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Accredited Certifying Agent (ACA)

Compliance Procedures for

Minor Noncompliances

Adopted 4-29-04 – 13 yes, 0 no, 1 absent

I. Introduction – The draft recommendation below is a work product of a committee of the National Organic 

Standards Board, which is an advisory board to the USDA’s National Organic Program. The language does not 

represent new regulation or guidance from the USDA.

The NOP Rule allows accredited certifying agents (ACAs) to issue certification with “minor noncompliances”. 

The terms “minor noncompliance”, “noncompliance”, and “organic integrity” are used in the regulation, but are 

not defined in the Rule or in OFPA. There is a need to provide guidance to ACAs to ensure that minor 

noncompliances are established in a consistent manner.

By way of introduction, all readers are reminded that any deviation from the regulation is a violation. The 

severity of the violation determines the consequences. This guidance document is offered to help ACAs 

establish appropriate and consistent sanctions for all instances where evidence confirms that noncompliances 

have occurred.

II. Background – The NOP Rule mentions “minor noncompliances” related to certification in §205.404(a), 

§205.406(a)(3) and §205.501(a)(18). The term “minor noncompliances” is also used in reference to conditions 

for accreditation in §205.506(b)(3).

A. Rule Citations:

§ 205.404 Granting certification.

(a) Within a reasonable time after completion of the initial on-site inspection, a certifying agent must review the 

on-site inspection report, the results of any analyses for substances conducted, and any additional information 

requested from or supplied by the applicant. If the certifying agent determines that the organic system plan and 

all procedures and activities of the applicant's operation are in compliance with the requirements of this part and 

that the applicant is able to conduct operations in accordance with the plan, the agent shall grant certification. 

The certification may include requirements for the correction of minor noncompliances within a specified time 

period as a condition of continued certification. (Underline added.)

§ 205.406 Continuation of certification.

(a) To continue certification, a certified operation must annually pay the certification fees and submit the 

following information, as applicable, to the certifying agent:

(3) An update on the correction of minor noncompliances previously identified by the certifying agent as 

requiring correction for continued certification; 

§ 205.501 General requirements for accreditation.

(a) A private or governmental entity accredited as a certifying agent under this subpart must:

(18) Provide the inspector, prior to each on-site inspection, with previous on-site inspection reports and notify 

the inspector of its decision regarding certification of the production or handling operation site inspected by the 

inspector and of any requirements for the correction of minor noncompliances;

§ 205.506 Granting accreditation.

(b) On making a determination to approve an application for accreditation, the Administrator will notify the 

applicant of the granting of accreditation in writing, stating:

(3) Any terms and conditions for the correction of minor noncompliances; 

B. Preamble Citations:

While the Rule does not define “minor noncompliances”, the Preamble offers some guidance. 
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On page 80592, the Preamble states, ”The certifying agent will make the determination of whether a violation of 

the Act and regulations is minor. Minor noncompliances are those infractions that, by themselves, do not 

preclude the certification or continued certification of an otherwise qualified organic producer or handler. The 

certifying agent would be free to modify the time period for correction should it believe it to be appropriate.”

Page 80593 goes on to state, “(13) Correction of Minor Noncompliances. We have amended section 205.406(a) 

by adding a new paragraph (3) which requires the certified operation to include with its annual reporting an 

update on the correction of minor noncompliances previously identified by the certifying agent as requiring 

correction for continued certification. A commenter recommended adding at 205.406(a) a requirement that the 

certified operation address any restrictions that have been applied to its certification under 205.404(a). We 

agree with the commenter that the annual reporting by the certified operation should include an update 

addressing the certified operation's compliance with the certifying agent's requirements for the correction of 

minor noncompliances. Accordingly, we amended section 205.406(a) as noted above and re-designated 

paragraph (3) as paragraph (4). The certifying agent will make the determination of whether a violation of the 

Act and regulations is minor. Minor noncompliances are those infractions that, by themselves, do not preclude 

the certification or continued certification of an otherwise qualified organic producer or handler.”

As shown above, the Preamble provides some discussion of “minor noncompliances”, but it does not define the 

term or establish criteria for the determination of a minor noncompliance. 

C. Discussion:

Accredited certifying agents are clearly empowered by the Rule to make determinations whether violations of 

the Act and regulations are minor. There is a need to define “minor noncompliance” and “noncompliance” to 

assure that the Rule is consistently administered by all domestic and foreign, new and experienced ACAs. 

