Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
1 SCOPE
1.0
1.0
1.0
Demonstrates the commitment to receive
and maintain product that meets ASTM
D6751.
Demonstrates procedures for blending
biodiesel and distributing either B100 B99.9)
or blends.
Identifies site or facility covered by the
scope of the quality program.
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Minor
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Major
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Major
2 TERMS AND DEFINITIONS
2.0
“Shall” and “Should” shall be defined.
2.1
ASTM
2.2
Biodiesel
2.3
Blend
2.4
External Laboratory
2.5
Internal Laboratory
2.6
Marketer
2.7
Broker
2.8
NBAC
2.9
Organization
2.10 Producer
2.11 Quality Manual
2.12 Quality Program
2.13 Verification
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Page 1 of 13
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Minor
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
3 REFERENCES
Normative References
3.1
3.1
3.1
3.1
3.1
3.1
3.1
3.1
3.1
3.1
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
Confirm Revision # Prior to Audit
ASTM D396 Standard Specification for Fuel
Oils
ASTM D975, Standard Spec for Diesel Fuel
Oil
ASTM D1298, Std TM for Density, Relative
Density (Specific Gravity), or API Gravity of
Crude Petroleum and Liquid Petroleum
Products by Hydrometer Method
ASTM D4052, Standard Test Method for
Density and Relative Density of Liquids by
Digital Density Meter
ASTM D4057, Standard Practice for
Manual Sampling of Petroleum and
Petroleum Products
ASTM D4176, Standard Test Method for
Free Water and Particulate Contamination
in Distillate Fuels (Visual Inspection
Procedures)
ASTM D6751, Standard Specification for
Biodiesel Fuel Blend Stock (B100) for
Middle Distillate Fuels
ASTM D7371, Standard TM to determine
Biodiesel content in Diesel Fuel Oil using
Mid Infra-red Spectroscopy
ASTM D7467, Standard Spec for Diesel
Fuel Oil/Biodiesel Blend (B6 – B20)
Form BQF-1, BQ-9000 External Laboratory
Verification
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Note 1, Verify revision on site.
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Note 1, Verify revision on site.
☐ ☐
Note 1, Verify revision on site.
☐ ☐
Note 1, Verify revision on site.
☐ ☐
Note 2, Verify revision on site.
☐ ☐
Note 1, Verify revision on site.
☐ ☐
☐ ☐
Note 1, Verify revision on site.
Note 1, Verify revision on site.
Note 1, Verify revision on site.
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.
3.2
Informative References
ISO 9001:19943 , Quality Management
System - requirements
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Page 2 of 13
Minor
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
4 MARKERTER DOCUMENTATION REQUIREMENTS
4.0 a
4.0 b
4.0 c
4.0 d
4.0
4.0
4.0
4.1
4.2
4.2
The quality management system shall
include documented statements of a quality
policy.
The quality management system shall
include a quality manual.
The quality management system shall
include documented procedures required by
the program.
The quality management system shall have
records required by this standard.
The organization shall establish and
maintain a documented quality system
containing provisions, which explicitly or
by reference include the requirements
contained in this document.
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.
The organization shall notify the NBAC
when these quality system changes have
been made when change are due to
updates from NBAC.
The quality program shall be documented in
a quality manual.
A quality policy shall be defined and
documented which included objectives for
and a commitment to quality.
The quality policy shall be related to the
business goals of the biodiesel operation and
the expectations of it’s customers.
4.2
The quality policy shall be invoked
throughout the biodiesel operation and
understood by all levels of personnel.
4.3
Documented QSPs shall be prepared that
describe the process to be employed for
determining and documenting how
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Page 3 of 13
Major
Minor
Minor
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
4.3
4.4 a
4.4 b
4.4 c
4.4 d
4.4 d
4.5
4.5
operational quality requirements will be met
and consistent with the requirements herein.
Procedures shall make reference to work
instructions that define how an activity is
performed.
Verification that the current version of each
controlled document is being used or found
in the quality manual.
Verification that all quality system
documents are listed in the document status
form along with their current status.
Document Control shall include a
distribution list of those in possession of the
Quality Manuals.
