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API Spec Q1 (10th Edition) Awareness by Decky Antony Kifta
API Spec Q1 (10th Edition) Awareness by Decky Antony Kifta
com
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API Spec Q1
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API Spec Q1
2023 (Sep)
Developed as response
to Macondo Incident
(2010) 10th Edition
2013 Released
(Aligned with ISO
9001 Requirements)
9th Edition
2007 Released
8th Edition
1986 Released
(Identical with ISO
TS 29001: 2007)
Released to
Industry
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API Spec Q1
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Process Flow Technologies
PROFAB
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API Spec Q1-10th Edition
Contents
1. Scope
2. Normative References
3. Terms, Definitions, and Abbreviations
4. Quality Management System Requirements
5. Product Realization
6. Quality Management System Monitoring, Measurement,
Analysis, and Improvement.
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API Spec Q1-10th Edition
Changes
• Alignment with the requirements of ISO 9001:2015
• Change of scope to include companies that produce product and
related activities.
• Change definition of ‘product’ to align with expanded scope
• Record retention period expanded to ten years
• Added alternatives to traditional Quality Manual
• ‘Design and Development’ changed to ‘Design’
• Clarification of Validation processes
• Revised wording around product inspection and final acceptance
process
• Revised supplier evaluation process
• Removal of preventive action section, Annex B & C.
• Added and revised definitions
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API Spec Q1
§ API Spec Q1 establishes minimum quality
m a n a ge m e nt syste m re q u i re m e nt s fo r
organizations that provide products for use in
the petroleum and natural gas industry
§ API Spec Q1 - Annex A is the use of API
Monogram by Licensees
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API Spec Q1
New Definitions:
• Product
Output of an organization intended
to be provided to a customer.
This includes hardware, software,
production activities, or product
related activities such as: servicing,
storage, distribution, and logistics.
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API Spec Q1
New Definitions (Cont’d):
• Product Realization
Set of interrelated or interacting activities (processes) necessary to provide
product.
• Remote Assessment
Assessment conducted by person(s) not physically present at the location
being assessed.
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API Spec Q1
New Abbreviation:
• TMMDE
Testing, Measuring, Monitoring, and Detection Equipment
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API Spec Q1
4.1 Quality Management System
4.1.2 Quality Policy
§ Appropriate to the organization and support its strategic
direction
§ The basis for the development of Quality Objectives
§ Be communicated, understood, implemented, and
maintained
§ Be available to relevant interested parties
§ Include a commitment to conform to requirements and
continually improve the effectiveness of QMS
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API Spec Q1
4.1.3 Quality Objectives
§ Established at relevant functions and
levels
§ Approved by Top Management
§ Measurable and communicated
§ Consistent with Quality Policy
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API Spec Q1
4.1.4 Planning the QMS
Organization shall:
§ Define the QMS scope
§ Identify internal and external issues
§ Determine relevant interested parties
§ Determine and manage criteria and methods for QMS effective operation and
control
§ Identify quality objectives (actions, responsibilities, timeframe, and how the
results are monitored and evaluated)
§ address identified risks
§ Identify key personnel
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API Spec Q1
4.1.4.2 Exclusions
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API Spec Q1
4.1.5 Communication
§ Internal communication on product
requirements and data analysis results
§ External communication with customers related
to contracts, products & feedback
§ Quality plans and subsequent changes
§ Communication changes and associated risks.
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API Spec Q1
4.2 Management Responsibility
§ Top Management Leadership
§ Approve Quality Objectives
§ Providing resources
§ Support implementation & maintenance of QMS
§ Assign responsibilities and authorities
§ Responsibility and Authority
§ Management Representative
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API Spec Q1
4.2.3 Management Representative
§ Appointed by Top Management
§ Ensuring the QMS conforms to this spec ‘s requirements
§ Ensuring the processes needed for the QMS are established,
implemented, and maintained.
