"  www.regulations.gov , or in
person viewing at the OPP Regulatory Public Docket in Rm. S-4400, One
Potomac Yard (South Building), 2777 S. Crystal Drive, Arlington, VA. 
This docket facility is open from 8:30 a.m. to 4 p.m., Monday through
Friday, excluding legal holidays.  The docket telephone number is (703)
305-5805.  You may submit comments regarding the Agency's need for this
information, the accuracy of the provided burden estimates and any
suggested methods for minimizing respondent burden, including the use of
automated collection techniques.  

	Comments may be submitted to EPA electronically through
http://www.regulations.gov or by mail addressed to Director, Collection
Strategies Division, U.S. Environmental Protection Agency (2822T), 1200
Pennsylvania Ave., NW, Washington, D.C. 20460.  You can also send
comments to the Office of Information and Regulatory Affairs, Office of
Management and Budget, 725 17th Street, NW, Washington, DC 20503,
Attention: Desk Office for EPA.  Include docket ID No.
EPA-HQ-OPP-2007-0298 and OMB control number 2070-0029 in any
correspondence but do not submit information under this collection to
these addresses.



ATTACHMENTS TO THE SUPPORTING STATEMENT

Attachments to the supporting statement are available in the public
docket established for this ICR under docket identification number
EPA-HQ-OPP-2007-0298.  These attachments are available for online
viewing at   HYPERLINK "http://www.regulations.gov_" 
www.regulations.gov  or otherwise accessed as described in section 6(f)
of the supporting statement, and as noted below.

Attachment A 	7 U.S.C. 136a(d) - FIFRA Section 3(d) - This attachment is
available as part of the electronic copy of the ICR’s Supporting
Statement.

Attachment B 	7 U.S.C. 136i - FIFRA Section 11 - This attachment is
available as part of the electronic copy of the ICR’s Supporting
Statement.

Attachment C 	40 CFR 171 - Certification of Pesticide Applicators - This
attachment is available as part of the electronic copy of the ICR’s
Supporting Statement.

Attachment D 	Placeholder for:  “Record of EPA Consultations With
Respondents Regarding the ICR Renewal”  [Attachment to be added to
revised, final  supporting statement to be released with the 2nd FR
Notice for this ICR renewal.] 

Attachment E 	EPA Form 8500-17 - Request for Pesticide Applicator
Certification in Navajo Indian Country 

Attachment F		Wage Rate Tables for Commercial Pesticide Applicators,
State Government, and EPA - This attachment is available as part of the
electronic copy of the ICR’s Supporting Statement.

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

ATTACHMENT A

Section 3(d) of the Federal Insecticide, Fungicide, and Rodenticide Act

Section 3(d) of the Federal Insecticide, Fungicide, and Rodenticide Act

(d) CLASSIFICATION OF PESTICIDES.— 

       (1) CLASSIFICATION FOR GENERAL USE, RESTRICTED USE, OR

BOTH.— 

     (A) As a part of the registration of a pesticide the Administrator
shall classify it as being for general use or for restricted use. If the
Administrator determines that some of the uses for which the pesticide
is registered should be for general use and that other uses for which it
is registered should be for restricted use, the Administrator shall
classify it for both general use and restricted use. Pesticide uses may
be classified by regulation on the initial classification and registered
pesticides may be classified prior to reregistration. If some of the
uses of the pesticide are classified for general use and other uses are
classified for restricted use, the directions relating to its general
uses shall be clearly separated and distinguished from those directions
relating to its restricted uses. The Administrator may require that its
packaging and labeling for restricted uses shall be clearly
distinguishable from its packaging and labeling for general uses.

(B) If the Administrator determines that the pesticide, when applied in
accordance with its directions for use, warnings and cautions and for
the uses for which it is registered, or for one or more of such uses, or
in accordance with a widespread and commonly recognized practice, will
not generally cause unreasonable adverse effects on the environment, the
Administrator will classify the pesticide, or the particular use or uses
of the pesticide to which the determination applies, for general use.

(C) If the Administrator determines that the pesticide, when applied in
accordance with

its directions for use, warnings and cautions and for the uses for which
it is registered, or for one or more of such uses, or in accordance with
a widespread and commonly recognized practice, may generally cause,
without additional regulatory restrictions, unreasonable adverse effects
on the environment, including injury to the applicator, the
Administrator shall classify the pesticide, or the particular use or
uses to which the determination applies, for restricted use:

(i) If the Administrator classifies a pesticide, or one or more uses of
such pesticide, for restricted use because of a determination that the
acute dermal or inhalation toxicity of the pesticide presents a hazard
to the applicator or other persons, the pesticide shall be applied for
any use to which the restricted classification applies only by or under
the direct supervision of a certified applicator.

(ii) If the Administrator classifies a pesticide, or one or more uses of
such pesticide, for restricted use because of a determination that its
use without additional regulatory restriction may cause unreasonable
adverse effects on the environment, the pesticide shall be applied for
any use to which the determination applies only by or under the direct
supervision of a certified applicator, or subject to such other
restrictions as the Administrator may provide by regulation. Any such
regulation shall be reviewable in the appropriate court of appeals upon
petition of a person adversely affected filed within 60 days of the
publication of the regulation in final form.

(2) CHANGE IN CLASSIFICATION.—If the Administrator determines that a
change in the classification of any use of a pesticide from general use
to restricted use is necessary to prevent unreasonable adverse effects
on the environment, the Administrator shall notify the registrant of
such pesticide of such determination at least forty-five days before
making the change and shall publish the proposed change in the Federal
Register. The registrant, or other interested person with the
concurrence of the registrant, may seek relief from such determination
under section 6(b).

(3) CHANGE IN CLASSIFICATION FROM RESTRICTED USE TO GENERAL USE.— The
registrant of any pesticide with one or more uses classified for
restricted use may petition the Administrator to change any such
classification from restricted to general use. Such petition shall set
out the basis for the registrant’s position that restricted use
classification is unnecessary

because classification of the pesticide for general use would not cause
unreasonable adverse effects on the environment. The Administrator,
within sixty days after receiving such petition, shall notify the
registrant whether the petition has been granted or denied. Any denial
shall contain an explanation therefor and any such denial shall be
subject to judicial review under section 16 of this Act.

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

ATTACHMENT B

Section 11 of the Federal Insecticide, Fungicide, and Rodenticide Act

Section 11 of the Federal Insecticide, Fungicide, and Rodenticide Act

SEC. 11. [7 U.S.C. 136i] USE OF RESTRICTED USE PESTICIDES; APPLICATORS.

(a) CERTIFICATION PROCEDURE.—

(1) FEDERAL CERTIFICATION.—In any State for which a State plan for
applicator certification has not been approved by the Administrator, the
Administrator, in consultation with the Governor of such State, shall
conduct a program for the certification of applicators of pesticides.
Such program shall conform to the requirements imposed upon the States
under the provisions of subsection (a)(2) of this section and shall not
require private applicators to take any examination to establish
competency in the use of pesticides. Prior to the implementation of the
program, the Administrator shall publish in the Federal Register for
review and comment a summary of the Federal plan for applicator
certification and shall make generally available within the State copies
of the plan. The Administrator shall hold public hearings at one or more
locations within the State if so requested by the Governor of such State
during the thirty days following publication of the Federal Register
notice inviting comment on the Federal plan. The hearings shall be held
within thirty days following receipt of the request from the Governor.
In any State in which the Administrator conducts a certification
program, the Administrator may require any person engaging in the
commercial application, sale, offering for sale, holding for sale, or
distribution of any pesticide one or more uses of which have been
classified for restricted use to maintain such records and submit such
reports concerning the commercial application, sale, or distribution of
such pesticide as the Administrator may be regulation prescribe. Subject
to paragraph (2), the Administrator shall prescribe standards for the
certification of applicators of pesticides. Such standards shall provide
that to be certified, an individual must be determined to be competent
with respect to the use and handling of pesticides, or to the use and
handling of the pesticide or class of pesticides covered by such
individual’s certification. The certification standard for a private
applicator shall, under a State plan submitted for approval, be deemed
fulfilled by the applicator completing a certification form. The
Administrator shall further assure that such form contains adequate
information and affirmations to carry out the intent of this Act, and
may include in the form an affirmation that the private applicator has
completed a training program approved by the Administrator so long as
the program does not require the private applicator to take, pursuant to
a requirement prescribed by the Administrator, any examination to
establish competency in the use of the pesticide. The Administrator may
require any pesticide dealer participating in a certification program to
be licensed under a State licensing program approved by the
Administrator. 

