40 CFR § 80.1469 - Requirements for Quality Assurance Plans.
This section specifies the requirements for Quality Assurance Plans (QAPs) for renewable fuels and biointermediates.
(a) Option A QAP Requirements, for Option A QAPs that were performed during the interim period.
(1) Feedstock-related components.
(i) Components requiring ongoing monitoring:
(A) Feedstocks are renewable biomass.
(B) Feedstocks are being separated according to a separation plan, if applicable under § 80.1426(f)(5)(ii).
(C) Crop and crop residue feedstocks meet land use restrictions, or alternatively the aggregate compliance provisions of § 80.1454(g).
(D) If applicable, verify that feedstocks with additional recordkeeping requirements meet requirements of § 80.1454(d).
(E) Feedstocks are valid for the D code being used, and are consistent with information recorded in EMTS.
(F) Feedstock is consistent with production process and D code being used from the approved pathway.
(G) Feedstock is not renewable fuel for which RINs were previously generated.
(ii) Components requiring quarterly monitoring:
(A) Separated food waste or separated yard waste plan is accepted and up to date, if applicable under § 80.1426(f)(5)(ii).
(B) Separated municipal solid waste plan is approved and up to date, if applicable under § 80.1426(f)(5)(ii).
(C) Contracts or agreements for feedstock acquisition are sufficient for facility production.
(D) Feedstock processing and storage equipment are sufficient and are consistent with the most recent engineering review under § 80.1450(b)(2).
(E) If applicable, accuracy of feedstock energy FE calculation factors related to feedstocks, including average moisture content m and feedstock energy content E.
(2) Production process-related components.
(i) Components requiring ongoing monitoring:
(A) Production process is consistent with that reported in EMTS.
(B) Production process is consistent with D code being used from the approved pathway.
(C) Certificates of analysis verifying fuel type and quality, as applicable.
(ii) Components requiring quarterly monitoring:
(A) Mass and energy balances are appropriate for type and size of facility.
(B) Workforce size is appropriate for type and size of facility, and sufficient workers are on site for facility operations.
(C) If applicable, process-related factors used in feedstock energy FE calculation are accurate, in particular the converted fraction CF.
(D) Verify existence of quality process controls designed to ensure that fuel continues to meet applicable property and quality specifications.
(E) Volume production is consistent with that reported to the EPA and EIA, as well as other federal or state reporting.
(F) Volume production is consistent with storage and distribution capacity.
(G) Volume production capacity is consistent with RFS registration.
(3) RIN generation-related components.
(i) Components requiring ongoing monitoring:
(A) Standardization of volumes pursuant to § 80.1426(f)(8) are accurate.
(B) Renewable fuel type matches the D code being used.
(C) RIN generation is consistent with wet gallons produced or imported.
(D) Fuel shipments are consistent with production volumes.
(E) If applicable, renewable content R is accurate pursuant to § 80.1426(f)(9).
(F) Equivalence value EqV is accurate and appropriate.
(G) Renewable fuel was intended and sold for qualifying uses as transportation fuel, heating oil, or jet fuel.
(H) Verify that appropriate RIN generation calculations are being followed under § 80.1426(f)(3), (f)(4), or (f)(5), as applicable.
(ii) Components requiring quarterly monitoring:
(A) Registration, reporting and recordkeeping components.
(B) [Reserved]
(4) RIN separation-related components.
(i) Components requiring ongoing monitoring:
(A) If applicable, verify that RIN separation is appropriate under § 80.1429(b)(4).
(B) If applicable, verify that RINs were retired for any fuel that the producer produced and exported.
(ii) Components requiring quarterly monitoring:
(A) Verify that annual attestation report is accurate.
(B) [Reserved]
(b) Option B QAP Requirements, for Option B QAPs that were performed during the interim period. All components specified in this paragraph (b) require quarterly monitoring, except for paragraph (b)(4)(iii) of this section, which must be done annually.
(1) Feedstock-related components.
(i) Feedstocks are renewable biomass.
(ii) If applicable, separated food waste or separated yard waste plan under § 80.1426(f)(5)(ii) is accepted and up to date.
(iii) If applicable, separated municipal solid waste plan under § 80.1426(f)(5)(ii) is approved and current.
(iv) Feedstocks are being separated according to a separation plan, if applicable under § 80.1426(f)(5)(ii).
(v) Crop and crop residue feedstocks meet land use restrictions, or alternatively the aggregate compliance provisions of § 80.1454(g).
(vi) Feedstock is consistent with production process and D code being used from the approved pathway, and is consistent with information recorded in EMTS.
(vii) Feedstock is not renewable fuel for which RINs were previously generated.
(viii) If applicable, accuracy of feedstock energy FE calculation factors related to feedstocks, including average moisture content m and feedstock energy content E.
(2) Production process-related components.
(i) Production process is consistent with that reported in EMTS.
(ii) Production process is consistent with D code being used from the approved pathway.
(iii) Mass and energy balances are appropriate for type and size of facility.
(iv) If applicable, process-related factors used in feedstock energy FE calculation are accurate, in particular the converted fraction CF.
(3) RIN generation-related components.
(i) Renewable fuel was intended and sold for qualifying uses as transportation fuel, heating oil, or jet fuel.
(ii) Certificates of analysis verifying fuel type and quality, as applicable.
(iii) Renewable fuel type matches the D code being used.
(iv) If applicable, renewable content R is accurate pursuant to § 80.1426(f)(9).
(v) Equivalence value EqV is accurate and appropriate.
(vi) Volume production capacity is consistent with RFS registration.