§ Report to Top Management the performance of QMS and
any need for improvement
§ Ensuring initiation of actions to address non-conformities
§ Promote awareness of customer requirements throughout
the organization.
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API Spec Q1
4.3 Organization Capability
4.3.1 Resources & Knowledge
§ Determine and allocate the resources needed to
implement, maintain, and improve the effectiveness of
the QMS.
§ Determine the knowledge needed to provide continued
o p e rat i o n o f i t s pro c e s s e s a n d a c h i eve o n go i n g
conformity of products
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API Spec Q1
4.3.2 Human Resources
§ Personnel Competence
§ Training
§ Records
§ Procedures
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API Spec Q1
4.3.2.1 Personnel Competence
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API Spec Q1
4.3.2.2 Training
§ Identification of the content and frequency of training required
§ Provision of QMS training
§ Provision of job training including personnel awareness of the
relevance and importance of their activities and how they contribute
to the achievement of the organization’s quality objectives
§ Provision of customer-specified training and/or customer-provided
training, when required.
§ Evaluation of effectiveness of training
§ Identification of required training records
§ Procedure and records for personnel training shall be maintained
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API Spec Q1
4.3.3 Work Environment
§ Building, workspace, and associated utilities
§ Process equipment (hardware and software)
§ Supporting services (e.g. transport, communication,
information systems)
§ Conditions under which work is performed such as
physical, environmental, or other factors
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API Spec Q1
4.4 Documentation Requirements
§ The scope of the QMS that identifies product covered and includes
justification for any exclusions
§ Statement of Quality Policy and Quality Objectives
§ Identification of legal and other applicable requirements to which the
organization claims compliance that needed to achieve product
conformity.
§ Identification of how the QMS addresses each requirement of this
specification
§ Identification of processes that require validation
§ Procedures, documents, and records necessary for planning,
operation, and control of its processes and conformance with
specified requirements.
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API Spec Q1
4.4.1 General
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API Spec Q1
4.4.2 Procedures
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API Spec Q1
4.4.3 Control of Internal Documents
The control/ procedure shall address:
§ Responsibilities for approval and re-approval
§ Review and approval for adequacy prior to issue and use
§ Review for continued suitability and revision as necessary
§ Identification of changes and current revision status
§ Legibility and identification of documents
§ Availability where the activity is being used
Obsolete documents shall be removed from all points of issue or use, or
otherwise identified to prevent unintended use if they are retained for
any purpose.
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API Spec Q1
4.4.4 Control or Use of External Documents
The control/ procedure shall address:
§ Identification and documentation of the required documents
§ Access and distribution of required documents, including relevant
versions
§ Integration of requirements into product realization and any other
affected processes
§ Process for identifying when changes to required documents have
occurred, including addenda, errata, and updates
§ Assessment of impact of changes
§ Integration of applicable changes
API Standards, Codes and Specs which are required during product
realization can also be considered an external documentation
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API Spec Q1
4.5 Control of Records
§ Identification
§ Collection
§ Legibility
§ Correction
§ Storage
§ Protection from unintended alteration, damage, or loss
§ Retrieval
§ Retention time
§ Disposition
Records shall be retained for a minimum of ten years or as required by
customer, legal, and other applicable requirements, whichever is longer.
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API Spec Q1
The Difference between Document and Records Control
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API Spec Q1
The Difference between Document and Records Control
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API Spec Q1
5 Product Realization
5.1 Contract Review
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API Spec Q1
5.1 Contract Review
5.1.3 Review of Requirements
§ Requirements are identified and documented
§ requirements differing from those previously
identified are resolved
§ The organization has the capability to meet the
documented requirements
W h e r e c o n t ra c t r e q u i r e m e n t s a r e c h a n g e d , t h e
organization shall amend the relevant documents and
m a ke r e l e v a n t p e rs o n n e l a w a r e o f t h e c h a n g e d
requirements.