(2) STATE CERTIFICATION.—If any State, at any time, desires to certify
applicators of pesticides, the Governor of such State shall submit a
State plan for such purpose. The Administrator shall approve the plan
submitted by any State, or any modification thereof, if such plan in the
Administrator’s judgment—

(A) designates a State agency as the agency responsible for
administering the plan throughout the State;

(B) contains satisfactory assurances that such agency has or will have
the legal authority and qualified personnel necessary to carry out the
plan; 

(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 such reports to the
Administrator in such form and containing such information as the
Administrator may from time to time require; and 

(E) contains satisfactory assurances that State standards for the
certification of applicators of pesticides conform with those standards
prescribed by the Administrator under paragraph (1). Any State
certification program under this section shall be maintained in
accordance with the State plan approved under this section.

(b) STATE PLANS.—If the Administrator rejects a plan submitted under
subsection (a)(2), the Administrator shall afford the State submitting
the plan due notice and opportunity for hearing before so doing. If the
Administrator approves a plan submitted under subsection (a)(2), then
such State shall certify applicators of pesticides with respect to such
State. Whenever the Administrator determines that a State is not
administering the certification program in accordance with the plan
approved under this section, the Administrator shall so notify the State
and provide for a hearing at the request of the State, and, if
appropriate corrective action is not taken within a reasonable time, not
to exceed ninety days, the Administrator shall withdraw approval of such
plan. 

(c) INSTRUCTION IN INTEGRATED PEST MANAGEMENT TECHNIQUES.—Standards
prescribed by the Administrator for the certification of applicators of
pesticides under subsection (a), and the State plans submitted to the
Administrator under subsection (a), shall include provisions for making
instructional materials concerning integrated pest management techniques
available to individuals at their request in accordance with the
provisions of section 23(c) of this Act, but such plans may not require
that any individual receive instruction concerning such techniques or be
shown to be competent with respect to the use of such techniques. The
Administrator and States implementing such plans shall provide that all
interested individuals are notified of the availability of such
instructional materials.

(d) IN GENERAL.—No regulations prescribed by the Administrator for
carrying out the provisions of this Act shall require any private
applicator to maintain any records or file any reports or other
documents.

(e) SEPARATE STANDARDS.—When establishing or approving standards for
licensing or certification, the Administrator shall establish separate
standards for commercial and private applicators.

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

ATTACHMENT C

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

Code of Federal Regulations

Title 40 – Protection of the Environment

Part 171 - Certification of Pesticide Applicators

Section Contents

§ 171.1	General.

§ 171.2	Definitions.

§ 171.3	Categorization of commercial applicators of pesticides.

§ 171.4	Standards for certification of commercial applicators.

§ 171.5	Standards for certification of private applicators.

§ 171.6	Standards for supervision of noncertified applicators by
certified private and commercial applicators.

§ 171.7	Submission and approval of State plans for certification of
commercial and private applicators of restricted use pesticides.

§ 171.8	Maintenance of State plans.

§ 171.9	Submission and approval of Government Agency Plan.

§ 171.10	Certification of applicators on Indian Reservations.

§ 171.11	Federal certification of pesticide applicators in States or on
Indian Reservations where there is no approved State or Tribal
certification plan in effect.

Authority: 7 U.S.C. 136b and 136w. 

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

§ 171.1 General.

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

§ 171.2 Definitions.

(a) General. Terms used in this subpart shall have the meanings set
forth for such terms in the Act. In addition, the following definitions
are applicable to all aspects of the certification of pesticide
applicator program in this part:

(1) The term accident means an unexpected, undesirable event, caused by
the use or presence of a pesticide, that adversely affects man or the
environment.

(2) The term Act means the Federal Insecticide, Fungicide, and
Rodenticide Act, as amended (86 Stat. 973), and other legislation
supplementary thereto and amendatory thereof.

(3) The term Administrator means the Administrator of the Environmental
Protection Agency, or any office or employee of the Agency to whom
authority has heretofore been delegated, or to whom authority may
hereafter be delegated, to act in his stead.

(4) The term Agency, unless otherwise specified, means the United
States Environmental Protection Agency.

(5) The term agricultural commodity means any plant, or part thereof, or
animal, or animal product, produced by a person (including farmers,
ranchers, vineyardists, plant propagators, Christmas tree growers,
aquaculturists, floriculturists, orchardists, foresters, or other
comparable persons) primarily for sale, consumption, propagation, or
other use by man or animals.

(6) The term calibration of equipment means measurement of dispersal or
output of application equipment and adjustment of such equipment to
control the rate of dispersal, and droplet or particle size of a
pesticide dispersed by the equipment.

(7) The term certification means the recognition by a certifying agency
that a person is competent and thus authorized to use or supervise the
use of restricted use pesticides.

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

(9) The term commercial applicator means a certified applicator (whether
or not he is a private applicator with respect to some uses) who uses or
supervises the use of any pesticide which is classified for restricted
use for any purpose or on any property other than as provided by the
definition of “private applicator.”

(10) The term compatibility means that property of a pesticide which
permits its use with other chemicals without undesirable results being
caused by the combination.

(11) The term competent means properly qualified to perform functions
associated with pesticide application, the degree of capability required
being directly related to the nature of the activity and the associated
responsibility.

(12) The term common exposure route means a likely way (oral, dermal,
respiratory) by which a pesticide may reach and/or enter an organism.

(13) The term environment means water, air, land, and all plants and man
and other animals living therein, and the interrelationships which exist
among them.

(14) The term forest means a concentration of trees and related
vegetation in non-urban areas sparsely inhabited by and infrequently
used by humans; characterized by natural terrain and drainage patterns.

(15) The term hazard means a probability that a given pesticide will
have an adverse effect on man or the environment in a given situation,
the relative likelihood of danger or ill effect being dependent on a
number of interrelated factors present at any given time.

(16) The term host means any plant or animal on or in which another
lives for nourishment, development, or protection.

(17) The term non-target organism means a plant or animal other than the
one against which the pesticide is applied.

(18) The term ornamental means trees, shrubs, and other plantings in and
around habitations generally, but not necessarily located in urban and
suburban areas, including residences, parks, streets, retail outlets,
industrial and institutional buildings.

(19) The term practical knowledge means the possession of pertinent
facts and comprehension together with the ability to use them in dealing
with specific problems and situations.

(20) The term private applicator means a certified applicator who uses
or supervises the use of any pesticide which is classified for
restricted use for purposes of producing any agricultural commodity on
property owned or rented by him or his employer or (if applied without
compensation other than trading of personal services between producers
of agricultural commodities) on the property of another person.

(21) The term protective equipment means clothing or any other materials
or devices that shield against unintended exposure to pesticides.

(22) The term regulated pest means a specific organism considered by a
State or Federal agency to be a pest requiring regulatory restrictions,
regulations, or control procedures in order to protect the host, man
and/or his environment.

(23) The term restricted use pesticide means a pesticide that is
classified for restricted use under the provisions of section 3(d)(1)(C)
of the Act.

(24) The term standard means the measure of knowledge and ability which
must be demonstrated as a requirement for certification. 

(25) The term State means a State, the District of Columbia, the
Commonwealth of Puerto Rico, the Virgin Islands, Guam, the Trust
Territory of the Pacific Islands, and American Samoa.

(26) The term susceptibility means the degree to which an organism is
affected by a pesticide at a particular level of exposure.

(27) The term toxicity means the property of a pesticide to cause any
adverse physiological effects.

(28) The term under the direct supervision of means the act or process
whereby the application of a pesticide is made by a competent person
acting under the instructions and control of a certified applicator who
is responsible for the actions of that person and who is available if
and when needed, even though such certified applicator is not physically
present at the time and place the pesticide is applied.

(b) Limited. The following definitions apply only to dealers,
dealerships and transactions in States or on Indian Reservations where
EPA conducts a Federal Pesticide Applicator Certification Program.

