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Agricultural Marketing Service Room 2648-South Building Effective Date: December 8, 2015

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NOP 2501 Evaluating Auditor Performance Rev04 03 20 24 Authorized Distribution: Public

National Organic Program

Evaluating Auditor Performance

1. Purpose

This document explains the National Organic Program (NOP) policies and responsibilities for 

training and performance evaluations of auditors and technical experts who perform or 

participate in NOP audits.

2. Scope

This document applies to the performance and training evaluation process for NOP Auditors-inTraining and NOP Auditors, and Technical Experts. Subcontractors identified to perform work 

on behalf of the NOP shall have an equivalent system for evaluating auditors.

3. Policy

NOP uses NOP 2501-1 NOP Auditor-in-Training Evaluation Worksheet, and NOP 2501-2 NOP 

Auditor Evaluation Worksheet (Evaluation Worksheets) to monitor, evaluate, and record the 

performance and overall competence of NOP Auditors-in Training, NOP Auditors, and technical 

experts. 

4. Responsibilities

4.1. Evaluatees shall

a. Have a clear understanding of their role(s) and responsibilities and shall request 

clarifications when necessary.

b. Seek feedback from the evaluator during training or as soon as possible after training

occurs.

c. Sign, date, and return the applicable Evaluation Worksheet to acknowledge 

discussion of the evaluation and return to the Evaluator within ten (10) working days 

of receipt. Signing the Evaluation Worksheet does not indicate agreement with the 

findings. 

d. Take steps to improve competence or performance when identified as needing 

improvement or unsatisfactory.

4.2. Evaluator shall:

a. Conduct evaluations on all aspects of the accreditation process including but not 

limited to, onsite audits, witness audits, and desk audits.

b. Document strengths, needs for improvement, and concerns on the applicable 

Evaluation Worksheet to determine the overall rating of individual being evaluated. 
United States Department of Agriculture 1400 Independence Avenue S.W. NOP 2501

Agricultural Marketing Service Room 2648-South Building Effective Date: December 8, 2015

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NOP 2501 Evaluating Auditor Performance Rev04 03 20 24 Authorized Distribution: Public

c. Submit the completed Evaluation Worksheet to the evaluatee, his/her supervisor, and 

the Accreditation Division (AD) Director as soon as possible after performing the 

evaluation, within ten (10) working days.

d. Discuss the evaluation with the evaluatee, and his/her supervisor, as soon as possible 

after the evaluation is received. If the evaluation is conducted in person, as opposed 

to via desk audit, the evaluator is expected to discuss the evaluation results with the 

evaluatee at the conclusion of the audit activity. 

e. Conduct additional evaluation tasks as determined by the NOP AD Director. 

4.3. AD Director Responsibilities

a. Monitor the NOP AD Auditors’ and Evaluators’ competence and/or performance 

during Training Evaluations, Witness Appraisals, Desk Appraisals, other 

communications, and through Evaluation Worksheets provided by evaluators.

b. Discuss individual and overall ratings lower than “Competent” and “Acceptable,” as 

applicable, with the evaluatee as soon as possible after notification of the rating. 

Assist in improving NOP Auditors and Evaluators competence and/or performance in 

areas rated as needing improvement or unsatisfactory by developing a documented 

improvement plan. 

c. Report deficiencies or concerns regarding the evaluation of contracted auditors to 

their respective representatives.

d. Maintain NOP Auditor Matrix to ensure that NOP Auditors conducting assessment

activities have received required training and are performing assigned activity(s) at 

the competent level. 

5. Frequency of Evaluations 

5.1. NOP Auditor-in-Training Evaluations 

NOP Auditor-in-Training evaluations shall be completed by the evaluator each time an NOP 

Auditor-in-Training participates in an assessment. NOP 2501-1 NOP Auditor-in-Training 

Evaluation Worksheet shall be used to record the training and the competence of the NOP 

Auditor-in-Training. 