(Note: A previous draft from the Accreditation Committee referred to “major noncompliances”. Since the term 

“major” is not used in the Rule, the phrase “major noncompliance” has been replaced by “noncompliance” in this 

guidance document.)

There is also a need to provide clarification of the notification of noncompliance procedures. Such guidance is 

contained in the Certification, Accreditation, and Compliance Committee’s recommendation, which is based on 

the noncompliance procedures contained in the Rule.

There is a further need to provide examples of minor noncompliances and noncompliances. Such examples are 

contained in the Addendum to this recommendation. The examples are presented for guidance and discussion 

purposes, and are not meant as an all-inclusive list. Additional noncompliances can and do occur. The 

examples address crop production only. No examples are given for livestock production, handling, or labeling 

violations.

Historically, certifying agents have granted “conditional certification” to operations which are not in full 

compliance. Synonymous terms include “continuous improvement points” or “certification with minor 

improvements required”. During the inspection and certification process, minor issues are identified which must 

be addressed in order for the applicant to be certified, or for the certified operator to continue to be granted 

certification. The concept of conditional certification is embodied in the allowance for “minor noncompliances” 

contained in the NOP regulation.

When considering the initial certification to a new applicant, an ACA must assess all identified noncompliances 

to determine which noncompliances are minor, meaning that “conditional” certification can be granted, and 

which noncompliances affect the operation’s organic integrity, therefore precluding certification. All 

noncompliances which have the potential to negatively affect an operation’s ability to maintain organic integrity 

should be regarded as pre-certification conditions, meaning that the noncompliances must be resolved prior to 

granting certification. If the noncompliances are not resolved to the satisfaction of the ACA, certification must be 

denied.

When an operation is granted certification with minor noncompliances, the findings of non-compliance are 

communicated to the operator, and the operator must respond to the notice of minor noncompliances in a time 

period specified by the ACA. In essence, the operator’s Organic System Plan is amended to include all minor 

noncompliances, the resolution of which function as conditions for certification of the operation. 
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If a certified operator does not correct or rebut a minor noncompliance in the time period specified by the 

certifying agent, the minor noncompliance can become a full noncompliance, which can set in motion notification 

of proposed suspension or revocation proceedings. Likewise, an operation can have so many minor 

noncompliances that certification of the operation is precluded. 

ACAs must examine all evidence presented to determine which noncompliances are minor, and which preclude 

certification of an operation or portion of an operation. Operations can be certified with minor noncompliances. 

Operations cannot be certified or remain certified with noncompliances.

As stated in the introduction, all deviations from the regulation are violations. All deviations must be corrected in 

order for initial certification to be granted or for certification to remain in effect. All findings of noncompliance, 

including minor noncompliances, must be based on solid evidence. The ACA must provide burden of proof 

when any finding of minor noncompliance or noncompliance is issued.

ACAs, like certified operators, must maintain auditable records of all noncompliances and sanctions issued. Just 

as operator records are essential to demonstrate compliance with the regulation, certifier records demonstrate 

compliance with accreditation requirements. ACA records should demonstrate that sufficient evidence was 

gathered, proper notification procedures were followed, and all operations with similar violations were treated 

equitably. 

The guidance presented below is offered to help bring consistency and clarity to the establishment of minor 

noncompliances and noncompliances. While the recommendation has no legal authority, it represents the 

NOSB’s “best thinking” on the subject. 

III. Recommendation – The National Organic Standards Board recommends that the NOP consider the 

following when constructing a guidance document on noncompliances:

A. General

All Notices of Noncompliance and Notices of Proposed Suspension or Revocation of Certification will follow the 

Certification, Compliance, and Appeals procedures specified in §205.400-205.406 and §205.660-205.681. 

B. Definition of terms

 (major) Noncompliance - a finding that affects the integrity of the organic system or the organic product and 

precludes the certification or continued certification of a producer or handler.

 Minor Noncompliance - a finding of noncompliance that is correctable, does not affect the integrity of the 

organic system or the organic product, and does not preclude the certification or continued certification of an 

otherwise qualified organic producer or handler.

 Organic integrity - the qualities of an organic product or production or handling system which are obtained 

through compliance with National Organic Program requirements and which must be maintained from 

production through handling to the point of final sale in order for the final product to be labeled and/or 

marketed as organic.