(1) The term restricted use pesticide retail dealer means any person who
makes available for use any restricted use pesticide, or who offers to
make available for use any such pesticide.

(2) The term make available for use means to distribute, sell, ship,
deliver for shipment, or receive and (having so received) deliver, to
any person. However, the term excludes transactions solely between
persons who are pesticide producers, registrants, wholesalers, or retail
sellers, acting only in those capacities.

(3) The term dealership means any site owned or operated by a restricted
use pesticide retail dealer where any restricted use pesticide is made
available for use, or where the dealer offers to make available for use
any such pesticide.

(4) The term uncertified person means any person who is not holding a
currently valid certification document indicating that he is certified
under section 4 of FIFRA in the category of the restricted use pesticide
made available for use.

(5) The term principal place of business means the principal location,
either residence or office, in the State in which an individual,
partnership, or corporation applies pesticides.

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

§ 171.3 Categorization of commercial applicators of pesticides.

(a) Procedure. Categories of applicators (other than private) using or
supervising the use of restricted use pesticides are identified below.
State systems of applicator identification shall adopt these categories
as needed, along with such appropriate subcategories as are necessary to
meet the particular requirements of the State.

(b) Categories—(1) Agricultural pest control—(i) Plant. This
category includes commercial applicators using or supervising the use of
restricted use pesticides in production of agricultural crops, including
without limiting the foregoing, tobacco, peanuts, cotton, feed grains,
soybeans and forage; vegetables; small fruits; tree fruits and nuts; as
well as on grasslands and non-crop agricultural lands.

(ii) Animal. This category includes commercial applicators using or
supervising the use of restricted use pesticides on animals, including
without limiting the foregoing, beef cattle, dairy cattle, swine, sheep,
horses, goats, poultry, and livestock, and to places on or in which
animals are confined.

Doctors of Veterinary Medicine engaged in the business of applying
pesticides for hire, publicly holding themselves out as pesticide
applicators, or engaged in large-scale use of pesticides are included in
this category.

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

(3) Ornamental and turf pest control. This category includes commercial
applicators using or supervising the use of restricted use pesticides to
control pests in the maintenance and production of ornamental trees,
shrubs, flowers, and turf.

(4) Seed treatment. This category includes commercial applicators using
or supervising the use of restricted use pesticides on seeds.

(5) Aquatic pest control. This category includes commercial applicators
using or supervising the use of any restricted use pesticide
purposefully applied to standing or running water, excluding applicators
engaged in public health related activities included in category 8
below.

(6) Right-of-way pest control. This category includes commercial
applicators using or supervising the use of restricted use pesticides in
the maintenance of public roads, electric powerlines, pipelines, railway
rights-of-way or other similar areas.

(7) Industrial, institutional, structural and health related pest
control. This category includes commercial applicators using or
supervising the use of restricted use pesticides in, on, or around food
handling establishments, human dwellings, institutions, such as schools
and hospitals, industrial establishments, including warehouses and grain
elevators, and any other structures and adjacent areas, public or
private; and for the protection of stored, processed, or manufactured
products.

(8) Public health pest control. This category includes State, Federal or
other governmental employees using or supervising the use of restricted
use pesticides in public health programs for the management and control
of pests having medical and public health importance.

(9) Regulatory pest control. This category includes State, Federal or
other governmental employees who use or supervise the use of restricted
use pesticides in the control of regulated pests.

(10) Demonstration and research pest control. This category includes:
(i) individuals who demonstrate to the public the proper use and
techniques of application of restricted use pesticides or supervise such
demonstration, and (ii) persons conducting field research with
pesticides, and in doing so, use or supervise the use of restricted use
pesticides. Included in the first group are such persons as extension
specialists and county agents, commercial representatives demonstrating
pesticide products, and those individuals demonstrating methods used in
public programs. The second group includes: State, Federal, commercial
and other persons conducting field research on or utilizing restricted
use pesticides.

(c) Other categories and subcategories. Any State submitting a plan
pursuant to this section for the certification of applicators, as
provided for below, may designate such subcategories within the above 10
categories as it deems necessary. In addition, a State may delete a
category not needed or may request the Administrator's approval of
additional major categories.

§ 171.4 Standards for certification of commercial applicators.

(a) Determination of competency. Competence in the use and handling of
pesticides shall be determined on the basis of written examinations,
and, as appropriate, performance testing, based upon standards set forth
below and which are approved by the Administrator. Such examination and
testing shall include the general standards applicable to all categories
(§171.4(b)) and the additional standards specifically identified for
each category or subcategory (if any) in which an applicator is to be
classified (§171.4(c)). State standards must conform and be at least
equal to those prescribed herein. In developing the details of standards
at the State level and in structuring examinations, it is important to
recognize and reflect the extent of competency appropriate and necessary
to a particular category.

(b) General standards for all categories of certified commercial
applicators. (1) All commercial applicators shall demonstrate practical
knowledge of the principles and practices of pest control and safe use
of pesticides. Testing shall be based on examples of problems and
situations appropriate to the particular category or subcategory of the
applicator's certification and the following areas of competency:

(i) Label & labeling comprehension. (a) The general format and
terminology of pesticide labels and labeling;

(b) The understanding of instructions, warnings, terms, symbols, and
other information commonly appearing on pesticide labels;

(c) Classification of the product, general or restricted; and 

(d) Necessity for use consistent with the label.

(ii) Safety. Factors including:

(a) Pesticide toxicity and hazard to man and common exposure routes;

(b) Common types and causes of pesticide accidents;

(c) Precautions necessary to guard against injury to applicators and
other individuals in or near treated areas;

(d) Need for and use of protective clothing and equipment;

(e) Symptoms of pesticide poisoning;

(f) First aid and other procedures to be followed in case of a pesticide
accident; and

(g) Proper identification, storage, transport, handling, mixing
procedures and disposal methods for pesticides and used pesticide
containers, including precautions to be taken to prevent children from
having access to pesticides and pesticide containers.

(iii) Environment. The potential environmental consequences of the use
and misuse of pesticides as may be influenced by such factors as:

(a) Weather and other climatic conditions;

(b) Types of terrain, soil or other substrate;

(c) Presence of fish, wildlife and other non-target organisms; and

(d) Drainage patterns.

(iv) Pests. Factors such as: (a) Common features of pest organisms and
characteristics of damage needed for pest recognition;

(b) Recognition of relevant pests; and

(c) Pest development and biology as it may be relevant to problem
identification and control.

(v) Pesticides. Factors such as:

(a) Types of pesticides;

(b) Types of formulations;

(c) Compatibility, synergism, persistence and animal and plant toxicity
of the formulations;

(d) Hazards and residues associated with use;

(e) Factors which influence effectiveness or lead to such problems as
resistance to pesticides; and

(f) Dilution procedures.

(vi) Equipment. Factors including: (a) Types of equipment and advantages
and limitations of each type; and

(b) Uses, maintenance and calibration.

(vii) Application techniques. Factors including:

(a) Methods of procedure used to apply various formulations of
pesticides, solutions, and gases, together with a knowledge of which
technique of application to use in a given situation;

(b) Relationship of discharge and placement of pesticides to proper use,
unnecessary use, and misuse; and

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

(viii) Laws and regulations. Applicable State and Federal laws and
regulations.

(c) Specific standards of competency for each category of commercial
applicators. Some of the factors referenced in paragraph (b) of this
section are of particular importance because of the different types of
activities carried out by applicators in each category. Such factors
must be especially stressed and specifically reflected in State
certification standards, as appropriate. For example, practical
knowledge of drift problems should be required of agricultural
applicators but not of seed treatment applicators. The latter, however,
should be particularly knowledgeable of the hazards of the misuse of
treated seed and the necessary precautionary techniques. Many
applicators in §171.3(b) (8), (9), and (10) will have had considerable
formal education, training and experience in preparation for their
positions. Their competency with respect to the use and handling of
pesticides will have been determined by examining boards of their
professional scientific societies utilizing standards which equal or
exceed those prescribed herein. Such standards should be consulted by
States in developing their State standards for certification of such
applicators under these regulations. Commercial applicators in each
category shall be particularly qualified with respect to the practical
knowledge standards elaborated below:

(1) Agricultural pest control—(i) Plant. Applicators must demonstrate
practical knowledge of crops grown and the specific pests of those crops
on which they may be using restricted use pesticides. The importance of
such competency is amplified by the extensive areas involved, the
quantities of pesticides needed, and the ultimate use of many
commodities as food and feed. Practical knowledge is required concerning
soil and water problems, pre-harvest intervals, re-entry intervals,
phytotoxicity, and potential for environmental contamination, non-target
injury and community problems resulting from the use of restricted use
pesticides in agricultural areas.