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API Spec Q1
5.2 Planning
§ Required resources and work environment management
§ Product and customer-specified requirements
§ Legal and other applicable requirements
§ Design requirements
§ Contingency planning
§ required verification, validation, monitoring, measurement,
inspection, and test activities specific to the product and the
criteria of acceptance
§ MOC
§ Records needed to provide evidence that product
realization conforms to product requirements.
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API Spec Q1
5.3 Risk Management
§ Risk Assessment
Procedure shall include:
a) Risk identification and assessment techniques
b) Risk assessment tools and their application
c) Criteria to determine risk severity including potential consequences of
product failure (refer to critical purchase)
d) Risk mitigation actions
e) Assessment of remaining risk
f) Contingency planning (based on assessment of remaining risks)
§ Contingency planning
§ Records
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API Spec Q1
5.3.2 Risk Assessment
§ Product Delivery
a) Facility/equipment availability including maintenance
b) Supplier delivery performance and material availability/ supply
§ Product Quality
a) Delivery of nonconforming product
b) Availability of competent personnel
§ Changes Impacting Product Quality
a) Changes in the organizational structure
b) Changes in key personnel
c) Changes in supply chain of critical products, components or activities
d) Changes to the QMS scope or procedures
e) Changes in the organization capability to perform the process(es) required
for product realization
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API Spec Q1
5.3.3 Contingency Planning
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API Spec Q1
5.4 Design
§ Design Planning
§ Design Inputs
§ Design Outputs.
§ Design Review
§ Design Verification and Final Review
§ Design Validation and Approval
§ Design Changes.
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API Spec Q1
5.5 Purchasing
Procedure shall address:
a) Determination of critical products, components and/or activities
b) Initial evaluation and selection of suppliers
c) Use of identified risk to determine initial assessment method of supplier’s
capability for critical purchases
d) Type and extent of control applied to the supply chain for critical products,
components, or activities
e) Criteria, scope, frequency, and methods for re-evaluation of suppliers
f) Identification of approved suppliers and scope of approval
g) Identification of customer specified suppliers and suppliers limited by
proprietary, and/or legal requirements when applies.
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API Spec Q1
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API Spec Q1
5.5.1.2 Initial Supplier Evaluation – Critical Purchases (Cont’d)
c) Assessment of the supplier’s capability to meet the organization’s specified
requirements by one or more of the following based in identified risk (refer to
5.3.1, item c):
1) Performing an on-site assessment to verify that relevant product realization
processes are being performed in accordance with process controls, and are
effective in achieving conformity to requirements.
2) Performing a remote assessment to verify that relevant product realization
processes are being performed in accordance with process controls, and are
effective in achieving conformity to requirements.
3) Performing inspection, testing, or verification of relevant characteristics of a
received product.
For supplier with high-risk severity which is not performed an on-site assessment,
the supplier shall be assessed using item 2 and 3 above.
Re-assessment to be performed when supplier adding the scope or changing the
location (site).
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API Spec Q1
5.5.1.3 Initial Supplier Evaluation – Critical Purchases –
Customer Specified, Proprietary, and/or Legal Limited
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API Spec Q1
5.5.1.4 Initial Supplier Evaluation – Noncritical Purchases
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API Spec Q1
5.5.1.5 Supplier Reevaluation
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API Spec Q1
5.5.1.6 Records
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API Spec Q1
5.5.1.7 Outsourcing
• The organization shall verify that the supplier satisfies the applicable
requirements of the organization’s QMS.
• The organization shall maintain responsibility for product conformance to
specified requirements, including applicable API or other external
specifications.
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API Spec Q1
5.5.2 Purchasing Information
The information provided shall include, as applicable:
a) Acceptance criteria
b) Requirements for approval of supplier’s procedures, processes, and equipment
c) Applicable version of specifications, drawings, process requirements, inspection
instructions, traceability requirements, and other relevant technical data.
d) Requirements for qualification of supplier’s personnel
e) QMS requirements
f) Requirements for approval of product release
g) If the organization or its customer intends to perform verification at the supplier’s
premises, the intended verification requirements.