5.2. NOP Auditor and Related Body’s Auditors Performance Evaluations 

NOP Auditor and Related Body’s Auditors Performance Evaluations shall be used to verify the 

Auditor's competence and performance. NOP 2500-2 NOP Auditor Performance Evaluation 

Worksheet shall be completed by an evaluator at least annually (one evaluation must be 

concurrent with the annual NOP AD auditor performance appraisal, as appropriate).

a. A Desk Appraisal shall be performed at least annually.

b. A Witness Appraisal shall be conducted at least once every 3 years.
United States Department of Agriculture 1400 Independence Avenue S.W. NOP 2501

Agricultural Marketing Service Room 2648-South Building Effective Date: December 8, 2015

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NOP 2501 Evaluating Auditor Performance Rev04 03 20 24 Authorized Distribution: Public

6. Determining Overall Rating for Evaluations 

6.1. Preliminary Rating System 

A five-level rating system shall be used to evaluate training and performance. The rating levels 

consistent of “Outstanding”, “Strong”, “Competent”, “Needs Improvement”, and 

“Unsatisfactory.” “Not Observed” is used to identify areas that were not evaluated during the 

evaluation.

6.2. Definitions of Preliminary Ratings

a. Outstanding means that performance is this area is consistently outstanding. 

Practices are demonstrated at the highest level of performance. The evalutee

continuously undertakes additional, appropriate responsibilities. 

b. Strong means that the performance in this area is frequently high. Some practices are 

demonstrated at a high level while others are at a consistently adequate acceptable 

level. The evaluatee sometimes seeks to expand the scope of personal and 

professional qualities and often undertakes additional, appropriate responsibilities.

c. Competent means that performance in this area is generally effective and practices 

are demonstrated at an acceptable level. The evaluatee maintains an adequate scope 

of personal and professional qualities and performs additional responsibilities as 

assigned.

d. Needs Improvement means that performance in this area requires improvement to 

attain a minimum level of competency. Practices are not consistently demonstrated at 

an acceptable level.

e. Unsatisfactory means that performance in this area is ineffective and requires 

extensive improvement to attain a minimum level of competency.

f. Not Observed means that performance in this area was not observed and cannot be 

rated.

6.3. Overall Rating 

A three-level overall rating system is used to determine an evaluatee’s level of participation in 

future audit activities. The three levels are “Acceptable”, “Acceptable with Conditions”, and 

“Unacceptable.”

6.4. Definitions of Overall Ratings

a. Acceptable means that the evaluatee received preliminary ratings of Outstanding, 

Strong, or Competent in all activities. This rating means the evaluatee has no 

restrictions.

b. Acceptable with Conditions means that the evaluatee received one or more 

preliminary ratings of Needs Improvement. This rating means that the evaluatee
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Agricultural Marketing Service Room 2648-South Building Effective Date: December 8, 2015

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cannot serve as a Team Leader, but may participate as a Team Member, at the 

discretion of his/her supervisor and the program manager. The evaluatee must 

receive additional training, instruction, or other improvement plan activities, until 

s/he is determined to be competent in the activity(s) rated as Needs Improvement. 

c. Unacceptable means that the evaluatee received one or more preliminary ratings of 

Unsatisfactory. This rating means that the evaluatee cannot serve as Team Leader or 

a Team Member. The evaluatee must receive additional training, instruction, or other 

improvement plan activities, until s/he is determined to be competent in the activity(s) 

rated as Unsatisfactory. 

7. Records

The NOP Auditor Performance Evaluation Worksheet and the NOP Auditor-in-Training 

Worksheet records shall be maintained by the AD Division Director for evidence of meeting the 

NOP Auditor Criteria for the Specific Program and by the evaluatee’s rating official as

documentation of performance.

8. References

Other Laws and Regulations 

ISO 19011:2011 Guidelines for auditing management systems

NOP Program Handbook: Guidance and Instructions for Accredited Certifying Agents 

and Certified Operations 

NOP 2000 General Accreditation Policies and Procedures

NOP 2500 NOP Auditor Criteria 

NOP 2501-1 NOP Auditor-in-Training Evaluation Worksheet

NOP 2501-2 NOP Auditor Evaluation Worksheet