C. Minor Noncompliances

Situations that Require Issuance of a Minor Noncompliance:

1. The producer or handler’s Organic System Plan is incomplete or inaccurate, but the integrity of the organic 

system is not compromised.

2. The operator’s Organic System Plan does not demonstrate full compliance with all applicable provisions of 

the National Organic Program, 7 CFR Part 205, but the integrity of the organic system is not compromised.

Required Components of a Notice of Minor Noncompliance:

1. A description of each of minor noncompliance.
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2. The facts upon which the notification of minor noncompliance is based and the relevant sections of the 

National Organic Program Rule that are in violation.

3. The date by which the applicant or operator must respond to the Notice of Minor Non-Compliance by either 

rebutting the notice or instigating corrective actions for each minor noncompliance and submitting 

supporting documentation for each such corrective action. (It is recommended that ACAs establish standard 

time frames for applicants and operators to respond to notices of minor noncompliances to ensure equitable 

treatment of all operators - e.g. 30 days from Notice of Minor Noncompliance.)

4. Notification that if the response is not received within the specified time and corrective actions are not 

completed, or if there is no rebuttal of the Notice of Minor Noncompliance within the required time period, 

that further action, including denial, suspension, or revocation of certification, may occur.

Distribution guidelines

All Notices of Minor Noncompliance will be distributed as follows:

 ACA will provide the applicant or certified operator written notification.

 Copy for ACA office file.

 Copy for inspector’s file (as required by §205.501(a)(18)). 

Resolution process:

The Accredited Certifying Agent will verify by inspection or written documentation that the corrective actions, 

described in the applicant’s or certified operator’s response to the Notice of Minor Non-compliance, have been 

completed. When an applicant or certified operator completes the required corrective action(s), the operation’s 

certification will be granted, or will remain in effect, as applicable. In some instances, ACAs may grant 

certification or issue notices of continued certification at the same time that a Notice of Minor Noncompliance is 

issued. 

Examples of Minor Noncompliance Corrective Action

Inadequate buffer zone between organic and 

nonorganic production. (§205.202(c))

Letter that states that an adequate buffer zone has 

been established, amending the operation’s 

Organic System Plan. 

Inadequate recordkeeping – Producer does not 

record all materials applied or fails to record date 

that material was applied. (§205.103(b)(2))

Letter stating that complete records will be 

maintained in the future, accompanied by 

examples of compliant records, amending the 

operation’s Organic System Plan.

D. Notice of (major) Noncompliance 

Situations that Require Issuance of a Notice of Noncompliance:

1. All findings of noncompliance, except for findings of minor noncompliance.

2. Applicants or certified operators who are in violation of the National Organic Program, 7 CFR Part 205.

3. Certified operators who violate or fail to implement their Organic System Plans.

Required Components of a Notice of Noncompliance:

1. A description of each of noncompliance.

2. The facts upon which the notification of noncompliance is based and the relevant sections of the 

National Organic Program Rule that are in violation.

3. The date by which the applicant or operator must respond to the Notice of Noncompliance by rebutting 

the notice or by instigating corrective actions for each noncompliance and submitting supporting 

documentation for each such correction when correction is possible. (It is recommended that ACAs 

establish standard time frames for applicants and operators to respond to notices of minor 
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noncompliances to ensure equitable treatment of all operators - e.g. 30 days from Notice of 

Noncompliance.) 

4. Notification that if the response is not received within the specified time and corrective actions are not 

completed, or if there is no rebuttal of the Notice of Noncompliance within the required time period, that 

further action, including civil penalties and/or denial, suspension or revocation of certification, may 

occur. 

Resolution process:

The Accredited Certifying Agent will verify by inspection or written documentation that that the corrective 

actions, as described in the response to the Notice of Non-compliance have been completed. When an 

applicant or certified operation completes the corrective action, the ACA will send the operation a written 

notification with dated return receipt stating that the noncompliance issue has been resolved. The operation’s 

organic certification may then be issued or will remain in effect, as applicable.

E. Notice of Denial of Certification (NDC)

Situations that require issuance of a Notice of Denial of Certification:

1. Findings demonstrate that an applicant for certification is not in compliance.

2. Applicant has failed to address noncompliances, including minor noncompliances, thereby violating the 

applicant’s Organic System Plan.