Document Control shall include a method
for controlling the distribution of new and
updated sections of your Quality System
documents.
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.
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.
Verification that records are being retained
for at least two years and are being
maintained in a manner to insure record
integrity.
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
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Minor
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Minor
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Minor
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Major
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Minor
Page 4 of 13
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
5 MARKERTER MANAGEMENT RESPONSIBILITY
5.1
5.1
5.1
5.1
5.1
5.2
5.2
5.2
5.2
5.2
5.2
5.2
5.2
5.2
5.3
5.3
A quality management representative
(QMR) shall be appointed.
QMR should chair quality management
review meetings
QMR should ensure that a quality program
is established and meets the requirements
QMR should report on the performance of
the quality program.
QMR should ensure that the most recent
version of the quality documents are made
available to personnel.
Organization shall have developed and
implemented a system for performing
internal quality audits.
Organization has held at least one internal
audit within the last twelve months.
Each element of the quality system shall be
audited at a minimum of once per year.
Audits should be performed by persons
other than those responsible for the area
being audited.
Audit results shall be presented to personnel
responsible for the audited area.
Cited nonconformities shall be resolved in a
timely manner as defined in documented
procedures.
Audit process, nonconformance reports,
corrective action plans, and effective
corrective action shall be included in internal
audit records.
Verification that audit nonconformances,
corrective actions and verification of
effectiveness are documented.
Verification that an internal audit report was
generated and distributed to the quality
management team and to management.
Organization’s management review
meetings shall be held at least once every
six months
Records shall be kept of the management
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Critical
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Critical
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Critical
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Page 5 of 13
Minor
Major
Major
Major
Major
Minor
Major
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
5.3.a
5.3.b
5.3.c
5.3.d
5.3.e
5.3.f
5.3.g
review meetings
Management review meetings should
include results on internal quality system
audits
Management review meetings should
include results on customer feedback
Management review meetings should
include results on process performance &
product conformity
Management review meetings should
include results on status of preventive and
corrective actions
Management review meetings should
include results on follow-up actions from
previous management reviews
Management review meetings should
include results on changes that could affect
the quality management system
Management review meetings should
include recommendations for improvement
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
☐ ☐
Major
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Minor
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Minor
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Minor
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Minor
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Minor
Page 6 of 13
Minor
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
7 PRODUCER LABORATORY ELEMENTS
6.1.a Verify that the Laboratory has copies of the
current ASTM test methods for the tests
being conducted in the laboratory.
☐☐
6.1.b Verify that the Laboratory has all the
required equipment and standards that are
required for in-house ASTM testing.
6.1.c Verification of calibration records for inhouse test equipment.
6.1.d Verification of training records demonstrating
personnel were trained to perform in-house
ASTM testing.
6.1.e At least once every four months, a
laboratory shall execute a documented
program to verify that their testing results are
accurate
6.1.f Shall determine, collect and monitor
appropriate data to demonstrate the
effectiveness of the testing performance
6.1.g Verification that external laboratory testing is
identified on test documentation.
6.1.h Analytical results shall reference the test
method specification
6.2.1 Internal lab audits shall be included as part
of the Internal Quality System Audits.
6.2.2 Organization’s using external laboratories
shall receive a completed/signed form BQF1 with supporting documentation indicating
compliance with the requirements
6.2.2 BQF-1 form shall be completed annually by
the external laboratory and be retained for a
minimum of two (2) years.
☐☐
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
Major
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Major
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Minor
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Page 7 of 13
Major
Major
Major
Major
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
7 RECIEPT OF PRODUCT
7.0
7.0
7.0
7.0
7.1
7.2
7.3
7.3
7.4
7.5
Verification of records of biodiesel suppliers,
their BQ-9000 status and the volumes of the
Biodiesel purchases.
Verification of purchase records reporting
the EPA registration number of the supplier.
Verification that samples are collected from
each biodiesel purchase, are being stored
safely and retained for a minimum of 60
days.
Verify that all purchased biodiesel collected
samples are tested per ASTM D4176
(Procedure 2, max value of 2)
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.
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.
Verification that biodiesel shipments are
commingled only after the requirements of
7.1 and 7.2 has been satisfied.
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.
