Agricultural Marketing Service (AMS) 

National Organic Program (NOP) Update

Jennifer Tucker, Ph.D. 

Associate Deputy Administrator

1
Agenda 

• Welcome and Thanks 

• Transition Updates 

• Sunset 2017 Final Rule 

• Enforcement and Imports

• Organic Integrity Database

• Office of Inspector General (OIG) Report 

• ANSI Peer Review of NOP: 2017 

• Closing 

2
Welcome and Thanks 

• Welcome to Jacksonville! 

• THANK YOU National Organic Standards Board!

USDA Agricultural Marketing Service | National Organic Program

3
Thanks to the Organic Community 

• 2,253 Written Public Comments 

• 52 Oral Comments on 2 Webinars 

• 165 Webinar Attendees

• 93 Signed Up to Speak in Jacksonville 

4
Welcome From USDA Leadership

• Secretary Sonny Perdue 

• Deputy Secretary Steve Censky

• Former Acting Undersecretary, Marketing and 

Regulatory Programs (MRP) Kevin Shea

• Undersecretary, Marketing and Regulatory 

Programs (MRP) Greg Ibach

• Acting AMS Administrator Bruce Summers 

5
Transition Update 

6

• Welcome to NOP 

Acting Deputy 

Administrator 

Dr. Ruihong Guo!

• Deputy Administrator 

AMS Science and 

Technology Program 

• NOP Leadership 

Experience 
Hello from Team NOP!

7
2017 Sunset Review Final Rule

• Published in July 2017 

• Removed three synthetic substances and five 

nonorganic agricultural substances from National List. 

• Renewed three substances on the National List, 

allowing their continued use. 

• Many Opportunities for Public Input: 

– Public Comments: Written, at Meetings 

– Rulemaking: Proposed Rule Comment Period 

8
Enforcement and Imports Update 

9

Enforcement Update 

Imports Update
By the Numbers: FY 17

10

379

Incoming 

Complaints

462

Completed Complaint 

Reviews/Investigations

$187,500

Civil Penalties 

Levied 

311

Newly Suspended/

Revoked Operations 

39,035 Certified Operations
Fraudulent Certificates: Searchable List 

11

https://www.ams.usda.gov/services/

enforcement/organic/fraudulent-certificates
Postings of Enforcement Actions

• In June, we initiated posting of enforcement actions 

on a rolling basis 

• Makes AMS Appeal Decisions, NOP Suspensions and 

Revocations, and NOP Settlement Agreements 

available to public faster. 

• https://www.ams.usda.gov/services/

enforcement/organic/

12
A Global Organic Control System

Standards Accreditation 

Certification Enforcement

13
Imports Update 

• Proposed and Final Adverse Actions of 

Operations 

• Directives to Certifiers

• NOP Certifier Audits: 

Compliance, Satellite Offices

• Enforcement Collaboration 

with Federal Partners: 

Animal and Plant Health Inspection Service 

(APHIS), Customs and Border Protection (CBP) 

14
Training for Handlers and Certifiers 

Multiple Webinars on Complex Supply Chains: 

For Certifiers and Handlers 

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• Regulatory requirements and best practices for 

certifiers overseeing organic imports.

• Certification and recordkeeping requirements: 

system plans, audit trails, onsite inspections.

• Certifier responsibilities for review/verification.

• Please comment! See Federal Register Notice. 

16

New Instruction on Imports

Interim Instruction: Maintaining the Integrity of 

Organic Imports (NOP 4013) – 10/25/2017
Next Steps on Imports 

• Continued Investigations

• Follow-up on Certifier Directives 

• Continue Certifier Audits 

• Pursue Projects with Federal Partners 

• Advance Standards Initiatives

• Support NOSB Work on Imports 

• Advance Technology Initiatives

• Continue Training Initiatives 

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Core to All Enforcement 

18

Organic Foods 

Production 

Act

USDA 

Organic 

Regulations

Legally 

Defensible 

Evidence

Enforcement Depends on All 3
Organic Integrity Database Update

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Welcome to Jacksonville!