3. Applicant has not taken corrective action to correct a noncompliance specified in a a Notice of 

Noncompliance or has not responded to a Notice of Noncompliance by the date specified in the Notice of 

Noncompliance.

4. The corrective actions undertaken by the applicant are not sufficient for the applicant to qualify for 

certification.

Examples:

 Findings demonstrate that an applicant is representing nonorganic products as organic, in violation of 

§205.100(c (1).

 Findings demonstrate that an applicant has applied a prohibited pesticide, in violation of §205.202(b).

 Findings demonstrate that an applicant has failed to implement a soil management system compliant with 

§205.203 and §205.205.

 Findings demonstrate that an applicant has failed to establish effective barriers to prevent the commingling 

of organic and nonorganic items, in violation of §205.272(a).

Components of the Notice of Denial of Certification:

1. Cover letter (optional).

2. Notice of Denial of Certification.

3. The reasons for denial, with appropriate National Organic Program citations.

4. The right to reapply for certification, pursuant to §205.401 and §205.405(e).

5. The right to request mediation pursuant to §205.663 or to file an appeal pursuant to §205.681.

F. Notice of Proposed Suspension of Certification (NPSC) or Notice of Proposed Revocation of 

Certification (NPRC)

Situations that require issuance of a Notice of Proposed Suspension of Certification or Notice of 

Proposed Revocation of Certification:

1. Findings demonstrate that the certified operation has committed a noncompliance.

2. Certified operator has failed to address noncompliances, including minor noncompliances, thereby violating 

the Organic System Plan agreed to by the operator and the ACA.

3. Certified operator has not taken corrective action specified in a response to notice of noncompliance or has 

not responded by the date specified in the notice of noncompliance.
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4. The corrective actions undertaken by the certified operator are not sufficient for the operation to remain 

certified.

Examples:

 Findings demonstrate that a certified producer or handler is representing nonorganic products as organic, in 

violation of §205.100(c (1).

 Findings demonstrate that a certified producer has applied a prohibited pesticide, in violation of §205.202(b).

 Findings demonstrate that a certified operator has failed to establish effective barriers to prevent the 

commingling of organic and nonorganic items, in violation of §205.272(a).

Components of the Notice:

1. Cover letter (optional).

2. Notice of Proposed Suspension of Certification, or Notice of Proposed Revocation of Certification.

3. The reasons for the proposed suspension or proposed revocation with appropriate National Organic 

Program citations.

4. Proposed effective date of suspension or revocation.

5. Impact of a suspension or revocation on future eligibility for certification, pursuant to §205.662(f).

6. The right to request mediation pursuant to §205.663 or to file an appeal pursuant to §205.681.

Failure to respond

If the operation fails to respond to the Notice of Proposed Suspension of Certification or Notice of Proposed 

Revocation of Certification by rebutting or appealing the Notice or by requesting mediation, the Accredited 

Certifying Agent will provide the certified operator written notification with dated return receipt that the 

operation’s certification has been suspended or revoked, as applicable. 

G. Distribution guidelines

All Notices of Denial of Certification, Notices of Noncompliance, (except for Notices of Minor Noncompliance), 

Notices of Proposed Suspension of Certification, and Notices of Proposed Revocation of Certification will be 

distributed as follows:

 ACA will provide the applicant or certified operator written notification using a delivery service which 

provides dated return receipts.

 Copy for ACA office file.

 Copy for inspector’s file (as required by §205.501(a)(18)). 

 Copy sent via fax, email, express service, or regular mail to the National Organic Program Administrator.

IV. Certification, Accreditation, and Compliance Committee vote – 3 yes, 0 no, 2 absent

V. Minority opinion – None.

VI. Conclusion – The National Organic Standards Board recommends that the NOP post the definitions of 

“minor noncompliance”, “noncompliance”, and “organic integrity” along with noncompliance notification 

procedures and examples of noncompliances contained in this recommendation to the NOP website as 

guidance to Accredited Certifying Agents. 
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Addendum Draft 8 – NOSB Certification, Accreditation, and Compliance Committee

Examples of Noncompliances

Introduction: The matrix below provides examples of minor noncompliances and noncompliances related to crop production. The examples are 

presented for guidance and discussion purposes, and are not meant as an all-inclusive list. Additional noncompliances can and do occur. No 

examples are given for livestock production, handling, or labeling violations. Please note that a noncompliance may progress from a minor 

noncompliance to become a noncompliance, or findings may demonstrate that a violation is a noncompliance involving fraud which warrants investigation 

and criminal prosecution, without having first been detected as a minor noncompliance. Please also note that willful violations, falsifications of evidence,

refusals to comply, and other intentional noncompliances are grounds for denial, suspension, or revocation of certification and possible legal action in all 

instances.