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.
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.
☐☐
Major
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Major
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Minor
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Minor
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Minor
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Minor
Page 8 of 13
Major
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Surveillance
Audit
Requirement
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
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 with
BQ-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; the
Broker 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 of
the shipment that is being transferred. Such retains and records are still an auditable portion of
the program.
Page 9 of 13
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
8 BIODIESEL STORAGE
8.1
8.1
8.1
8.2
8.2
8.2
8.3
8.3
Verify that all B100 storage tanks should be
dedicated to biodiesel service
Verification that any tank that was moved
into biodiesel service was drained, cleaned
and inspected before going into biodiesel
service
Verification that required tank inspections
are being performed and recorded.
Verification that required product testing is
being performed.
Verification that inspection/test records are
being maintained to ensure integrity and are
retained for 2 years.
Verification that any product that is tested
and found out of spec is isolated and
identified as non-conforming material.
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.
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.
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Page 10 of 13
Minor
Major
Minor
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
9 FUEL BLENDING AND DISTRIBUTION
9.1
9.1.1
9.1.1
9.1.2
9.1.3
9.1.4
9.1.5
9.1.6
9.2
9.2
9.3
9.3
9.4
Verify that blending records are being
reviewed to insure proper blend component
volumes are being dispensed.
Verification that blending records are
retained for a minimum of 2 years.
Verification that the blending validation
included homogeneity testing of the blend
with upper, middle and lower level samples.
Verification of the initial blending validation
of three consecutive blend lots, for each
blend that is sold/distributed.
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.
Verification that blending validation records
are retained for a minimum of 2 years.
Verification that annual blending validation
is being performed per 9.1.5
Verification that if the Marketer has both
rack and tank blending that both systems
are validated annually per 9.1
Verification that if any tank was changed
into biodiesel blend service, the tank was
drained, cleaned and inspected before
placed into biodiesel service.
Verification that there are records of any
tank changed into biodiesel blend service
was cleaned and inspected.
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)
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.
Verification that Load out documents are
reporting the preloading inspections and
draining of transports, if applicable.
☐ ☐
Major
☐ ☐
☐ ☐
Minor
☐ ☐
Critical
☐ ☐
Major
☐ ☐
☐ ☐
☐ ☐
Minor
☐ ☐
Minor
☐ ☐
Minor
☐ ☐
Major
☐ ☐
Major
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Minor
Page 11 of 13
Major
Minor
Major
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
9.4
9.4
If applicable, review contract documents
that specify the transport cleanliness
standards when no prior loading inspection
is required.
If contractual cleanliness standards are
used, verify records that demonstrate
periodic transport inspections.
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
☐ ☐
Minor
☐ ☐
Minor
Page 12 of 13
Company Name :
Location :
Auditor :
BQ-9000 Marketer
Surveillance Audit Checklist
Name
Surveillance Audit
Date
Notes
Ranking
Requirement
Surveillance
Audit
Desk Audit
Element
Reference
Rev 7.1 – 5/30/14
Use with Rev 7.1. Of Marketer Requirements
10 MARKERTER REMEDIATION ELEMENTS
10.1 Verify that any nonconforming product was
identified as nonconforming and handled
per documented procedures.
10.1 Verify that any reprocessed nonconforming
product was tested and the testing
documented.
10.1 Verify that any nonconforming product
records demonstrated evidence that the
nonconformity was reviewed according to
the documented procedures
10.1 Verify that Corrective and/or Preventive
actions are being generated to deal with
nonconforming product issues.
10.2 Verify that Corrective and/or Preventive
actions are being generated to deal with
nonconforming issues of the quality system.
10.2 Verify that any generated Corrective and
Preventive Actions include all the
information specified in 10.2.
10.2 Records shall be maintained for corrective
and preventive actions and retained for a
minimum of 2 years.
10.2 Verify that all corrective actions shall not be
closed until verification of effectiveness
activities have been completed and
recorded.
☐ ☐
Major
☐ ☐
Minor
☐ ☐
Minor
☐ ☐
Major
☐ ☐
Minor
☐ ☐
Major
☐ ☐
Minor
☐ ☐
Minor
Page 13 of 13