8 Certified Operations In Jacksonville | 453 in Florida 
INTEGRITY - Development Complete! 

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• Release 7 Launched

• Development Now 

Complete 

• We are now in 

“Operations and 

Maintenance” 

• Many thanks to our 

Certifier User Group!
Now, It’s All About the Data

• INTEGRITY is a learning curve! 

• Success = Data Quantity and Quality 

• Key Examples: 

– Reporting of Acreage, Business Types 

– Adoption of Product Taxonomy

• Certifier Data Quality Dashboard: 

Will recognize certifiers investing in data

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Federal Organic Certificate

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Next Steps 

Integrity: 

Continue Emphasis on 

Data Quantity and Quality

ACCREDIT:

Accreditation System Modernization 

International Initiatives: 

Certificates, Automated Data 

Exchanges, Concepts for Future 

23
Office of Inspector General (OIG) Report

• Published in 

September 2017

• Includes Audit 

Process, Findings, 

and AMS 

Response 

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Background

• USDA’s Office of Inspector General (OIG) 

conducts independent audits and 

investigations of the Department's programs 

and operations

• Previous NOP Audits: 

– Program-Wide Audits (2005, 2010)

–National List Audit (2012 – No Findings) 

–Organic Milk Audits (2012, 2013) 

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Context for OIG Audit

• GOAL: To evaluate AMS’ controls over the 

approval and oversight of NOP’s agreements 

for international trade and the import of 

organic products

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Four OIG Findings

1. AMS’ process for determining equivalency between 

the U.S. organic regulations and foreign countries’ 

standards was not fully transparent. 

2. NOP organic import documents were not verified at 

U.S. ports of entry.

3. Controls over organic products fumigated at U.S. 

ports of entry were inadequate.

4. Onsite audits for existing agreements were not 

conducted in a timely manner because AMS has no 

established requirements for frequency.

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Finding 1: Transparency 

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OIG: 

Develop and implement a 

procedure to document and 

disclose final resolution of 

all foreign country organic 

standards identified as 

having differences from 

USDA organic standards.

AMS:

AMS will document and 

disclose final variances 

from its side-by-side 

analysis of organic 

standards. 
Background: Import Documents 

29

1 2 3 4 5 6 7 8 9

10

1 2 3 4 5 6 7 8 9

20

1 2 3 4 5 6 7 8 9

30

1 2 3 4 5 6 7 8 9

40

1 2 3 4 5 6 7 8 9

50

1 2 3 4 5 6 7 8 9

60

1 2 3 4 5 6 7 8 9

70

P G 0 1 0 0 1 A M S O R 1 Y 2 3 0 . 0 0 0

P G 0 2 P U N S 5 0 3 1 1 7 0 0

P G 1 0

O R G A N I C F R E S H B A N A N A S

P G 1 3 B E S T C E R T I F I E R S I N C I S O H N

P G 1 4 1 A M 1 B 0 0 2 7 4 3

3 0 6 1 7 2 0 1 6 0 0 0 0 0 0 0 4 0 0 0 0 0 0 0 0 L B

P G 1 9 I M

P G 2 1 I M R I C K S P A R K S 1 2 3 5 5 5 1 2 1 2 R S P A R K S @ H O T M A I L . N E T

P G 1 9 C B

P G 2 1 C B J O E B A K E R 2 0 9 4 4 7 5 3 2 1 J B A K E R @ B A K E R I N C . C O M
Finding 2: Import Verification (1 of 3) 

OIG: 

Execute a Memorandum of 

Understanding (MOU) 

between AMS and Customs 

and Border Protection (CBP) 

to obtain assistance in 

reviewing import certificates 

from countries with 

established equivalence 

arrangements at U.S. ports.