Conditions - Requirements that an operation must comply with in order to obtain or maintain organic certification. Conditions can include the requirement 

to maintain certain records, to monitor soil quality, to pay required fees or other items that justify certification. 

Minor Noncompliance - Violations of the standards that are correctable and do not affect the integrity of the organic system or product. A Notice of Minor 

Noncompliance must be issued for all minor non-compliance in accordance with 205.662.

(Major) Noncompliance - Violations that are not correctable and that affect the integrity of the organic system or product.

Criminal Violations - Fraud or violations of state or federal law. These types of violation should be referred to county prosecutors or state attorney 

general's offices as appropriate.

MINOR NONCOMPLIANCES (MAJOR) NONCOMPLIANCES

Conditions Minor Noncompliances → Notice of Minor 

Noncompliance and Corrective Action

Major Violations → 

Notice of 

Noncompliance and 

Corrective Action 

Denial, Suspension, 

or Revocation of 

Certification

Criminal Violations → 

Criminal Prosecution

Submitting incomplete or 

unclear paperwork. 

§205.201(a)

Failure to submit required paperwork on time. Refusal to submit 

required paperwork.

Submitting falsified 

documentation.

Submitting an unclear 

Organic System Plan. 

§205.201(a)

Submitting an incomplete or inaccurate Organic 

System Plan.

Failure to follow the 

operation’s Organic 

System Plan.

Submitting a falsified 

Organic System Plan.
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MINOR NONCOMPLIANCES (MAJOR) NONCOMPLIANCES

Conditions Minor Noncompliances → Notice of Minor 

Noncompliance and Corrective Action

Major Violations → 

Notice of 

Noncompliance and 

Corrective Action 

Denial, Suspension, 

or Revocation of 

Certification

Criminal Violations → 

Criminal Prosecution

Failure to immediately 

notify certifying agent of 

changes to the operation 

which do not affect the 

operation’s organic 

status. §205.400(f)

Failure to immediately notify certifying agent of 

changes to the operation which affect the operation’s 

organic status.

Refusal to notify certifying 

agent of changes to the 

operation which affect the 

operation’s organic 

status.

Providing false 

information to certifying 

agent concerning 

changes to the operation 

which affect the 

operation’s organic 

status.

Failure to submit 

requested documentation 

to the certifier (such as 

prior land use forms, nonGMO letters, adjoining 

land use forms, etc.) 

§205.201(a)(5)&(6)

Failure to maintain documentation which verifies 

compliance with NOP standards.

Refusal to implement 

recordkeeping system 

that fully discloses all 

activities and 

transactions.

Falsifying records.

Maintaining records 

which are poorly 

organized and difficult to 

audit. §205.103(b)(2)

Maintaining records which cannot be audited. Refusal to maintain 

records which can be 

audited.

Denying certifying agent 

access to records.

Poorly organized records 

which indicate lack of 

ability to maintain records 

for 5 years beyond their 

creation. §205.103(b)(3)

Absence of a system to maintain records for 5 years. Refusal to maintain 

records for 5 years 

beyond their creation.

Willful destruction of 

documents.

Failure to fully document 

compliance with minor 

noncompliance 

requirements. 

§205.103(b)(4)

Failure to fully comply with all minor noncompliances 

from the previous year.

Refusal to comply with 

certification requirements 

(minor noncompliances) 

from the previous year.

Falsification of 

documentation; selling 

non-organic crops or 

products as organic.
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MINOR NONCOMPLIANCES (MAJOR) NONCOMPLIANCES

Conditions Minor Noncompliances → Notice of Minor 

Noncompliance and Corrective Action

Major Violations → 

Notice of 

Noncompliance and 

Corrective Action 

Denial, Suspension, 

or Revocation of 

Certification

Criminal Violations → 

Criminal Prosecution

Poorly organized, 

incomplete, or unclear 

documentation of 

approved inputs. 

§205.103(b)(2)&(4)

Failure to obtain documentation for purchase of 

approved inputs.