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

(2) Forest pest control. Applicators shall demonstrate practical
knowledge of types of forests, forest nurseries, and seed production in
their State and the pests involved. They should possess practical
knowledge of the cyclic occurrence of certain pests and specific
population dynamics as a basis for programming pesticide applications. A
practical knowledge is required of the relative biotic agents and their
vulnerability to the pesticides to be applied. Because forest stands may
be large and frequently include natural aquatic habitats and harbor
wildlife, the consequences of pesticide use may be difficult to assess.
The applicator must therefore demonstrate practical knowledge of control
methods which will minimize the possibility of secondary problems such
is unintended effects on wildlife. Proper use of specialized equipment
must be demonstrated, especially as it may relate to meteorological
factors and adjacent land use.

(3) Ornamental and turf pest control. Applicators shall demonstrate
practical knowledge of pesticide problems associated with the production
and maintenance of ornamental trees, shrubs, plantings, and turf,
including cognizance of potential phytotoxicity due to a wide variety of
plant material, drift, and persistence beyond the intended period of
pest control. Because of the frequent proximity of human habitations to
application activities, applicators in this category must demonstrate
practical knowledge of application methods which will minimize or
prevent hazards to humans, pets, and other domestic animals.

(4) Seed-treatment. Applicators shall demonstrate practical knowledge of
types of seeds that require chemical protection against pests and
factors such as seed coloration, carriers, and surface active agents
which influence pesticide binding and may affect germination. They must
demonstrate practical knowledge of hazards associated with handling,
sorting and mixing, and misuse of treated seed such as introduction of
treated seed into food and feed channels, as well as proper disposal of
unused treated seeds.

(5) Aquatic pest control. Applicators shall demonstrate practical
knowledge of the secondary effects which can be caused by improper
application rates, incorrect formulations, and faulty application of
restricted use pesticides used in this category. They shall demonstrate
practical knowledge of various water use situations and the potential of
downstream effects. Further, they must have practical knowledge
concerning potential pesticide effects on plants, fish, birds,
beneficial insects and other organisms which may be present in aquatic
environments. These applicators shall demonstrate practical knowledge of
the principles of limited area application.

(6) Right-of-way pest control. Applicators shall demonstrate practical
knowledge of a wide variety of environments, since rights-of-way can
traverse many different terrains, including waterways. They shall
demonstrate practical knowledge of problems on runoff, drift, and
excessive foliage destruction and ability to recognize target organisms.
They shall also demonstrate practical knowledge of the nature of
herbicides and the need for containment of these pesticides within the
right-of-way area, and the impact of their application activities in the
adjacent areas and communities.

(7) Industrial, institutional, structural and health related pest
control. Applicators must demonstrate a practical knowledge of a wide
variety of pests, including their life cycles, types of formulations
appropriate for their control, and methods of application that avoid
contamination of food, damage and contamination of habitat, and exposure
of people and pets. Since human exposure, including babies, children,
pregnant women, and elderly people, is frequently a potential problem,
applicators must demonstrate practical knowledge of the specific factors
which may lead to a hazardous condition, including continuous exposure
in the various situations encountered in this category. Because health
related pest control may involve outdoor applications, applicators must
also demonstrate practical knowledge of environmental conditions,
particularly related to this activity.

(8) Public health pest control. Applicators shall demonstrate practical
knowledge of vector-disease transmission as it relates to and influences
application programs. A wide variety of pests is involved, and it is
essential that they be known and recognized, and appropriate life cycles
and habitats be understood as a basis for control strategy. These
applicators shall have practical knowledge of a great variety of
environments ranging from streams to those conditions found in
buildings. They should also have practical knowledge of the importance
and employment of such non-chemical control methods as sanitation, waste
disposal, and drainage.

(9) Regulatory pest control. Applicators shall demonstrate practical
knowledge of regulated pests, applicable laws relating to quarantine and
other regulation of pests, and the potential impact on the environment
of restricted use pesticides used in suppression and eradication
programs. They shall demonstrate knowledge of factors influencing
introduction, spread, and population dynamics of relevant pests. Their
knowledge shall extend beyond that required by their immediate duties,
since their services are frequently required in other areas of the
country where emergency measures are invoked to control regulated pests
and where individual judgments must be made in new situations.

(10) Demonstration and research pest control. Persons demonstrating the
safe and effective use of pesticides to other applicators and the public
will be expected to meet comprehensive standards reflecting a broad
spectrum of pesticide uses. Many different pest problems situations will
be encountered in the course of activities associated with
demonstration, and practical knowledge of problems, pests, and
population levels occurring in each demonstration situation is required.
Further, they should demonstrate an understanding of a
pesticide-organism interactions and the importance of integrating
pesticide use with other control methods. In general, it would be
expected that applicators doing demonstration pest control work possess
a practical knowledge of all of the standards detailed in §171.4(b). In
addition, they shall meet the specific standards required for paragraphs
(c) (1) through (7) of this section as may be applicable to their
particular activity.

Persons conducting field research or method improvement work with
restricted use pesticides should be expected to know the general
standards detailed in 171.4(b). In addition, they shall be expected to
know the specific standards required for paragraphs (c) (1) through (9)
of this section, applicable to their particular activity, or
alternatively, to meet the more inclusive requirements listed under
“Demonstration.”

(d) Special standards. This space reserved for possible issuance of
Special Standards.

(e) The above standards do not apply to the following persons for
purposes of these regulations. 

(1) Persons conducting laboratory type research involving restricted use
pesticides; and

(2) Doctors of Medicine and Doctors of Veterinary Medicine applying
pesticides as drugs or medication during the course of their normal
practice.

§ 171.5 Standards for certification of private applicators.

(a) Competence in the use and handling of pesticides by a private
applicator will be determined by procedures set forth below. State
standards must conform and be at least equal to those prescribed herein.
As a minimum requirement for certification, a private applicator must
show that he possesses a practical knowledge of the pest problems and
pest control practices associated with his agricultural operations;
proper storage, use, handling and disposal of the pesticides and
containers; and his related legal responsibility. This practical
knowledge includes ability to:

(1) Recognize common pests to be controlled and damage caused by them.

(2) Read and understand the label and labeling information—including
the common name of pesticides he applied; pest(s) to be controlled,
timing and methods of application; safety precautions; any pre-harvest
or re-entry restrictions; and any specific disposal procedures.

(3) Apply pesticides in accordance with label instructions and warnings,
including the ability to prepare the proper concentration of pesticide
to be used under particular circumstances taking into account such
factors as area to be covered, speed at which application equipment will
be driven, and the quantity dispersed in a given period of operation.

(4) Recognize local environmental situations that must be considered
during application to avoid contamination.

(5) Recognize poisoning symptoms and procedures to follow in case of a
pesticide accident.

(b) Such competence of each private applicator shall be verified by the
responsible State agency through the administration of a private
applicator certification system which ensures that the private
applicator is competent, based upon the standards set forth above, to
use the restricted use pesticides under limitations of applicable State
and Federal laws and regulations. A certification system shall employ a
written or oral testing procedure, or such other equivalent system as
may be approved as part of a State plan.

(1) In any case where a person, at the time of testing for
certification, is unable to read a label, the responsible State agency
may employ a testing procedure, previously approved by the
Administrator, which can adequately assess the competence of such person
with regard to all of the above standards. Certification must be related
and limited to the use and handling of each individual pesticide for
which he desires certification at any time. Therefore, the applicator
will be authorized to use only the pesticide(s) for which he has
demonstrated competence. A specific procedure is required for
§171.5(a)(2) relating to label comprehension, with testing designed to
assure his knowledge of the following:

(i) Understanding of the label and labeling information including those
items indicated in that subsection.

(ii) Sources of advice and guidance necessary for the safe and proper
use of each pesticide related to his certification.