AMS:

• AMS supports expanding 

the MOU with CBP. 

• CBP officials have limited 

capacity and no current 

authority to review organic 

imports or NOP import 

certificates. 

• AMS will develop a 

report outlining how AMS 

and CBP could collaborate.

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Finding 2: Import Verification (2 of 3) 

OIG: 

Request that CBP update the 

Automated Commercial 

Environment (ACE) system 

message sets to provide CBP 

officials with instructions for 

reviewing NOP import 

certificates at U.S. ports of 

entry and the actions to take 

if they are not found.

AMS:

• NOP import certificates 

are only required from the 

European Union, 

Switzerland, Korea, and 

Japan. 

• AMS will request access 

to additional areas of ACE. 

• AMS is submitting 

organic message set 

proposals to CBP. 

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Finding 2: Import Verification (3 of 3) 

OIG: 

Develop and implement a 

plan to verify NOP import 

certificates at U.S. ports 

of entry, identify 

fraudulent import 

certificates, and capture 

organic import data.

AMS:

• AMS will prepare a needs 

assessment for an organic 

verification system that 

validates organic import 

certificates, identifies 

fraudulent certificates and 

captures data. 

• Would create a baseline for 

future technology 

development work.

32
Background: Fumigation 

A fruit shipment arrives in Florida

APHIS conducts risk-based inspection of container

APHIS finds pest that could harm Florida orchards

Shipment must be treated (fumigated) to enter Florida 

The importer is notified of the requirement

An organic importer has two options: 

• Accept fumigation - Sell the fruit, but not as organic 

• Re-export shipment to place where pest isn’t a risk

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Finding 3: Fumigation Controls (1 of 3) 

OIG: 

Execute an MOU between 

AMS and APHIS to ensure 

that APHIS officials notify 

NOP officials when 

imported agricultural 

products are treated with 

NOP-prohibited 

substances at U.S. ports.

AMS:

• In January 2017, AMS and 

APHIS executed an MOU to 

document collaborative 

efforts to identify imported 

organic shipments of 

agricultural products that are 

treated for plant pests or are 

treated as a condition of 

entry.

34
Finding 3: Fumigation Controls (2 of 3) 

OIG: 

Request CBP to update the 

ACE system message sets 

to ensure APHIS officials 

are notified of steps to take 

when organic agricultural 

imports are treated with 

NOP-prohibited substances 

at U.S. ports. 

AMS:

• AMS is working with APHIS 

to develop mechanisms 

within the APHIS systems to 

identify, track, and ensure 

that treated organic 

products are not sold, 

labeled or represented as 

organic. 

35
Finding 3: Fumigation Controls (3 of 3) 

OIG: 

Develop and implement a 

plan for creating and 

implementing procedures for 

tracking organic products 

treated with NOP-prohibited 

substances at U.S. ports and 

ensuring those products are 

not sold, labeled or 

represented as organic.

AMS:

• AMS and APHIS are 

establishing procedures to 

notify importers and 

certifiers when organic 

products are treated and 

can no longer be sold, 

labeled, or represented as 

organic.

36
Finding 4: Timely Audits (1 of 2) 

OIG: 

Develop and implement 

performance measurements 

to collect, analyze, and report 

to management regarding the 

timeliness of onsite reviews 

for foreign countries that 

maintain a recognition 

agreement or equivalency 

arrangement with USDA.

AMS:

• AMS has a system to 

monitor audit frequency 

for accredited certifiers. 

This system will be used 

to track and report 

timeliness of onsite 

reviews AMS conducts 

with its recognition or 

equivalence partners.

37
Finding 4: Timely Audits (2 of 2) 

OIG: 

Revise NOP Handbook NOP 

2100 (Equivalency 

Determination Procedure) 

to include the requirement 

that NOP officials conduct 

onsite audits of foreign 

countries that maintain 

equivalency arrangements 

with USDA every 2 years.