Refusal to obtain 

documentation to verify 

purchase of approved 

inputs.

Falsifying documentation; 

or, records which verify 

purchase and application 

of prohibited materials.

Poor understanding of 

difference between 

approved and prohibited 

materials; no evidence of 

application. §205.105

Application of “questionable” materials (containing 

unknown inactive or inert ingredients) without prior 

approval of certifying agent.

Application of prohibited 

materials.

Falsification of records 

concerning application of 

prohibited materials; 

selling non-organic crops 

or products as organic.

Incomplete records 

concerning compliance 

with annotation when 

“restricted” materials are 

used. §205.103(b)(4)

Failure to keep documentation verifying compliance 

with annotations when “restricted” materials are used.

Refusal to keep records 

verifying compliance with 

annotations when 

“restricted” materials are 

used.

Falsification of records 

concerning compliance 

with annotations when 

“restricted” materials are 

used. 

Incomplete 

documentation of 

attempts to source 

organic seeds. 

§205.204(a)(1)&(2)

Failure to document attempts to source organic seeds. Use of seeds treated with 

prohibited materials.

Willful use of treated 

seeds; falsifying 

documentation.

Incomplete, unclear, or 

poorly organized 

documentation 

concerning the GMO 

(excluded method) status 

of inputs, including seeds, 

inoculants, and Bt 

products. §205.105(e) & 

§205.103(b)(4)

Failure to inquire or document the non-GMO status of 

inputs, including seeds, inoculants, and Bt products.

Use of GMO inputs, 

including seeds, 

inoculants, or Bt products.

Willful use of GMO 

inputs; falsifying 

documentation. 
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MINOR NONCOMPLIANCES (MAJOR) NONCOMPLIANCES

Conditions Minor Noncompliances → Notice of Minor 

Noncompliance and Corrective Action

Major Violations → 

Notice of 

Noncompliance and 

Corrective Action 

Denial, Suspension, 

or Revocation of 

Certification

Criminal Violations → 

Criminal Prosecution

Delays in paying 

certification and/or 

inspection fees. 

§205.400(e)

Failure to pay certification and/or inspection fees. Refusal to pay 

certification and/or 

inspection fees.

Falsifying records 

concerning payment of 

certification and/or 

inspection fees.

Poorly organized field 

history records. 

§205.103(b)(2)

Incomplete field history records. Incorrect calculation of 

the amount of time from 

the last application of 

prohibited inputs to 

projected organic harvest 

- and the required 36 

months have not passed.

Falsifying records 

concerning the amount of 

time from the last 

application of prohibited 

inputs to projected 

organic harvest.

Lack of adequate detail or 

clarity on field maps –

e.g. maps which do not 

show acres, field 

numbers, and/or 

adjoining land uses. 

§205.103(b)(4) & 

§205.202(c) 

Inaccurate maps. Refusal to provide 

accurate maps. 

§205.103(c)

Providing falsified maps. 

Not recording field 

numbers on harvest 

and/or storage records. 

§205.103(b)(1)&(2)

Not keeping field activity, harvest, and/or storage 

records up to date.

Refusal to maintain field

activity, harvest, and/or 

storage records. 

Falsifying field activity, 

harvest, and/or storage 

records; denying 

certifying agent access to 

records.

Not using a consistent lot 

numbering system, if lot 

numbers are needed for 

the operation to verify 

compliance. §205.307(b)

Not using lot numbers, if lot numbers are needed for 

the operation to verify compliance.

Refusal to implement a lot 

numbering system or 

other audit trail 

mechanism to verify 

compliance. 

Falsifying lot numbers 

and/or falsifying other 

audit control data or 

documents.
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MINOR NONCOMPLIANCES (MAJOR) NONCOMPLIANCES

Conditions Minor Noncompliances → Notice of Minor 

Noncompliance and Corrective Action

Major Violations → 

Notice of 

Noncompliance and 

Corrective Action 

Denial, Suspension, 

or Revocation of 

Certification

Criminal Violations → 

Criminal Prosecution

Incomplete records of 

contracted services, such 

as planting, spraying, 

harvesting, storage, 

processing, and/or 

trucking. §205.103(b)(2)

Failing to keep records of contracted services needed 

to verify maintenance of organic integrity.

Refusal to keep records 

of contracted services, 

resulting in commingling 

or contamination of 

organic crop.