(vii) Verify that appropriate RIN generation calculations are being followed under § 80.1426(f)(3), (f)(4), or (f)(5), as applicable.
(4) RIN separation-related components.
(i) If applicable, verify that RIN separation is appropriate under § 80.1429(b)(4).
(ii) Verify that fuel that is exported was not used to generate RINs, or alternatively that were generated but retired.
(iii) Verify that annual attestation report is accurate.
(c) QAP Requirements. All components specified in this paragraph (c) require quarterly monitoring, except for paragraph (c)(4)(iii) of this section which must be done annually.
(1) Feedstock-related components.
(i) Feedstocks are renewable biomass.
(ii) If applicable, plans under § 80.1426(f)(5)(ii) are accepted and up to date.
(iii) If applicable, separated municipal solid waste plan under § 80.1426(f)(5) is approved and current.
(iv) Feedstocks are being separated according to a separation plan, if applicable under § 80.1426(f)(5).
(v) Crop and crop residue feedstocks meet land use restrictions, or alternatively the aggregate compliance provisions of § 80.1454(g).
(vi) Feedstock(s) and biointermediate(s) are consistent with production process and D code being used as permitted under the approved pathway and is consistent with information recorded in EMTS.
(vii) Feedstock(s) and biointermediate(s) are not renewable fuel for which RINs were previously generated unless the RINs were generated under § 80.1426(c)(6). For renewable fuels that have RINs generated under § 80.1426(c)(6), verify that renewable fuels used as a feedstock meet all applicable requirements of this paragraph (c)(1).
(viii) If applicable, accuracy of feedstock energy FE calculation factors related to feedstocks, including average moisture content m and feedstock energy content E.
(2) Production process-related components.
(i) Production process is consistent with the renewable fuel producer or biointermediate producer's registration under § 80.1450(b).
(ii) Mass and energy balances are appropriate for type and size of facility.
(iii) If applicable, process-related factors used in feedstock energy FE calculation are accurate, in particular the converted fraction CF, pursuant to § 80.1426(f)(3).
(3) RIN generation-related components.
(i) If applicable, renewable fuel was designated for qualifying uses as transportation fuel, heating oil, or jet fuel in the covered location pursuant to § 80.1453.
(ii) Certificates of analysis verifying fuel type and quality, as applicable.
(iii) Renewable fuel type matches the D code being used.
(iv) If applicable, renewable content R is accurate pursuant to § 80.1426(f)(9).
(v) Equivalence value EqV is accurate and appropriate.
(vi) Volume production capacity is consistent with RFS registration.
(vii) Verify that appropriate RIN generation calculations are being followed under § 80.1426(f)(3), (f)(4), or (f)(5), as applicable.
(viii) RIN generation is consistent with wet gallons produced or imported.
(4) Other RIN-related components.
(i) If applicable, verify that RIN separation is appropriate under § 80.1429(b).
(ii) Verify that fuel that is exported was not used to generate RINs, or alternatively that were generated but retired pursuant to § 80.1430.
(iii) Verify that annual attestation report is accurate.
(5) Representative sampling. Independent third-party auditors may use a representative sample of batches of renewable fuel or biointermediate in accordance with the procedures described in 40 CFR 1090.1805 for all components of this paragraph (c) except for paragraphs (c)(1)(ii) and (iii), (c)(2)(ii), (c)(3)(vi), and (c)(4)(ii) and (iii) of this section. If a facility produces both a renewable fuel and a biointermediate, the independent third-party auditor must select separate representative samples for the renewable fuel and biointermediate.
(6) Documentation. Independent third-party auditors must review all relevant registration information under § 80.1450, reporting information under § 80.1451, and recordkeeping information under § 80.1454, as well as any other relevant information and documentation required under this part, to verify elements in a QAP approved by EPA under this section.
(d) In addition to a general QAP encompassing elements common to all pathways, for each QAP there must be at least one pathway-specific plan for an approved pathway, which must contain elements specific to particular feedstocks, production processes, and fuel types, as applicable.
(e) Submission and approval of a QAP.
(1) Each independent third-party auditor shall annually submit a general and at least one pathway-specific QAP to the EPA which demonstrates adherence to the requirements of paragraphs (a) and (d), (b) and (d), or (c) and (d) of this section, as applicable, and request approval on forms and using procedures specified by EPA.
(2) No third-party independent auditor may present a QAP as approved by the EPA without having received written approval from the EPA.
(3) A QAP is approved on the date that the EPA notifies the third-party independent auditor of such approval.
(4) The EPA may revoke its approval of a QAP for cause, including, but not limited to, an EPA determination that the approved QAP has proven to be inadequate in practice.
(5) The EPA may void ab initio its approval of a QAP upon the EPA's determination that the approval was based on false information, misleading information, or incomplete information, or if there was a failure to fulfill, or cause to be fulfilled, any of the requirements of the QAP.
(f) Conditions for revisions of a QAP.
(1) A new QAP must be submitted to EPA according to paragraph (e) of this section and the independent third-party auditor must update their registration according to § 80.1450(g)(9) whenever any of the following changes occur at a renewable fuel or biointermediate production facility audited by an independent third-party auditor and the auditor does not possess an appropriate pathway-specific QAP that encompasses the change:
(i) Change in feedstock or biointermediates.
(ii) Change in type of fuel or biointermediate produced.
(iii) Change in facility operations or equipment that may impact the capability of the QAP to verify that RINs are validly generated or biointermediates are properly produced.
(2) A QAP ceases to be valid as the basis for verifying RINs or a biointermediate under a new pathway until a new pathway-specific QAP, submitted to the EPA under this paragraph (f), is approved pursuant to paragraph (e) of this section.