AMS:

• AMS will revise NOP 2100 

to require NOP officials to 

conduct onsite audits of 

foreign countries that 

maintain equivalency 

arrangements every 2 

years. 

38
In Closing ...

• AMS accepted all findings and responded to all 

recommendations. 

• AMS actions will be in place by July 2018. 

• OIG reports have helped AMS shape NOP into the 

program that it is today – we thank them for their 

work and feedback. 

39
ANSI Peer Review of the 

National Organic Program (NOP)

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ANSI Peer Review of NOP: 2017 

• Conducted by American National Standards 

Institute (ANSI) under contract 

• Panel of 3 independent auditors

• Process driven by NOSB recommendation, 

“Memo to NOSB” (11/2014) and “NOP 1031: 

Peer Review of NOP Accreditation” (In NOP 

Handbook) 

• A vital component of NOP’s continuous 

improvement

41
Context for Peer Review 

GOAL: NOP actions align with NOP Procedures 

and ISO/IEC 17011, a quality standard.

• Small program serving a growing industry

• Strong, robust accreditation procedures

• Public and transparent standards

• Skilled pool of auditors; ongoing training

• Annual training to certifiers 

42
ANSI Findings: Overview 

Overall, NOP is following its procedures. 

There were no major non-conformances 

related to accreditation decisions. 

The ANSI audit identified opportunities for 

NOP to improve recordkeeping and clarify 

procedures. 

43
ANSI Findings: Procedures 

• NOP corrective actions are not tracked as described 

in NOP 1020 (corrective action procedure). 

• NOP needs to ensure timely implementation of 

corrective actions before next audit cycle. 

• NOP does not have a procedure for determining the 

number/location of certifier satellite office audits.

• NOP assessments of certifiers occur ever 2-2.5 years 

(not every 1-2 years as recommended in ISO 17011). 

44
NOP’s Corrective Actions: Procedures 

• NOP has revised procedures to monitor peer review 

corrective actions on the NOP operating plan to 

ensure timely implementation.

• Launch of ACCREDIT and additional staff will help 

accreditation timeline management and satellite 

office tracking 

• More generally, NOP continues to improve records 

management:

– Dedicated quality manager 

– Improving processes and training

– Updating and retiring procedures 

45
NOP’s Corrective Actions: Procedures 

• USDA organic regulations require accreditation 

renewals every 5 years; mid-terms every 2-3 years.

– NOP will review its accreditation policies/ 

procedures to explore options for more frequent 

assessments.

– NOP lacks resources to perform onsite assessments 

every 1-2 years, per ISO 17011 recommendations.

– We are reviewing how we could use the Annual 

Report process for more frequent follow-up. 

46
ANSI Findings: Records 

• NOP did not complete the “review” section of 

accreditation application documents. 

• There were some instances of incorrect versions 

or incomplete records (lack dates or signatures).

• NOP accreditation certificates do not contain the 

certifier’s full address and do not indicate the 

current version of 7 CFR Part 205. 

• There was an isolated instance of a date 

discrepancy.

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NOP’s Corrective Actions: Records 

• NOP conducts robust certifier audits: new applicants, 

mid-terms, and renewals.

• We are refining our application processing approach.

• We have instructed auditors about required 

signatures on certain forms and will train on this.

• NOP will revise the accreditation certificate template 

to reference the current USDA organic regulations 

and include certifier’s complete address. 

• NOP will review its procedures related to 

accreditation certificate issue dates.

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In Closing ...

• Peer Review is a vital part of our Quality System 

• 2018 Peer Review, also with ANSI, will start in Spring 

• In the meantime, NOP will:

– Post ANSI Report and NOP Corrective Actions 

– Advance records management practices

– Refine accreditation processes

– Continue launching technology aids 

– Conduct regular training for auditors and certifiers

• Thank you, ANSI and the Audit Team!

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www.ams.usda.gov/nop