Falsification of records of 

contracted services, 

resulting in commingling 

or contamination of 

organic crop.

Inconsistent cleaning of 

harvest equipment and/or 

storage units, not

resulting in commingling 

or contamination of 

organic crop. §205.272(a)

Inability to properly clean harvest equipment and/or 

storage units, not resulting in commingling or 

contamination of organic crop.

Failure to properly clean 

harvest equipment and/or 

storage units, resulting in 

commingling or 

contamination of organic 

crop.

Denying certifying agent 

access to the operation 

for inspection of 

equipment and/or 

facilities.

Ongoing need to harvest 

and segregate crops from 

buffer zones. 

§205.272(a), 

§205.201(a)(5) & 

§205.202(c) 

Inadequate buffer zones, possibly resulting in 

contamination of organic crops.

Failure to segregate crops 

harvested from buffer 

zones, resulting in 

commingling of 

nonorganic and organic 

crops.

Intentional application of 

prohibited material, 

resulting in residue levels 

beyond NOP tolerance 

levels; knowingly selling 

nonorganic crops or 

products as organic.

Failure to inform 

neighbors, highway 

departments, and/or other 

parties that land adjacent 

to organic fields should 

not be sprayed with 

prohibited materials (or 

sign no-spray 

agreements when these 

are available). 

§205.272(a), §205.201 

(a)(5) & §205.202(c) 

Failure to document notification of neighbors, highway 

departments, and/or other parties that land adjacent to 

organic fields should not be sprayed with prohibited 

materials.

Contamination of organic 

crops with residues of 

prohibited materials 

beyond NOP tolerance 

levels.

Application of prohibited 

material, resulting in 

residue levels beyond 

NOP tolerance levels; 

knowingly selling 

nonorganic crops or 

products as organic.
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Summary of Comments and Committee Response

A commenter suggested "that the levels [of violations] be described as follows:

Conditions - Requirements that an operation must comply with in ordder to obtain or maintain organic certification. Conditions can include 

the requirement to maintain certain records, to monitor soil quality, to pay required fees or other items that are not violations.

Minor noncompliance - Violations of the standards that are correctable and do not affect the integrity of the organic system or product. A 

Notice of Noncompliance must be issued for all minor noncompliances in accordance with 205.662.

Major noncompliance - Violations that are not correctable and that affect the integrity of the organic system or product.

Criminal violations - Fraud or violations of state or federal law. These types of violations should be referred to county prosecutors or state 

attorney general's offices as appropriate.

Committee Response:

For the most part we accept your definitions. One exception is the last phrase in the definition for "Conditions". The words "and other items 

that are not violations" was not added in entirety, as it would indicate that failures to maintain records or pay fees are not be considered 

violations.

Also, the title "Major noncompliace" was changed to (Major) Noncompliance for reasons later stated.

Section B recommendations:

A commenter suggested that " Definition of terms - change "Noncompliance" to "Major Noncompliance." The use of the term "Major 

Noncompliance" will clearly distinguish this type of violation for the term "Minor Noncompliance." The use of the term "Noncompliance" 

is imprecise and does not clearly distinguish the term from "minor noncompliance".

Committee Response:

As was stated in the Discussion Section of this recommendation:

(Note: A previous draft from the Accreditation Committee referred to “major noncompliances”. Since the term “major” is not used in the Rule, the 

phrase “major noncompliance” has been replaced by “noncompliance” in this guidance document.)
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No change was made.

Section C Recommendations:

It was requested that "Minor Noncompliances" change to "Conditions for Continued Certification."

Committee Response:

In keeping with the regulatory language, no change was made.

Section D Recommendations:

The commenter suggested that we "delete 1.... [and] Replace with "All findings of Minor Noncompliance." And "Delete #4"

It was also suggested that the Distribution Guidelines require all NONC's be copied to the NOP.

Committee Response:

We agree the first suggestion and the section was amended as suggested.

We did not add the requirement that all NONC's for Minor Noncompliance require distribution to the NOP. We find the administration of 

Minor Noncompliances within the purview of the ACA. Requiring copies to the NOP would be burdensome and unnecessary. No change 

was made.

Section E Recommendations:

A commenter requested that Notice of Denial include an effective date. 

Committee Response:

Based on the fact that a denial suggests that the entity has not received certification, we see no reason to establish the effective date. Indeed 

the certification never became effective in order to require the stop action. No change was made.