1.3 Alabama Records, Supervision, Inspections & Penalties

1.3 Alabama Records, Supervision, Inspections & Penalties

Quick Summary: Commercial permit holders must keep records of every application of restricted use and other pesticides for at least three years (Rule 80-1-13-.14). A permit holder may let a competent person apply RUPs under direct supervision (Rule 80-1-13-.12), and federal rule 40 CFR 171.201 adds training, age, labeling, and communication requirements. ADAI inspectors may enter premises and examine records. Rule 80-5-1 sets civil penalty maximums, from $1,000 for recordkeeping failures to $10,000 for misusing an RUP, with higher maximums for repeat offenses.

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Commercial Recordkeeping: Rule 80-1-13-.14

All commercial permit holders must keep, for not less than three years, books and records that accurately show, for each application of a restricted use or other pesticide:

Two points are frequently misunderstood:

• Scope: The rule covers restricted use and other pesticides, not only RUPs.
• Private applicators: Rule 80-1-13-.14(1) says private applicators do not have to keep state records unless a product's labeling requires them.

Custom application licensees have an additional record rule under 80-1-14-.08 (Section 1.4). Agricultural employers covered by the Worker Protection Standard must also keep WPS application and hazard information (Chapter 2).

Federal change to know: For decades, USDA's 7 CFR Part 110 required certified private applicators to record federally restricted use pesticide applications. USDA removed Part 110 in May 2025 (Federal Register document 2025-08220). Older study materials may still describe it, but Alabama's state rule and any label or WPS requirements are what now apply.

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Direct Supervision of Noncertified Applicators

Alabama rule (80-1-13-.12)

The Commissioner may allow a competent person to apply RUPs under the direction of a private or commercial permit holder whose permit covers the pesticide being used. The level of supervision depends on the hazard:

• When physical presence is not required, supervision may be provided through detailed written or oral instructions plus a way to contact the permit holder when needed.
• When the situation is more hazardous or the labeling requires it, the permit holder must be physically present.

For custom operations, Rule 80-1-14-.02 defines direct supervision the same way: a supervisor who is available if and when needed, even if not physically present.

Federal certification rule (40 CFR 171.201)

EPA's revised certification rule sets national minimums for a certified applicator who allows a noncertified applicator to use RUPs under direct supervision. The certified applicator must ensure that the noncertified applicator:

• Is qualified, for example by pesticide safety training within the last 12 months (or WPS handler training within 12 months).
• Has been instructed within the last 12 months on safe operation of the equipment.
• Is at least 18 (16 only for immediate family of a private applicator, and never for fumigants or aerial work).
• Has access to the product labeling at all times during use, plus clean, labeling-required PPE.
• Receives site- and pesticide-specific instructions before use.
• Has a means to immediately communicate with the certified applicator.

The certified applicator must also check that equipment is in proper condition before each day of use and be physically present when the labeling requires it. Commercial applicators must keep qualification records for two years.

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Inspections and Permit Actions

Inspection authority

• Section 2-27-12 lets the Commissioner or an agent enter premises during regular business hours to sample and inspect pesticides, devices, and records; refusing entry violates the act.
• Rule 80-1-13-.13 allows inspectors to enter a user's premises during application or normal business hours, copy required records, sample pesticides diluted for application or ready for dilution, and observe application techniques against the label.

Grounds to deny, suspend, revoke, or modify a permit (Rule 80-1-13-.11)

The Commissioner may act when a person has:

1. Failed to meet the competency standards for the permit.
2. Injured people or the environment by misusing a pesticide.
3. Failed or refused to keep true and accurate records.
4. Violated the Alabama Pesticide Law, its rules, or FIFRA.
5. Used a pesticide inconsistently with its labeling.
6. Failed to comply with permit requirements, including renewal.

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Civil Penalties: Rule 80-5-1

Rule 80-5-1 sets maximum civil penalties. The Commissioner decides whether to impose a penalty and how much, up to the maximum, and may use a civil penalty instead of, or together with, permit revocation or criminal prosecution.

"Misuse" means using a pesticide inconsistently with its label or the manufacturer's printed instructions.

Repeat violations (80-5-1-.10)

If the same person commits the same offense again, the maximum increases:

• Within 12 months: up 100%.
• After 12 but within 24 months: up 50%.
• After 24 but within 36 months: up 25%.
• After 36 months: no increase.

Criminal penalties

Violating the Alabama Pesticide Act or its rules is a misdemeanor (§2-27-16). Violating the custom application article carries a fine of $25 to $500 and up to six months in jail (§2-27-62).

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💡 Practical Scenario: An Inspection at a Turf Company

Scenario: An ADAI inspector visits a lawn-care company. A technician without a permit is applying an RUP. The supervising permit holder gave only a verbal instruction ("spray the usual"), the technician has no copy of the labeling, and the company's records for the last month list only the product name and the date.

• Supervision problem: Federal rule 40 CFR 171.201 requires site-specific instructions, access to the labeling, and a way to reach the supervisor immediately.
• Records problem: Rule 80-1-13-.14 requires seven elements for every application; an incomplete record counts as a violation under 80-5-1-.05, with a maximum civil penalty of $1,000.
• If the application also violates the label, RUP misuse carries a maximum civil penalty of $10,000, and the permit can be suspended or revoked under 80-1-13-.11.

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💡 Exam Tips for Success

• Records: commercial = every application, RUP and non-RUP, 3 years, 7 elements.
• Private applicators: no state record requirement unless the label requires it; the USDA Part 110 federal rule was removed in 2025.
• Supervision: written or oral instructions and a way to reach the permit holder; physical presence when the hazard or labeling requires it.
• 80-5-1 maximums: RUP misuse $10,000; non-RUP misuse $5,000; operating unlicensed $3,000; records $1,000; repeats within 12 months +100%.