(2) [Reserved]

§ 171.6 Standards for supervision of noncertified applicators by
certified private and commercial applicators.

(a) Certified applicators whose activities indicate a supervisory role
must demonstrate a practical knowledge of Federal and State supervisory
requirements, including labeling, regarding the application of
restricted use pesticides by noncertified applicators.

The availability of the certified applicator must be directly related to
the hazard of the situation. In many situations, where the certified
applicator is not required to be physically present, “direct
supervision” shall include verifiable instruction to the competent
person, as follows: (1) Detailed guidance for applying the pesticide
properly, and (2) provisions for contacting the certified applicator in
the event he is needed. In other situations, and as required by the
label, the actual physical presence of a certified applicator may be
required when application is made by a noncertified applicator.

(b) [Reserved]

§ 171.7 Submission and approval of State plans for certification of
commercial and private applicators of restricted use pesticides.

If any State, at any time, desires to certify applicators of restricted
use pesticides, the Governor of that State shall submit a State plan for
that purpose. The Administrator shall approve the plan submitted by any
State, or any modification thereof, if the plan in his judgment—

(a) Designates a State agency as the agency responsible for
administering the plan throughout the State. Since several other
agencies or organizations may also be involved in administering portions
of the State plan, all of these shall be identified in the State plan,
particularly any other agencies or organizations responsible for
certifying applicators and suspending or revoking certification. In the
extent that more than one governmental agency will be responsible for
performing certain functions under the State plans, the plans shall
identify which functions are to be performed by which agency and
indicate how the program will be coordinated by the lead agency to
ensure consistency of programs within the State. The lead agency will
serve as the central contact point for the Environmental Protection
Agency in carrying out the certification program. The numbers and job
titles of the responsible officials of the lead agency and cooperating
units shall be included.

(b) Contains satisfactory assurances that such lead agency has or will
have the legal authority and qualified personnel necessary to carry out
the plan:

(1) Satisfactory assurances that the lead agency or other cooperating
agencies have the legal authority necessary to carry out the plans
should be in the form of an opinion of the Attorney General or the legal
counsel of the lead agency. In addition:

(i) The lead agency should submit a copy of each appropriate State law
and regulation.

(ii) In those States where any requisite legal authorities are pending
enactment and/or promulgation, the Governor (or Chief Executive) may
request that a State plan be approved contingent upon the enactment
and/or promulgation of such authorities. Plans approved on a contingency
basis will be subject to such reasonable terms and conditions,
concerning the duration of the contingency approval and other matters,
as the Administrator may impose. During the period of the contingency
approval, the State will have an approved certification program and may
proceed to certify applicators, who will then be permitted to use or
supervise the use of pesticides classified for restricted use under
FIFRA, as amended.

(iii) The State plan should indicate by citations to specific laws
(whether enacted or pending enactment) and/or regulations (whether
promulgated or pending promulgation) that the State has legal
authorities as follows:

(A) Provisions for and listing of the acts which constitute grounds for
denying, suspending, and revoking certification of applicators, and for
assessing criminal and/or civil penalties. Such grounds should include,
at a minimum, misuse of a pesticide and falsification of any records
required to be maintained by the certified applicator.

(B) Provisions for reviewing an applicator's certification to determine
whether suspension or revocation of the certification is appropriate in
the event of criminal conviction under section 14(b) of the amended
FIFRA, a final order imposing civil penalty under section 14(a) of the
amended FIFRA, or conclusion of a State enforcement action.

(C) Provisions for right-of-entry by consent or warrant by appropriate
State officials at reasonable times for sampling, inspection, and
observation purposes.

(D) Provisions making it unlawful for persons other than certified
applicators or persons working under their direct supervision to use
restricted use pesticides.

(E) Provisions requiring certified commercial applicators to keep and
maintain for the period of at least two years routine operational
records containing information on kinds, amounts, uses, dates, and
places of application of restricted use pesticides; and for ensuring
that such records will be available to appropriate State officials.

(2) Satisfactory assurances that the lead agency and any cooperating
organizations have qualified personnel necessary to carry out the plan
will be demonstrated by including the numbers, job titles and job
functions of persons so employed.

(c) Gives satisfactory assurances that the State will devote adequate
funds to the administration of the plan.

(d) Provides that the State agency will make reports to the
Administrator in a manner and containing information that the
Administrator may from time to time require, including:

(1) An annual report to be submitted by the lead agency, at a time to be
specified by the State, to include the following information:

(i) Total number of applicators, private and commercial, by category,
currently certified; and number of applicators, private and commercial,
by category, certified during the last reporting period.

(ii) Any changes in commercial applicator subcategories.

(iii) A summary of enforcement activities related to use of restricted
use pesticides during the last reporting period.

(iv) Any significant proposed changes in required standards of
competency.

(v) Proposed changes in plans and procedures for enforcement activities
related to use of restricted use pesticides for the next reporting
period.

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

(2) Other reports as may be required by the Administrator shall be
submitted from time to time to meet specific needs.

(e) Contains satisfactory assurances that the State standards for the
certification of applicators of pesticides conform to those standards
prescribed by the Administrator under §§171.1 through 171.6. Such
assurances should consist of:

(1) A detailed description of the State's plan for certifying
applicators and a discussion of any special situations, problems, and
needs together with an explanation of how the State intends to handle
them. The State plan should include the following elements as a minimum:

(i) For commercial applicators:

(A) A list and description of categories and subcategories to be used in
the State, such categories to be consistent with those defined in
§171.3.

(B) An estimate of the number of commercial applicators by category
expected to be certified by the State.

(C) The standards of competency elaborated by the State. These shall
conform and be at least equal to those prescribed in §171.4 for the
various categories of applicators utilized by the State. The standards
shall also cover each of the points listed in the general standards in
§171.4(b) and the points covered in the appropriate specific standards
set forth in §171.4(c).

(D) For each category and subcategory listed under §171.7(e)(1)(i)(A),
either submission of examinations or a description of the types and
contents of examinations (e.g., multiple choice, true-false) and
submission of sample examination questions; and a description of any
performance testing used to determine competency of applicators.

(ii) For private applicators:

(A) An estimate of the number of private applicators expected to be
certified by the State.

(B) The standards of competency elaborated by the State. These shall
conform and be at least equal to those prescribed in §171.5(a),
including the five requirements listed in §171.5(a) (1) through (5).

(C) Types and contents of examinations and/or submission of detailed
description of methods other than examination used to determine
competency of private applicators.

(D) A description of any special procedure of testing that a State
develops to determine the competency of a private applicator who is
unable to read the label as prescribed in §171.5(b)(1).

(2) A provision for issuance by the State of appropriate credentials or
documents verifying certification of applicators.

(3) If appropriate, a description of any existing State licensing,
certification or authorization programs for private applicators or for
one or more categories of commercial applicators may be included. If
these programs are determined by EPA to meet standards of competency
prescribed by §§171.1 through 171.6, States may certify applicators so
licensed, certified or authorized without any additional demonstration
of competency provided:

(i) The commercial applicators who were licensed, certified, or
authorized have demonstrated their competency based on written
examinations and, as appropriate, performance testing, conforming to the
standards set forth in §171.4, and 

(ii) The private applicators who were licensed, certified, or
authorized have demonstrated their competency by written or oral testing
procedures or other acceptable equivalent system, conforming to the
standards set forth in §171.5.

(4) A statement that the State accepts Federal employees qualified under
the Government Agency Plan (GAP) as fully meeting the requirements for
certification by that State; or a description of any additional
requirements these employees must meet to apply restricted use
pesticides in that State. Any such additional requirements shall be
consistent with and shall not exceed standards established for other
comparable applicators in that State.

(i) Until such time as the GAP has been fully developed and approved by
EPA, this statement (§171.7(e)(4)) is not required. However, within 60
days after final approval of the GAP, the State should forward such a
statement for inclusion in its State plan.

(5) A description of any cooperative agreements a State has made with
any Indian Governing Body to certify or assist in the certification of
applicators not subject to State jurisdiction. (§171.10).

(6) A description of any arrangements that a State has made or plans to
make relating to reciprocity with other States or jurisdictions for the
acceptance of certified applicators from those States or jurisdictions.
However, those arrangements should meet these conditions:

(i) The State according reciprocity should provide for issuance of an
appropriate document verifying certification based upon the certifying
document issued by the other States or jurisdictions.

