Spreadsheet: 0ce36d0b-7cd3-4562-973f-2c0db094533b
Sheet: General

 | Penalty Matrix for Violations of the USDA Organic Regulations - ARCHIVED General
 | General Standards | Summary of Provision | Minor Issues – Conditions for Continued Certification | Noncompliances – Notice of Noncompliance - Denial of Initial Certification | Major Noncompliances – Denial or Proposed  Suspension of Certification | Major Noncompliances – Denial or Proposed Revocation of Certification
 | 205.200 General
 | 205.200 General | Must comply with applicable provisions of the NOP regulations. | Operation is generally in compliance, but some aspect of the OSP or recordkeeping system is incomplete or poorly organized. | Some required element of the OSP is missing. Operation is not in compliance with some aspect of the regulations. | Failure to follow OSP.  Failure to respond to prior notice of noncompliance. Inadvertent violation of regulations resulting in noncompliant product being sold as organic.  One year suspension. | Willful violation of regulations. Fraudulent concealment of violations. Willful sale or labeling of noncompliant products as organic.
 | 205.200 General | Production practices must maintain or improve the natural resources of the operation, including soil and water quality. | Records do not clearly demonstrate that natural resources are maintained or improved. | OSP does not directly address the requirement to maintain or improve natural resources. | Failure to follow OSP, resulting in a degradation of the  quality of natural resources, including soil and water quality.  One year suspension. | Falsification of documents to conceal degradation of soil and water quality due to a failure to follow OSP.
 | 205.201 Organic production and handling system plan
 | 205.201(a) | The producer or handler of a production or handling operation, except as exempt or excluded under §205.101, intending to sell, label, or represent agricultural products as “100 percent organic,” “organic,” or “made with organic (specified ingredients or food group(s))” must develop an organic production or handling system plan that is agreed to by the producer or handler and an accredited certifying agent. An organic system plan must meet the requirements set forth in this section for organic production or handling. An organic production or handling system plan must include: | Certified operation makes compliant changes to OSP but does not obtain approval from certifier before implementing changes. | OSP does not directly address all NOP regulatory requirements.  OSP does not include all areas of certified operation. | Operation makes and implements changes to OSP that violate NOP regulations. One year suspension. | Operation makes and implements changes to OSP that violate NOP regulations.  Falsifies records or otherwise fraudulently conceals violation.
 | 205.201(a)(1) | A description of practices and procedures to be performed and maintained, including the frequency with which they will be performed; | Certified operation makes compliant changes to OSP but does not obtain approval from certifier before implementing changes. | OSP does not directly address all NOP regulatory requirements.  OSP does not include all areas of certified operation. | Operation makes and implements changes to OSP that violate NOP regulations. One year suspension. | Operation makes and implements changes to OSP that violate NOP regulations.  Falsifies records or otherwise fraudulently conceals violation.
 | 205.201(a)(2) | A list of each substance to be used as a production or handling input, indicating its composition, source, location(s) where it will be used, and documentation of commercial availability, as applicable. | Substance is included in the OSP and is compliant, but list is missing all or some of the indicated required information. | Substance is compliant but is not listed on the OSP. | A prohibited substance is inadvertently used in the production or handling operation.  Three year suspension. | A prohibited substance is deliberately used and fraudulent efforts to conceal its use are identified.
 | 205.201(a)(3) | A description of the monitoring practices and procedures to be performed and maintained, including the frequency with which they will be performed, to verify that the plan is effectively implemented. | Operation is generally in compliance, but written monitoring practices are incomplete. Records of having conducted monitoring practices are poorly organized or incomplete. | Operation is generally in compliance, but some aspect of written monitoring practices is missing. Records of having conducted monitoring practices are incomplete or do not fully demonstrate compliance with regulations. | Operation is not following written monitoring practices.  Prior notices of noncompliances are not fully addressed. One year suspension. | Operation is not following written monitoring practices, and findings indicate falsification of documents to conceal noncompliance.
 | 205.201(a)(4) | A description of the recordkeeping system implemented to comply with the requirements established in §205.103. | Operation is generally in compliance, but some aspect of the written recordkeeping system is incomplete or poorly organized. | There is no written description of how records are kept and maintained. Records are not kept or maintained as described in written plan. | A prior notice of noncompliance for this area is not fully addressed within required timeframes. One year suspension. | Operation is not following written recordkeeping procedures, and findings indicate falsification of documents to conceal noncompliance.
 | 205.201(a)(5) | A description of the management practices and physical barriers established to prevent commingling of organic and nonorganic products on a split operation and to prevent contact of organic production and handling operations and products with prohibited substances. | Buffer zones are in place but not clearly described in OSP. Segregation practices are adequate, but product segregation plan does not clearly describe procedures in place. | Buffer zones are not as described in plan. Buffer zones or runoff diversion ditches are not in place or are ineffective. Segregation plan not followed as written. | A prior notice of noncompliance has not been fully addressed.  Failure to follow written segregation plan has resulted in noncompliant product being labeled or sold as organic.  One year suspension. | Operation has altered records to conceal noncompliances in this area.