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API Spec Q1
5.5.3 Verification of Purchased Products, Components or
Activities
Critical Purchases
a) Review of the organization’s required documentation from supplier
b) Verification that the applicable versions were used when specification, drawings,
process requirements, inspection instructions, traceability requirements, and other
relevant technical data are specified.
c) Inspection, testing and/or verification requirements including methods, frequency,
and responsible party. The organization shall determine the methods, frequency,
and responsible party based on identified risk and supplier performance.
Noncritical Purchases
Noncritical products, components or activities shall be verified in accordance with the
organization’s documented procedure.
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API Spec Q1
5.6 Control of Product Realization
The procedure shall address the following
a) Determination and implementation of manufacturing acceptance criteria (MAC)
b) Identification and documentation of processes critical to product realization
c) Implementation of the quality plan, when applicable
d) Conformance to design requirements and related changes, when applicable
e) The availability and use of product realization equipment and TMMDE (unless
excluded)
f) The use of applicable work instructions
g) Process control documents
h) Maintenance of identification and traceability requirements throughout product
realization
i) Implementation of monitoring and measurement activities
j) Implementation of product release, including applicable delivery and post-delivery
activities
k) Review and control of product realization changes, required approval and records.
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API Spec Q1
5.6.2 Quality Plan
When required by contract, the organization shall develop a quality plan and it shall
address, as a minimum:
a) Description of the product or scope of quality plan
b) Required processes and documentation, including required inspections, tests, and
records, for conformance with requirements.
c) Identification of outsourced activities and reference to their control
d) Identification of each procedure, specification or other document referenced or
used in each activity
e) Identification of the required hold, witness, monitor and document review points.
The quality plan and any revisions to it shall be documented and approved by the
organization
The quality plan and any revisions shall be communicated to the customer.
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API Spec Q1
5.6.3 Process Control Documents
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API Spec Q1
5.6.4 Validation of Processes
The organization shall validate processes when the resulting output cannot be verified
by subsequent monitoring or measurement, and consequently, deficiencies become
evident after the product has been delivered or is in use. Validation process shall be
based on the below:
a) If a product specification identifies specific processes requiring validation. Then
only those processes specified shall require validation for the applicable product.
b) If there is no applicable product specification pr the product specification does not
identify processes that require validation, then processes requiring validation, if
applicable to the product, shall include, at a minimum:
§ NDE or NDT
§ Welding
§ Heat treating
§ Coating and plating (when identified by the product specification or by the
organization as critical to product performance)
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API Spec Q1
5.6.4 Validation of Processes (Cont’d)
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API Spec Q1
5.6.5 Identification and Traceability
The organization shall:
a) Establish and maintain identification throughout product realization, including
applicable delivery and post-delivery activities.
b) Identify the traceability requirements as specified by the organization, the
customer, and/or the applicable product specifications
c) Maintain a documented procedure for identification and traceability while the
product is under control of the organization that addresses:
1) Methods of identification
2) When required, information needed for traceability
3) Requirements for maintenance and/or reapplication of identification and/or
traceability
4) Actions required to address loss of identification and/or traceability
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API Spec Q1
5.6.6 Inspection/Test Status
The organization shall maintain a documented procedure
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API Spec Q1
5.6.8 Preservation of Product
The organization shall maintain a documented procedure. The procedure shall
address:
a) Identification and traceability marketing
b) Storage, including the use of designated storage areas or stock rooms
c) Assessment of condition at intervals specified by the organization
d) Transportation
e) Handling
f) Packaging
g) Protection
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API Spec Q1
5.6.9 Inspection, Testing and Verification
The organization shall maintain a documented procedure. The procedure shall
address:
a) In-process inspection, testing and/or verification methods and their application
b) Final inspection, testing, and/or verification methods and their application
c) Records creation and retention
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API Spec Q1
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API Spec Q1
5.7 Product Release
The organization shall maintain a documented procedure. Release shall not proceed
until the planned arrangements have been satisfactorily completed. The organization
shall only release product that conforms to the requirements or that is authorized
under concession.