(ii) The State according reciprocity should have enforcement procedures
that cover out-of-State applicators determined to be competent and
certified within the State or jurisdiction.

(iii) The detailed State or jurisdiction standards of competency, for
each category identified in the reciprocity arrangement should be
sufficiently comparable to justify waiving an additional determination
of competency by the State granting reciprocity.

(f) In responding to the preceding requirements, a State may describe in
its State plan other regulatory activities implemented under State laws
or regulations which will contribute to the desired control of the use
of restricted use pesticides by certified applicators. Such other
regulatory activities, if described, will be considered by the
Administrator in evaluating whether or not a State's certified
applicator program satisfies the requirements of §171.7 (a) through
(e).

[40 FR 11702, Mar. 12, 1975]

§ 171.8 Maintenance of State plans.

(a) Any State certification program approved under §171.7 shall be
maintained in accordance with the State plan approved under that
section. Accordingly, the State plan should include:

(1) Provisions to assure that certified applicators comply with
standards for the use of restricted use pesticides and carry out their
responsibility to provide adequate supervision of noncertified
applicators.

(2) Provisions to ensure that certified applicators continue to meet the
requirements of changing technology and to assure a continuing level of
competency and ability to use pesticides safely and properly.

(b) An approved State plan and the certification program carried out
under such plan may not be substantially modified without the prior
approval of the Administrator. A proposed change may be submitted for
approval at any time but all applicable requirements prescribed by these
Regulations must be satisfied for the modification to be eligible for
approval by the Administrator.

(c) Whenever the Administrator determines that a State is not
administering the certification program in accordance with the State
plan approved under §171.7, he shall so notify the State and provide
for a hearing at the request of the State and, if appropriate corrective
action is not taken within a reasonable time, not to exceed ninety days,
the Administrator shall withdraw approval of the plan.

[40 FR 11704, Mar. 12, 1975] 

§ 171.9 Submission and approval of Government Agency Plan.

This section is included to provide for certain Federal employees
including those whose duties may require them to use or supervise the
use of restricted use pesticides in a number of States.

(a) Sections 171.1 through 171.8 will, with the necessary changes, apply
to the Government Agency Plan (GAP) for determining and attesting to the
competency of Federal employees to use or supervise the use of
restricted use pesticides.

(b) Federal employees qualified under the GAP shall:

(1) Be prepared to present the Federal form issued to them attesting to
their competency to appropriate State officials.

(2) Fulfill any additional requirements States may have enumerated in
their State plans as provided for under §171.7(e)(4).

(c) The employing Federal agency shall ensure that certified employees
using or supervising the use of restricted use pesticides within a
Federal facility are subject to the same or equivalent provisions
prescribed under §171.7(b)(1)(iii) (A)–(E).

[40 FR 11704, Mar. 12, 1975]

§ 171.10 Certification of applicators on Indian Reservations.

This section applies to applicators on Indian Reservations.

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

(1) If the Indian Governing Body decides to utilize the State
certification program, it should enter into a cooperative agreement with
the State. This agreement should include matters concerning funding and
proper authority for enforcement purposes. Such agreement and any
amendments thereto shall be incorporated in the State plan, and
forwarded to the Administrator for approval or disapproval.

(2) If the Indian Governing Body decides to develop its own
certification plan, it shall be based on either Federal standards
(§§171.1 through 171.8) or State standards for certification which
have been accepted by EPA. Such a plan shall be submitted through the
United States Department of the Interior to the EPA Administrator for
approval.

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

(c) Non-Indians applying restricted use pesticides on Indian
Reservations not subject to State jurisdiction shall be certified either
under a State certification plan accepted by the Indian Governing Body
or under the Indian Reservation certification plan.

(d) Nothing in this section is intended either to confer or deny
jurisdiction to the States over Indian Reservations not already
conferred or denied under other laws or treaties.

[40 FR 11704, Mar. 12, 1975]

§ 171.11 Federal certification of pesticide applicators in States or on
Indian Reservations where there is no approved State or Tribal
certification plan in effect.

(a) Applicability. This section applies to persons in any State and on
any Indian Reservation where, because there is no approved State or
Tribal certification plan in effect, the Administrator implements an EPA
plan for the Federal certification of applicators of restricted use
pesticides.

(b) Certification requirement. In any State or on any Indian Reservation
where this section is applicable, any person who uses or supervises the
use of any pesticide classified for restricted use must be certified in
accordance with this section. However, a competent person who is not
certified may use a restricted use pesticide under the direct
supervision of a certified applicator for uses authorized by the
certified applicator's certification. Private applicator certification
shall authorize only those uses, or the supervision of those uses,
described in §171.2(t). Commercial applicator certification shall
authorize only those uses, or the supervision of those uses, included
within the specific category(ies) or subcategory(ies), described in
§171.3(b) or an applicable Federal plan, in which the applicator is
certified.

(c) Certification of commercial applicators—(1) Categories for
Commercial Applicators. Categories referred to in this section are the
same as those listed in §171.3(b). Determination of competency in each
category shall conform to the requirements of §171.4(a).

(2) Subcategories. The Administrator may adopt subcategories as he or
she deems necessary, consonant with the needs of the individual State or
Reservation.

(3) Standards for certification. The standards of competency for
certification of commercial applicators under this section are the same
as those listed in §171.4 (b) and (c) and §171.6.

(4) Certification procedure. An individual who desires to be certified
or recertified under this paragraph shall complete the EPA certification
form and submit the form to the appropriate EPA Regional Office. In
order to be initially certified as a commercial applicator under this
paragraph, an individual must take and pass written examinations
approved by the Administrator and administered by the Administrator or
any other party approved by him or her. A general examination will be
given, based on the general standards found in §171.4(b) and the
standards for supervision found in §171.6. In addition, specific
category and subcategory examinations will be given, based on the
appropriate category or subcategory standards found in §171.4(c) and
the applicable Federal plan. The Administrator will notify the
individual in writing of the results of the examinations within 45 days
unless special circumstances justify a longer time period. The
Administrator will issue to each person who has passed a general
examination and one or more category or subcategory examinations a
commercial applicator certificate covering each category and subcategory
in which he or she has qualified. A commercial applicator certificate is
valid for a period of three years from the date of issuance, unless
earlier suspended or revoked by the Administrator (two years from the
date of issuance, in the case of certificates issued prior to [effective
date of amended rule]), and is valid within the State or Indian
Reservation named on the certificate.

(5) Re-examination. Individuals failing to pass the required
certification examination(s) may be re-examined after notification of
failure. An individual seeking re-examination need take only the
examination(s) which he or she originally failed.

(6) Renewal of commercial applicator certification. A certified
commercial applicator may qualify for recertification by taking and
passing written examinations as specified in paragraph (c)(4) of this
section, or by successfully completing any available training program
approved for this purpose by the Administrator. Recertification
procedures must be completed by the certified commercial applicator
during the twelve month period preceding the expiration date of his or
her certificate.

(7) Recordkeeping requirements. (i) Each self-employed certified
commercial applicator, each firm employing a certified commercial
applicator, and each person who contracts with a certified commercial
applicator (or his or her employer) to have a restricted use pesticide
applied on property owned or operated by another person shall keep and
maintain at their principal place of business true and accurate records
of the use of restricted use pesticides, providing the following
information:

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

(B) Location of the pesticide application;

(C) Target pest(s);

(D) Specific crop or commodity, as appropriate, and site, to which the
pesticide was applied;

(E) Year, month, day, and time of application;

(F) Trade name and EPA registration number of the pesticide applied;

(G) Amount of the pesticide applied and percentage of active ingredient
per unit of the pesticide used; and

(H) Type and amount of the pesticide disposed of, method of disposal,
date(s) of disposal, and location of the disposal site.

(ii) Availability of required records. Each certified commercial
applicator shall keep all records required under this paragraph current
and shall make such records available for inspection and copying by
representatives of EPA for a period of at least two years from the date
of use of the pesticide.

