Element - National Biodiesel Board BQ-9000 Marketer... · Web viewNote 1, Verify revision on site....

Company Name : Location : Auditor : BQ-9000 MarketerSurveillance Audit Checklist

Rev 7.1 – 5/30/14 Use with Rev 7.1. Of Marketer Requirements

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1 SCOPE

1.0 Demonstrates the commitment to receive and maintain product that meets ASTM D6751.

☐ ☐ Minor

1.0 Demonstrates procedures for blending biodiesel and distributing either B100 B99.9) or blends.

☐ ☐ Major

1.0 Identifies site or facility covered by the scope of the quality program. ☐ ☐ Major

2 TERMS AND DEFINITIONS

2.0 “Shall” and “Should” shall be defined. ☐ ☐ Major

2.1 ASTM ☐ ☐ Minor

2.2 Biodiesel ☐ ☐ Minor

2.3 Blend ☐ ☐ Minor

2.4 External Laboratory ☐ ☐ Minor

2.5 Internal Laboratory ☐ ☐ Minor

2.6 Marketer ☐ ☐ Minor

2.7 Broker ☐ ☐ Minor

2.8 NBAC ☐ ☐ Minor

2.9 Organization ☐ ☐ Minor

2.10 Producer ☐ ☐ Minor

2.11 Quality Manual ☐ ☐ Minor

2.12 Quality Program ☐ ☐ Minor

2.13 Verification ☐ ☐ Minor

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3 REFERENCES Confirm Revision # Prior to Audit Normative References3.1 ASTM D396 Standard Specification for Fuel

Oils ☐ ☐ Note 1, Verify revision on site.

3.1 ASTM D975, Standard Spec for Diesel Fuel Oil ☐ ☐ Note 1, Verify revision on site.

3.1 ASTM D1298, Std TM for Density, Relative Density (Specific Gravity), or API Gravity of Crude Petroleum and Liquid Petroleum Products by Hydrometer Method

☐ ☐ Note 1, Verify revision on site.

3.1 ASTM D4052, Standard Test Method for Density and Relative Density of Liquids by Digital Density Meter


3.1 ASTM D4057, Standard Practice for Manual Sampling of Petroleum and Petroleum Products


3.1 ASTM D4176, Standard Test Method for Free Water and Particulate Contamination in Distillate Fuels (Visual Inspection Procedures)


3.1 ASTM D6751, Standard Specification for Biodiesel Fuel Blend Stock (B100) for Middle Distillate Fuels


3.1 ASTM D7371, Standard TM to determine Biodiesel content in Diesel Fuel Oil using Mid Infra-red Spectroscopy


3.1 ASTM D7467, Standard Spec for Diesel Fuel Oil/Biodiesel Blend (B6 – B20) ☐ ☐ Note 1, Verify revision on site.

3.1 Form BQF-1, BQ-9000 External Laboratory Verification ☐ ☐ Note 1, Verify revision on site.

Note 1: Not having these documents or having a revision that is two revisions old is a Major nonconformance.Having a revision of this document that is one revision old is a Minor nonconformance.Note 2: Not having this document or having a revision that is two revisions old is a Critical nonconformance.Having a revision of this document that is one revision old is a Major nonconformance.

Informative References3.2 ISO 9001:19943 , Quality Management

System - requirements ☐ ☐ Minor

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4 MARKERTER DOCUMENTATION REQUIREMENTS

4.0 a The quality management system shall include documented statements of a quality policy.

☐ ☐ Major

4.0 b The quality management system shall include a quality manual. ☐ ☐ Major

4.0 c The quality management system shall include documented procedures required by the program.

☐ ☐ Major

4.0 d The quality management system shall have records required by this standard. ☐ ☐ Major

4.0 The organization shall establish and maintain a documented quality system containing provisions, which explicitly or by reference include the requirements contained in this document.

☐ ☐ Minor

4.0 The organization shall implement the newest revision of the BQ-9000 Producer Program Requirements into their quality management system within 90 days of the effective date of the latest revision.

☐ ☐ Major

4.0 The organization shall notify the NBAC when these quality system changes have been made when change are due to updates from NBAC.