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API Spec Q1
5.8 Testing. Measuring, Monitoring and Detection Equipment
(TMMDE) – Cont’d
The organization shall maintain a documented procedure. The procedure shall include
requirements for the specific equipment type and shall address (cont’d):
f) Documentation of the measurements prior to adjustment and measurements after
any adjustments during calibration.
g) Actions taken to prevent unintended use of TMMDE identified as out-of-calibration,
beyond calibration interval, or not in-service.
h) When the TMMDE is found to be out of calibration, an assessment of the validity
of previous measurements and actions to be taken on the TMMDE and product,
including maintaining records and evidence of notification to the customer if
suspect product has been shipped.
i) Use of third-party, proprietary, employee-owned, and customer-owned TMMDE
j) Maintenance
k) Suitability for the planned monitoring and measurement activities
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API Spec Q1
5.8.3 Equipment
TMMDE identified shall:
a) Be calibrated
b) Have the calibration status identifiable by the user prior to and during use
c) Be safeguarded from adjustment or modification that would invalidate the
measurement result or the calibration status
d) Be protected from damage and deterioration during handling, maintenance, and
storage
e) Be used under environmental conditions that are suitable for the calibrations,
inspections, measurements, and tests being performed.
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API Spec Q1
5.8.4 TMMDE Equipment from Other Sources
When TMMDE is third-party, proprietary, or customer-owned, the organization shall
confirm the equipment is in calibration prior to use.
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API Spec Q1
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API Spec Q1
5.9 Control of Nonconforming Product (Cont’d)
5.9.1.3 Nonconforming Product After Delivery
The procedure shall include the requirements for:
a) Identifying, documenting, and reporting nonconforming product
b) The analysis of nonconforming product, provided the product or documented
evidence supporting the nonconformity is available to facilitate the determination
of the cause
c) Taking action appropriate to the effects, or potential effects, of the nonconformity
d) Authorizing its use, release, or acceptance under concession by relevant authority
and, when required, by the customer.
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API Spec Q1
5.9 Control of Nonconforming Product (Cont’d)
5.9.2 Nonconforming Product
The organization shall address nonconforming product by performing one or more of
the following:
a) Repair or rework with subsequent inspection to meet specified requirements
b) Re-grade for alternative application
c) Release under concession, and/or
d) Reject or scrap
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API Spec Q1
5.9 Control of Nonconforming Product (Cont’d)
5.9.3 Release of Nonconforming Product Under Concession
The release under concession of nonconforming product that does not satisfy
manufacturing acceptance criteria (MAC) shall be permitted when the organization’s
relevant authority has conducted an evaluation, and authorized release provided that:
a) Products continue to satisfy the applicable DAC and customer criteria, or
b) The violated MAC is determined as unnecessary to satisfy the applicable DAC
and/or customer criteria, or
c) The DAC is changed and the affected products satisfy the revised DAC and
associated MAC requirements. When the DAC was previously agreed with the
customer, the DAC change shall be authorized by the customer.
The organization shall not release product not conforming to DAC or contract
requirements without customer authorization.
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API Spec Q1
5.9 Control of Nonconforming Product (Cont’d)
5.9.4 Customer Notification of Nonconforming Product
The organization shall notify customers of product not conforming to DAC or contract
requirements, that has been delivered.