(d) Certification of private applicators—(1) Certification
procedures. An individual who desires to be certified or recertified
under this paragraph shall complete the EPA certification form and
submit the form to the appropriate EPA Regional Office. In order to be
certified or recertified as a private applicator to use restricted use
pesticides, an individual must be determined competent with respect to
the use and handling of pesticide. Standards for such determination are
the same as those listed in §§171.5 and 171.6. The Administrator will
offer one or more of the following certification options, including at
least one option which does not require the applicator to take an
examination—

(i) Approved training course. The individual may successfully complete
an approved training course. Approved training courses may include
courses sponsored by EPA, State cooperative extension services, State
vocational agricultural courses, or private educational groups. Each
training course for certification must be approved for that purpose by
the Administrator and include, at a minimum, coverage of the private
applicator standards listed in §§171.5 and 171.6, and a demonstration
that the individual has successfully completed the training course.
Subject to the approval of the Administrator, this demonstration may be
accomplished by completion of a no pass/no fail written questionnaire or
a workbook, receipt of a passing grade in an approved course offered by
an educational institution, or any other equivalent procedure.

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

(iii) Self-study program. The individual may successfully complete a
self-study learning program approved by the Administrator and
administered by the Administrator or any other party approved by him or
her.

(iv) Non-reader certification. Non-readers may be certified for specific
use(s) of a single product by successfully completing an approved
training course as specified in (d)(1) (i) of this section, or by
passing an oral examination approved by the Administrator and
administered by the Administrator or any other party approved by him or
her. Such training or testing shall incorporate a specific procedure
relating to label comprehension, as described in §171.5(b)(1).

(2) Issuance of certificates. The Administrator will issue a private
applicator certificate to each individual who successfully completes any
available certification option. Individuals who, for any reason, fail to
complete successfully a certification option may attempt to complete the
same option or, if available, an alternative option. A private
applicator certificate is valid for a period of four years from the date
of issuance (three years from the date of issuance, in the case of
certificates issued before [effective date of amended rule]), unless
earlier suspended or revoked by the Administrator, and is valid within
the State or Indian Reservation named on the certificate.

(3) Renewal of private applicator certification. A certified private
applicator may qualify for recertification by successfully completing
any available certification option during the twelve month period
preceding the expiration date of his or her certificate.

(e) Recognition of other certificates. The Administrator may issue a
certificate to an individual possessing any other valid Federal, State
or Tribal certificate without further demonstration of competency. The
individual shall submit the EPA certification form and written evidence
of valid certification to the appropriate EPA Regional Office. The
Administrator may deny issuance of such certificate if the standards of
competency for each category or subcategory identified in the other
Federal, State or Tribal certificate are not sufficiently comparable to
justify waiving further demonstration of competency. The Administrator
may revoke, suspend, or modify such certificate if the Federal, State or
Tribal certificate upon which it is based is revoked, suspended, or
modified. Unless suspended or revoked, a certificate issued under this
paragraph is valid for two years for commercial applicators and three
years for private applicators, or until the expiration date of the
original Federal, State or Tribal certificate, whichever occurs first.

(f) Denial, suspension, modification or revocation of a certificate. (1)
The Administrator may suspend all or part of a certificate issued
pursuant to this section, or, after opportunity for a hearing, may deny
issuance of, or revoke or modify, a certificate issued pursuant to this
section, if he or she finds that the applicant or certificate holder has
been convicted under section 14(b) of the amended FIFRA, has been
subject to a final order imposing a civil penalty under section 14(a) of
the amended FIFRA, or has committed any of the following acts:

(i) Used any registered pesticide in a manner inconsistent with its
labeling;

(ii) Made available for use, or used, any registered pesticide
classified for restricted use other than in accordance with section 3(d)
of the amended FIFRA and any regulations promulgated thereunder;

(iii) Refused to keep and maintain any records required pursuant to this
section;

(iv) Made false or fraudulent records, invoices or reports;

(v) Failed to comply with any limitations or restrictions on or in a
duly issued certificate; or,

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

(2) If the Administrator decides to deny, revoke, or modify a
certificate, he or she will:

(i) Notify the applicant or certificate holder of:

(A) The ground(s) upon which the denial, revocation or modification is
based;

(B) The time period during which the denial, revocation or modification
is effective, whether permanent or otherwise;

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

(D) Any additional conditions the Administrator may impose.

(ii) Provide the applicant or certificate holder an opportunity to
request a hearing prior to final Agency action to deny, revoke or modify
the certificate.

(3) If a hearing is requested by an applicant or certificate holder
pursuant to paragraph (f)(2)(ii) of this section, the Administrator
will:

(i) Notify the affected applicant or certificate holder of those
assertions of law and fact upon which the action to deny, revoke or
modify the certificate is based;

(ii) Provide the affected applicant or certificate holder an opportunity
to offer written statements of facts, explanations, comments, and
arguments relevant to the proposed action;

(iii) Provide the affected applicant or certificate holder such other
procedural opportunities as the Administrator may deem appropriate to
ensure a fair and impartial hearing; and

(iv) Appoint an attorney in the Agency as Presiding Officer to conduct
the hearing. No person shall serve as Presiding Officer if he or she has
had any prior connection with the specific case.

(4) The Presiding Officer appointed pursuant to paragraph (f)(3)(iv) of
this section shall:

(i) Conduct a fair, orderly, and impartial hearing, without unnecessary
delay;

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

(iii) Promptly notify the affected applicant or certificate holder of
his or her decision and order. Such an order is a final Agency action
subject to judicial review in accordance with Section 16 of the amended
FIFRA.

(5) If the Administrator decides to suspend all or part of a
certificate, he or she will:

(i) First determine that the public health, interest or welfare warrants
immediate action to suspend the certificate;

(ii) Notify the certificate holder of the ground(s) upon which the
suspension action is based;

(iii) Notify the certificate holder of the time period during which the
suspension is effective; and,

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

(6) In cases where the act constituting grounds for suspension,
revocation, or modification of a certificate is neither willful nor
contrary to the public interest, health, or safety, the affected
certificate holder may have additional procedural rights under 5 U.S.C.
558(c).

(7) Any notice, decision, or order issued by the Administrator under
paragraph (f) of this section, and any documents filed by an applicant
or certificate holder in a hearing under paragraph (f) of this section,
shall be available to the public except as otherwise provided by section
10 of the amended FIFRA or by part 2 of this title. Any such hearing at
which oral testimony is presented shall be open to the public, except
that the Presiding Officer may exclude the public to the extent
necessary to allow presentation of information which may be entitled to
confidentiality under section 10 of the amended FIFRA or under part 2 of
this title.

(g) Pesticide dealer reporting and recordkeeping requirements,
availability of records, and failure to comply—(1) Reporting
requirements. Each person who is a restricted use pesticide retail
dealer in a State or on an Indian Reservation where the Administrator
conducts the applicator certification and training program shall:

(i) Report to the Environmental Protection Agency (EPA) the business
name by which the restricted use pesticide retail dealer operates, and
the name and business address of each of his dealerships. For dealers or
dealerships in Nebraska this initial report must be submitted to EPA,
Region VII, 324 E. 11th Street, Kansas City, MO 64106. For dealers or
dealerships in Colorado this initial report must be submitted to EPA,
Region VIII, 1860 Lincoln Street, Denver, Colorado 80295. This report
shall be submitted to the appropriate EPA regional office no later than
60 days after the date the person first becomes a restricted use
pesticide retail dealer, or within 60 days after the publication of the
effective date of this final rule, whichever date is later.

(ii) Submit revisions to the initial report to the appropriate EPA
regional office listed above reflecting any name changes, additions or
deletions of dealerships. Revisions shall be submitted to EPA within 10
days of the occurrence of such change, addition or deletion.

(2) Recordkeeping requirement. Recordkeeping is required when making
restricted use pesticides available to:

(i) Certified applicators. Each restricted use pesticide retail dealer
shall maintain at each individual dealership records of each transaction
where a restricted use pesticide is made available for use by that
dealership to a certified applicator. Record of each such transaction
shall be maintained for a period of 24 months after the date of the
transaction, and shall include the following information:

(A) Name and address of the residence or principal place of business of
each person to whom the pesticide was made available for use.

(B) The certification number on the document evidencing that person's
certification, the State (or other governmental unit) that issued the
document, the expiration date of the certification, and the categories
in which the applicator is certified, if appropriate.