☐ ☐ Minor

4.1 The quality program shall be documented in a quality manual. ☐ ☐ Minor

4.2 A quality policy shall be defined and documented which included objectives for and a commitment to quality.

☐ ☐ Minor

4.2 The quality policy shall be related to the business goals of the biodiesel operation and the expectations of it’s customers.

☐ ☐ Minor

4.2 The quality policy shall be invoked throughout the biodiesel operation and understood by all levels of personnel.

☐ ☐ Minor

4.3 Documented QSPs shall be prepared that describe the process to be employed for determining and documenting how

☐ ☐ Minor

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operational quality requirements will be met and consistent with the requirements herein.

4.3 Procedures shall make reference to work instructions that define how an activity is performed.

☐ ☐ Minor

4.4 a Verification that the current version of each controlled document is being used or found in the quality manual.

☐ ☐ Minor

4.4 b Verification that all quality system documents are listed in the document status form along with their current status.

☐ ☐ Minor

4.4 c Document Control shall include a distribution list of those in possession of the Quality Manuals.

☐ ☐ Minor

4.4 d Document Control shall include a method for controlling the distribution of new and updated sections of your Quality System documents.

☐ ☐ Minor

4.4 d The method for controlling the distribution of new and updated sections of your Quality System documents should include a mechanism to remind the recipients to destroy the copies of the obsolete documents.

☐ ☐ Minor

4.5 Verification that records are being established, are legible and maintained to provide evidence of effective implementation, operation, and compliance of the organization’s quality system.

☐ ☐ Major

4.5 Verification that records are being retained for at least two years and are being maintained in a manner to insure record integrity.

☐ ☐ Minor

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5 MARKERTER MANAGEMENT RESPONSIBILITY

5.1 A quality management representative (QMR) shall be appointed. ☐ ☐ Major

5.1 QMR should chair quality management review meetings ☐ ☐ Minor

5.1 QMR should ensure that a quality program is established and meets the requirements ☐ ☐ Major

5.1 QMR should report on the performance of the quality program. ☐ ☐ Major

5.1 QMR should ensure that the most recent version of the quality documents are made available to personnel.

☐ ☐ Major

5.2 Organization shall have developed and implemented a system for performing internal quality audits.

☐ ☐ Major

5.2 Organization has held at least one internal audit within the last twelve months. ☐ ☐ Critical

5.2 Each element of the quality system shall be audited at a minimum of once per year. ☐ ☐ Major

5.2 Audits should be performed by persons other than those responsible for the area being audited.

☐ ☐ Minor

5.2 Audit results shall be presented to personnel responsible for the audited area. ☐ ☐ Major

5.2 Cited nonconformities shall be resolved in a timely manner as defined in documented procedures.

☐ ☐ Major

5.2 Audit process, nonconformance reports, corrective action plans, and effective corrective action shall be included in internal audit records.

☐ ☐ Major

5.2 Verification that audit nonconformances, corrective actions and verification of effectiveness are documented.

☐ ☐ Major

5.2 Verification that an internal audit report was generated and distributed to the quality management team and to management.

☐ ☐ Critical

5.3 Organization’s management review meetings shall be held at least once every six months

☐ ☐ Critical

5.3 Records shall be kept of the management ☐ ☐ Major

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review meetings5.3.a Management review meetings should

include results on internal quality system audits

☐ ☐ Major

5.3.b Management review meetings should include results on customer feedback ☐ ☐ Minor

5.3.c Management review meetings should include results on process performance & product conformity

☐ ☐ Minor

5.3.d Management review meetings should include results on status of preventive and corrective actions

☐ ☐ Minor

5.3.e Management review meetings should include results on follow-up actions from previous management reviews

☐ ☐ Minor

5.3.f Management review meetings should include results on changes that could affect the quality management system

☐ ☐ Minor

5.3.g Management review meetings should include recommendations for improvement ☐ ☐ Minor

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7 PRODUCER LABORATORY ELEMENTS6.1.a Verify that the Laboratory has copies of the

current ASTM test methods for the tests being conducted in the laboratory.

☐ ☐ Note 3. Not having these documents or having a revision that is two revisions old is a Major nonconformance. Having a revision that is only one revision old is a Minor nonconformance.