 | 205.201(a)(6) | Additional information deemed necessary by the certifying agent to evaluate compliance with the regulations. | Operation is generally in compliance, but certifier considers additional information is needed to fully evaluate compliance with the regulations. | Operation does not provide requested additional information. | Operation does not adequately respond to prior notice of noncompliance. One year suspension. | Operation provides false or misleading information to certifier in response to request for additional information.
 | 205.201(b) | A producer may substitute a plan prepared to meet the requirements of another Federal, State, or local government regulatory program for the organic system plan: Provided, That, the submitted plan meets all the requirements of this subpart. | Operation is generally in compliance, but some information submitted lacks sufficient detail to fully evaluate compliance with the regulations. | Operation does not provide requested additional information. | Operation does not adequately respond to prior notice of noncompliance. One year suspension. | Operation provides false or misleading information to certifier in response to request for additional information.
 | 205.400 General requirements for certification. 205.400(a)-(f) A person seeking to receive or maintain organic certification must:
 | 205.400(a) | Comply with the Act and applicable organic production and handling regulations of this part. | Operation is generally in compliance, but some aspect of the OSP or recordkeeping system is incomplete or poorly organized. | Some required element of the OSP is missing. Operation is not in compliance with some aspect of the regulations. | Failure to follow OSP.  Failure to respond to prior notice of noncompliance. Inadvertent violation of regulations resulting in noncompliant product being sold as organic.  One year suspension. | Willful violation of regulations. Fraudulent concealment of violations. Willful sale or labeling of noncompliant products as organic.
 | 205.400(b) | Establish, implement, and update annually an organic production or handling system plan that is submitted to an accredited certifying agent as provided for in §205.200. | Certified operation makes compliant changes to OSP, but does not obtain approval from certifier before implementing changes. | OSP does not directly address the requirement to maintain or improve natural resources. | Failure to follow OSP.  Failure to respond to prior notice of noncompliance. Inadvertent violation of regulations resulting in noncompliant product being sold as organic.  One year suspension. | Willful violation of regulations. Fraudulent concealment of violations. Willful sale or labeling of noncompliant products as organic.
 | 205.400(c) | Permit on-site inspections with complete access to the production or handling operation, including noncertified production and handling areas, structures, and offices by the certifying agent as provided for in §205.403 | N/A | Temporary, reasonable delay in permitting on-site inspections with complete access to operation, caused by extraordinary circumstances or other highly rare, unintentional emergency conditions. | N/A | Failure to permit on-site inspections with completed access to the production or handling operation.
 | 205.400(d) | Maintain all records applicable to the organic operation for not less than 5 years beyond their creation and allow authorized representatives of the Secretary, the applicable State organic program's governing State official, and the certifying agent access to such records during normal business hours for review and copying to determine compliance with the Act and the regulations in this part, as provided for in §205.104. | Operation is generally in compliance, but some aspect of the written recordkeeping system is incomplete or poorly organized. | There is no written description of how records are kept and maintained. Records are not kept or maintained as described in written plan. | A prior notice of noncompliance for this area is not fully addressed within required timeframes. One year suspension. | Operation is not following written recordkeeping procedures and findings indicate falsification of documents to conceal noncompliance.
 | 205.400(e) | Submit the applicable fees charged by the certifying agent. | Failure to submit the applicable fees within seven business days of required deadline. | Failure to submit the applicable fees within 14 business days of required deadline. | Failure to submit the applicable fees within more than 14 business days of required deadline. Operation suspended until applicable fees paid in full. | N/A
 | 205.400(f)(1) | Immediately notify the certifying agent concerning any application, including drift, of a prohibited substance to any field, production unit, site, facility, livestock, or product that is part of an operation. | Notification procedures for preventing contact with prohibited substances need improvement. Records are incomplete or poorly maintained. | Prohibited substances applied within the past 3 years. | Willful application of a prohibited substance within the past 3 years. Failure to correct a previously identified deficiency. Three year suspension. | Falsification of records or other fraudulent concealment of application of a prohibited substance within the past 3 years.
 | 205.400(f)(2) | Immediately notify the certifying agent concerning any change in a certified operation or any portion of a certified operation that may affect its compliance with the Act and the regulations in this part. | Certified operation makes compliant changes to the operation, but does not obtain approval from certifier before implementing changes. | Operation is not in compliance with some aspect of the regulations, and the noncompliance constitutes a correctable violation. | Operation makes and implements changes to the operation that violate NOP regulations and are not correctable. One year suspension. | Operation makes and implements changes to the operation that constitute a willful violation of regulations. Fraudulent concealment of violations.