(C) The product name, EPA registration number, and the State special
local need registration number, granted under section 24(c) of the FIFRA
(if any) on the label of the pesticide.

(D) The quantity of the pesticide made available for use in the
transaction.

(E) The date of the transaction.

(ii) Uncertified persons. No dealer or dealership may make a restricted
use pesticide available to an uncertified person unless he can document
that the restricted use pesticide will be used by a certified
applicator, and he maintains the records required in this subsection.
Each restricted use pesticide retail dealer shall maintain records at
each individual dealership of each transaction where a restricted use
pesticide was made available to an uncertified person for use by a
certified applicator. Records of each such transaction shall be
maintained for a period of 24 months after the date of the transaction,
and shall include the following information:

(A) The name and address of the residence or principal place of business
of the uncertified person to whom the restricted use pesticide is made
available for use by a certified applicator.

(B) The name and address of the residence or principal place of business
of the certified applicator who will use the restricted use pesticide.

(C) The certified applicator's certification number, the State (or other
governmental unit) that issued his certification document, the
expiration date of the certification, and the categories in which the
applicator is certified, if appropriate.

(D) The product name, EPA registration number, and the State special
local need registration number, granted under section 24(c) of the FIFRA
(if any) on the label of the pesticide.

(E) The quantity of the pesticide made available for use in the
transaction.

(F) The date of the transaction.

(G) At the time of each transaction, EPA recommends that the dealer
obtain the information required in paragraph (g)(2)(ii) (A) through (C)
of this section and assure himself that the restricted use pesticide is
made available for use by a certified applicator by examining one of the
following sets of documents:

(1) The original of the certified applicator's certification document,
and a driver's license or other State, county, or Tribal identification
document issued to the uncertified person to whom the restricted use
pesticide is made available.

(2) A photocopy or facsimile of the certified applicator's certification
document, together with a statement signed by the certified applicator
authorizing the uncertified person to purchase the restricted use
pesticide on his behalf, and a driver's license or other State, county,
or Tribal identification document issued to the uncertified person to
whom the restricted use pesticide is made available.

(3) A photocopy or facsimile of the certified applicator's
certification document, together with a copy of a signed contract or
agreement, between the uncertified person to whom the restricted use
pesticide is being made available for use and the identified certified
applicator, which provides for the use of the restricted use pesticide
by the identified certified applicator, and a driver's license or other
State, county, or Tribal identification document issued to the
uncertified person to whom the restricted use pesticide is made
available.

(3) Availability of required records. Each pesticide dealer shall, upon
request of any officer or employee of EPA duly designated by the
Administrator, furnish or permit such person at all reasonable times to
have access to and copy all records required to be maintained under this
section.

(4) Failure to comply. Any person who fails to comply with the
provisions of this rule may be subject to civil or criminal sanctions,
under section 14 of the Act, or 18 U.S.C. 1001. Violations include
failure to submit or falsification of any report required under this
paragraph, failure to maintain or falsification of records as required
under this section, and making available for use any pesticide
classified for restricted use to a person who is not a certified
commercial applicator other than in accordance with these regulations
and section 3(d) of the amended FIFRA or rules promulgated thereunder.

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

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

ATTACHMENT D

Record of EPA Consultations With Respondents Regarding the ICR Renewal

Record of Consultations 

Reserved for record of consultations with future contacts	EPA ICR No.
0155.09                                       OMB Control No. 2070-0029

ATTACHMENT E

EPA Form 8500-17-N - Private Pesticide Applicator Certification
Application Form

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

ATTACHMENT F

Wage Rate Tables for Commercial Pesticide Applicators,

 State Government, and EPA   COMMERCIAL PESTICIDE APPLICATOR LABOR
COSTS

Labor Category	

Formula	

Technical

Unloaded Hourly Rate1	

= W	$14.11 

Benefits Percentage2 	

Lb = B/W	43%

Benefits per hour	

B = W*Lb	$6.07 

Loaded Hourly Rate	

Wb = W + B 

       = W(1+Lb)	$20.18 

Overhead Percentage3	

Lo = OH/Wb	50%

Overhead per hour	

OH = Wb*Lo	$10.09 

Fully Loaded Hourly Rate	

Wf = Wb + OH

=  W + B + OH 	$30.27 

1.  Data Source:       HYPERLINK
"http://www.bls.gov/oes/current/naics5_561710.htm#b37-0000" 
http://www.bls.gov/oes/current/naics5_561710.htm#b37-0000 

     Technical:         37-2021, Pest Control Workers

     May 2006 data

2. Fringe benefits/wage per hour.

3. U. S. Environmental Protection Agency, EPA Air Pollution Control Cost
Manual, Sixth Edition, EPA-452-02-001, January 2002, pg. 2-34.  The
loading for indirect costs is within the range of 20-70% of the load
labor rate (wage + benefits) suggested in EPA guidance.

STATE GOVERNMENT LABOR COSTS

Labor Category	

Formula	

Managerial	

Technical	

Clerical

Unloaded Hourly Rate1	

= W	$35.19 	$24.19 	$16.27 

Benefits Percentage2	

Lb = B/W	43%	43%	43%

Benefits per hour	

B = W*Lb	$15.13 	$10.40 	$7.00 

Loaded Hourly Rate	

Wb = W + B 

       = W(1+Lb)	$50.32 	$34.59 	$23.27 

Overhead Percentage3	

Lo = OH/Wb	50%	50%	50%

Overhead per hour	

OH = Wb*Lo	$25.16 	$17.30 	$11.63 

Fully Loaded Hourly Rate	

Wf = Wb + OH

=  W + B + OH 	$75.48 	$51.89 	$34.90 

1.  Data Source:    HYPERLINK
"http://www.bls.gov/oes/current/naics4_999200.htm" 
http://www.bls.gov/oes/current/naics4_999200.htm     

     Management:   11-0000, Management Occupations

     Technical:   19-0000, Life, Physical, and Social Science
Occupations

     Clerical:    43-0000, Office and Administrative Support Occupations

     May 2006 data

2. Fringe benefits/wage per hour.

3. U. S. Environmental Protection Agency, EPA Air Pollution Control Cost
Manual, Sixth Edition, EPA-452-02-001, January 2002, pg. 2-34.  The
loading for indirect costs is within the range of 20-70% of the load
labor rate (wage + benefits) suggested in EPA guidance. 

EPA LABOR COSTS

Labor Category	

Formula	

Managerial	

Technical	

Clerical

Unloaded Hourly Rate1	

= W	$47.16 	$31.18 	$18.29 

Benefits Percentage2	

Lb = B/W	43%	43%	43%

Benefits per hour	

B = W*Lb	$20.28 	$13.41 	$7.86 

Loaded Hourly Rate	

Wb = W + B 

       = W(1+Lb)	$67.44 	$44.59 	$26.15 

Overhead Percentage3	

Lo = OH/Wb	50%	50%	50%

Overhead per hour	

OH = Wb*Lo	$33.72 	$22.29 	$13.08 

Fully Loaded Hourly Rate	

Wf = Wb + OH

=  W + B + OH 	$101.16 	$66.88 	$39.23 

1.  Data Source:    HYPERLINK
"http://www.bls.gov/oes/current/naics4_999100.htm" 
http://www.bls.gov/oes/current/naics4_999100.htm     

     Management:   11-0000, Management Occupations

     Technical:   19-0000, Life, Physical, and Social Science
Occupations

     Clerical:    43-0000, Office and Administrative Support Occupations

     May 2006 data

2. Fringe benefits/wage per hour.

3. U. S. Environmental Protection Agency, EPA Air Pollution Control Cost
Manual, Sixth Edition, EPA-452-02-001, January 2002, pg. 2-34.  The
loading for indirect costs is within the range of 20-70% of the load
labor rate (wage + benefits) suggested in EPA guidance. 

The term Indian Reservation means any federally-recognized reservation
established by Treaty, Agreement, Executive Order, or Act of Congress.

The term Indian Governing Body means the governing body of any tribe,
band, or group of Indians subject to the jurisdiction of the United
States and recognized by the United States as possessing power of
self-government.

 PAGE   

 PAGE   18 

Form Approved.  OMB Control No. 2070-0029.  Expires xx-xx-xxxx