Major

6.1.b Verify that the Laboratory has all the required equipment and standards that are required for in-house ASTM testing.

☐ ☐ Major

6.1.c Verification of calibration records for in-house test equipment. ☐ ☐ Major

6.1.d Verification of training records demonstrating personnel were trained to perform in-house ASTM testing.

☐ ☐ Major

6.1.e At least once every four months, a laboratory shall execute a documented program to verify that their testing results are accurate

☐ ☐ Major

6.1.f Shall determine, collect and monitor appropriate data to demonstrate the effectiveness of the testing performance

☐ ☐ Major

6.1.g Verification that external laboratory testing is identified on test documentation. ☐ ☐ Minor

6.1.h Analytical results shall reference the test method specification ☐ ☐ Major

6.2.1 Internal lab audits shall be included as part of the Internal Quality System Audits. ☐ ☐ Major

6.2.2 Organization’s using external laboratories shall receive a completed/signed form BQF-1 with supporting documentation indicating compliance with the requirements

☐ ☐ Major

6.2.2 BQF-1 form shall be completed annually by the external laboratory and be retained for a minimum of two (2) years.

☐ ☐ Major

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7 RECIEPT OF PRODUCT 7.0 Verification of records of biodiesel suppliers,

their BQ-9000 status and the volumes of the Biodiesel purchases.

☐ ☐ Major

7.0 Verification of purchase records reporting the EPA registration number of the supplier. ☐ ☐ Major

7.0 Verification that samples are collected from each biodiesel purchase, are being stored safely and retained for a minimum of 60 days.

☐ ☐ Major

7.0 Verify that all purchased biodiesel collected samples are tested per ASTM D4176 (Procedure 2, max value of 2)

☐ ☐ Major

7.1 Verification that the COA or other provided documentation for biodiesel purchased from a BQ-9000 Producer or other Marketer met the D6751 specifications and was directly off loaded into a storage tank.

☐ ☐ Major

7.2 Verification that COA or other provided documentation for biodiesel purchased from a non BQ-9000 supplier was generated from test results by this Marketer’s Lab or by an independent Lab not connected with the biodiesel supplier.

☐ ☐ Major

7.3 Verification that biodiesel shipments are commingled only after the requirements of 7.1 and 7.2 has been satisfied.

☐ ☐ Minor

7.3 Verification of reported test results on COAs per the requirement of 7.3 when purchased shipments of biodiesel have different cloud points, or oxidation stability or cold soak are commingled.

☐ ☐ Minor

7.4 Verification that when the BQ-9000 Marketer distributes product from a tank where other companies lease space, the position holders in the tank shall purchase product from this tank using the guidelines defined in 7.0 – 7.2.

☐ ☐ Minor

7.5 Verification that the company is requesting/ receiving/ and recording the data on the biodiesel content of D975 diesel fuel that is used in further biodiesel/diesel fuel blending.

☐ ☐ Minor

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BQ-9000 Marketer Functioning per the Broker Definition

A BQ-9000 Marketer functioning only per the Broker definition must operate under the following:

a) The Broker shall deal only with BQ-9000 Producers or other BQ-9000 Marketers when transferring B100 or B99 product;

b) The B99 blending must be performed by the BQ-9000 Producer or Marketer utilizing their loading/blending facilities;

c) If the Broker is involved in transferring blends lower than B99, the Broker shall deal only withBQ-9000 Marketers who are responsible for the blending with the BQ-9000 Marketer’s facilities;

d) If the Broker is responsible for arranging contract haulers to deliver the biodiesel product, these contracts shall include cleanliness standards for the transports as specified in section 9.4; theBroker is also responsible to arrange with on-site personnel to perform and document the required periodic verification that these transports are meeting the cleanliness standard;

e) If cleanliness standards are not included in the hauling contracts or TAS (terminal automation system), the Broker is responsible to arrange with on-site personnel to perform cleanliness inspections prior to loading and document these inspections;

f) If the customer is responsible for transport of the biodiesel product, the Broker has no specific responsibility to enforce transport cleanliness standards;

g) The Broker may request in writing from their supplier that they retain a representative sample ofthe shipment that is being transferred. Such retains and records are still an auditable portion ofthe program.