5.9.5 Records
Records shall be maintained and shall include:
a) The description of the nonconformity
b) Subsequent actions taken, including concessions obtained
c) Rationale to support release of product under concession, and
d) Relevant authority
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API Spec Q1
5.10 Management of Change (MOC)
The MOC procedure shall address:
a) Description of, and the need for, the change
b) Availability and allocation resources (including personnel)
c) Potential risks that may arise from implementing the change
d) Review, approval, and implementation of the change
e) Notifications
f) Verification of the completion of MOC activities and impact on the QMS.
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API Spec Q1
5.10.2 MOC Application
The organization shall use MOC for changes that may negatively impact the quality of
the product.
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API Spec Q1
6 Quality Management System Monitoring, Measurement, Analysis and
Improvement
6.2.1 Customer Satisfaction
The procedure shall address
§ The frequency and methods of determining customer satisfaction
§ Key performance indicators of customer satisfaction
§ Records
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API Spec Q1
6.2.2.2 Performance of Internal Audit
§ Audit shall be performed by competent personnel independent of those who
performed or directly supervised the activity being audited to ensure objectivity
and impartiality of the audit process.
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API Spec Q1
6.3 Analysis of Data
The data analysis output shall provide information, including trends, relating to
a) Customer Satisfaction
b) Nonconformity to product requirements during product realization
c) Nonconformities and product failures identified after delivery or use, provided
the product or documented evidence is available to facilitate the determination
of the cause,
d) Process performance
e) Supplier performance
f) Achieving Quality Objectives
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API Spec Q1
6.4 Improvement
The organization shall continually improve the effectiveness of
t h e Q M S b y e va l u at i n g , s e l e c t i n g , a n d i m p l e m e nt i n g
opportunities for improvement through the use of the quality
objectives, internal audit, analysis of data, corrective action, and
management review.
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API Spec Q1
6.4.2 Corrective Action (CA)
The procedure shall address:
a) Criteria for determining when the corrective action process is initiated
b) Reviewing the nonconformity
c) Determining and implementing corrections
d) Identifying the root cause of the nonconformity and evaluating the need for corrective
actions
e) Implementing corrective action to reduce the likelihood that a nonconformity recurs
f) Identifying the timeframe and responsible person(s) for addressing corrections and
corrective action
g) Verification of the effectiveness of the corrections and corrective action taken
h) Updating risks and opportunities determined during planning
i) MOC when the corrective actions require new or changed controls within the QMS
j) Evaluating similar, potential nonconformities and implementing action to reduce the
likelihood of occurrence as appropriate
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API Spec Q1
6.5 Management Review
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API Spec Q1
6.5.2 Input Requirements
a) Status and effectiveness of actions resulting from previous management reviews
b) Results of internal and external audits
c) Changes that could affect the QMS, including:
1) Changes to legal and other applicable requirements (industry standards, etc.)
2) Changes in external and internal issues that are relevant to QMS
d) Analysis of Customer satisfaction
e) Relevant feedback from customers and other interested parties
f) Process performance
g) Result of risk assessment and the effectiveness of actions taken to address risks
h) Status of corrective actions
i) Analysis of supplier performance
j) Review of the analysis of product conformity, including nonconformities identified after delivery or use.
k) Actual performance compared with quality objectives
l) Recommendations for improvement
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API Spec Q1
6.5.3 Output Requirements
a) A summary assessment of the effectiveness of the QMS
b) Any required changes to the processes
c) Decisions and actions
d) Required resources
e) Any improvement to products in satisfying customer requirements
Top management shall review and approve the output of management reviews
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API Spec Q1
Annex A
§ QMS conforming to API Q1 at all times
§ API Monogram Marking Procedure – Also see product spec
requirements
ü Location – physical address where applied
ü Date of manufacture (MM-YY)
ü License number
ü Application and Removal method
ü Authority for application and removal defined
§ Proper use of monograms on marketing/business materials
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API Spec Q1
Annex A (Cont’d)
§ Design Package Requirements
§ Manufacturing Capability
§ API Monogram Program: Nonconformance Reporting
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Thank You
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