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8 BIODIESEL STORAGE

8.1 Verify that all B100 storage tanks should be dedicated to biodiesel service ☐ ☐ Minor

8.1 Verification that any tank that was moved into biodiesel service was drained, cleaned and inspected before going into biodiesel service

☐ ☐ Minor

8.1 Verification that required tank inspections are being performed and recorded. ☐ ☐ Major

8.2 Verification that required product testing is being performed. ☐ ☐ Major

8.2 Verification that inspection/test records are being maintained to ensure integrity and are retained for 2 years.

☐ ☐ Minor

8.2 Verification that any product that is tested and found out of spec is isolated and identified as non-conforming material.

☐ ☐ Major

8.3 Product shall not be shipped from the storage tank if storage tank has no activity for 30 days until an outlet sample is taken and tested for water and sediment per ASTM D6751 and for Oxidative Stability per ASTM D6751.

☐ ☐ Major

8.3 Verification that if a storage tank volume failed to meet the 30 day idle test specifications, the product in the tank was isolated and identified as nonconforming.

☐ ☐ Major

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9 FUEL BLENDING AND DISTRIBUTION

9.1 Verify that blending records are being reviewed to insure proper blend component volumes are being dispensed.

☐ ☐ Major

9.1.1 Verification that blending records are retained for a minimum of 2 years. ☐ ☐ Minor

9.1.1 Verification that the blending validation included homogeneity testing of the blend with upper, middle and lower level samples.

☐ ☐ Major

9.1.2 Verification of the initial blending validation of three consecutive blend lots, for each blend that is sold/distributed.

☐ ☐ Critical

9.1.3 Verification that the blending validation includes testing each level sample for % methyl ester per D7371, and the test results meet the specification as defined in 9.1.3.

☐ ☐ Major

9.1.4 Verification that blending validation records are retained for a minimum of 2 years. ☐ ☐ Minor

9.1.5 Verification that annual blending validation is being performed per 9.1.5 ☐ ☐ Minor

9.1.6 Verification that if the Marketer has both rack and tank blending that both systems are validated annually per 9.1

☐ ☐ Major

9.2 Verification that if any tank was changed into biodiesel blend service, the tank was drained, cleaned and inspected before placed into biodiesel service.

☐ ☐ Minor

9.2 Verification that there are records of any tank changed into biodiesel blend service was cleaned and inspected.

☐ ☐ Minor

9.3 Blended product shall not be shipped from the storage tank if storage tank has no activity for 30 days until an outlet sample is taken and tested for moisture and sediment per ASTM D4176 (procedure 2)

☐ ☐ Major

9.3 Verification that if the blended tank volume failed to meet the 30 day idle test specifications, the product in the tank was isolated and identified as nonconforming.

☐ ☐ Major

9.4 Verification that Load out documents are reporting the preloading inspections and draining of transports, if applicable.

☐ ☐ Minor

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9.4 If applicable, review contract documents that specify the transport cleanliness standards when no prior loading inspection is required.

☐ ☐ Minor

9.4 If contractual cleanliness standards are used, verify records that demonstrate periodic transport inspections.

☐ ☐ Minor

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10 MARKERTER REMEDIATION ELEMENTS

10.1 Verify that any nonconforming product was identified as nonconforming and handled per documented procedures.

☐ ☐ Major

10.1 Verify that any reprocessed nonconforming product was tested and the testing documented.

☐ ☐ Minor

10.1 Verify that any nonconforming product records demonstrated evidence that the nonconformity was reviewed according to the documented procedures

☐ ☐ Minor

10.1 Verify that Corrective and/or Preventive actions are being generated to deal with nonconforming product issues.

☐ ☐ Major

10.2 Verify that Corrective and/or Preventive actions are being generated to deal with nonconforming issues of the quality system.

☐ ☐ Minor

10.2 Verify that any generated Corrective and Preventive Actions include all the information specified in 10.2.

☐ ☐ Major

10.2 Records shall be maintained for corrective and preventive actions and retained for a minimum of 2 years.

☐ ☐ Minor

10.2 Verify that all corrective actions shall not be closed until verification of effectiveness activities have been completed and recorded.

☐ ☐ Minor

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